【作者】 滕燕；

【导师】 李昌麒；

【作者基本信息】 西南政法大学 ， 经济法学， 2012， 博士

【摘要】 改革开放以来，民生问题得到了前所未有的关注和发展，而城市公用事业又涉及民生的诸多领域。城市公用事业具有公益性与经营性双重属性，既是事关公共利益和公共福祉的基础经济领域，又要满足经营中的成本效益要求，因此它的运营往往有别于一般市场主体的营运行为。经济学的研究表明，市场机制在公共产品的提供过程中存在“失灵”的现象，因而医治这种失灵的处方主要是应当由政府以直接供给的方式予以提供。但随着制度经济学、公共管理学等诸多学科对政府干预的研究可知，政府在“治病”的同时自己也会“生病”，而政府在提供公共服务的同时也存在着自身利益导向、寻租腐败、缺乏成本约束以及低效率等问题，因此政府干预在治“市场病”的同时，也要接受市场机制对“政府病”的医治。迄今为止，对城市公用事业改革的研究和讨论基本上都是围绕着政府和市场的关系而展开的，并且一直争论不休。面对这一问题不仅不同国家有不同的选择，而且同一个国家在不同的时期也有不同的选择。从我国改革开放实践的需要来说，我国的市场机制还不够健全，需要进一步培育。可以说，我国的经济制度尚处在转轨时期，这就决定了我国的城市公用事业改革面临着培育完善的市场机制和规制政府干预行为的双重任务，西方国家城市公用事业发展过程中所经历过的历时性矛盾，在我国的城市公用事业改革中则表现为一种共时性矛盾。这就使得在我国城市公用事业经营领域中引入市场机制，转变政府职能，提高经营效率和经营质量，进行市场化改革就必然要成为城市公用事业中的各个具体行业改革的方向和发展趋势。由是我国也先后出台了众多的法律、法规、规章和政策推动和固定这一改革进程。本文试图从城市公用事业的问题入手，以经济法机理为视域，以城市公用事业的经济法规制为研究重点，尝试运用系统论的思维模式去审视城市公用事业的改革问题，厘清城市公用事业中的市场运营与政府干预的关系。本文力图在反思和批判简单化的、决定论的、线性的、割裂的思维方式的基础上，系统地研究在我国法律体系中应当怎样调整城市公用事业、如何协调政府与市场的关系，同时通过对现行立法的审视，探索如何完善经济法对城市公用事业的规制，其间包括提出解决城市公用事业领域中存在的问题的新思路。本文是按照以下逻辑顺序展开研究的：首先是“提出问题”，即通过对城市公用事业及其市场化改革的现实考察，总结出其中的经验和问题；其次是“分析问题”，即在法律层面上揭示城市公用事业市场化实践的法律路径，重点是分析经济法在规制城市公用事业中的优势，并尝试用系统论的方法对城市公用事业市场化中的经济法规制进行重塑；最后是“解决问题”，即探索如何建构较为完备的城市公用事业的经济法制度体系。全文分为4章。导论先是阐明选题意义，并对相关主题的国内外研究进行综述，重点在介绍系统论的研究方法。通过运用系统论的方法阐明了经济法对城市公用事业进行规制的可行性和必要性，旨在展现系统论方法在创新城市公用事业的经济法规制方面的可行路径，以便为后文的法律路径选择和重塑调整城市公用事业关系的经济法制度体系及具体制度设计奠定方法论基础。第一章我国城市公用事业改革及其存在的问题。本章的主要目的在于提出问题。本章首先论述了城市公用事业及其市场化改革取向，从理论上分析城市公用事业市场化的正当性基础，对现实中要不要市场化的争论进行回应。再通过对城市公用事业市场化的国际考察，总结其成功的经验和教训及其对我国的启示。最后是对我国城市公用事业市场化实践的经验和问题进行梳理，并对这些经验和问题进行了分析。指出城市公用事业的市场化改革是不能动摇的趋势，但也要充分重视城市公用事业改革中既存在市场机制本身的运行缺陷问题又存在政府干预不当的问题，既有理念上的认识偏差又有制度上的构建不完善。第二章城市公用事业改革的法律规制路径选择。基于我国城市公用事业市场化中问题的独特性，本章从理论及实践两方面分析城市公用事业改革中的法律规制问题。通过梳理改革三十年来的城市公用事业立法及政策，揭示城市公用事业改革的法律规制现状，并从系统论的角度分析民法、行政法规制的不足，论证了经济法作为部门法在对社会公共利益与个人利益的保障、在对公平、效率、秩序法价值的实现，以及在促进政府与市场关系的协同等方面的优势。为重塑城市公用事业的经济法规制系统提供了理论支撑。第三章重塑城市公用事业改革系统的经济法规范。本章从系统论的思维方法入手，试图对城市公用事业的经济法规制系统进行建构。首先是系统结构的分析，即通过分析，阐述经济法规范系统的内部结构，即建立城市公用事业基本法、行业单行法规、配套规范、经济政策相配合的完整体系；通过增加官僚体制的弹性、设置独立的监管机关、合理界分政府的职能，实现政府干预的权力即职责结构的重塑；通过立法保障市场主体的权利，规范主体的义务，实现市场主体结构的重塑；通过完善市场自组织与优化政府决策程序重塑城市公用事业的调整方式。其次是对系统功能的分析，即基于以上认识本章一方面通过经济法对市场与政府的双重干预，回应城市公用事业的现实需要以及实现对公共利益与公共秩序的保障的阐述，表明经济法有别于其他部门法的系统功能。最后是系统演化的分析，从开放系统的角度理解经济法系统，即通过与外界的信息交换，经济法规范系统进行着选择、适应、调节和组织等，及时弥补对市场的规范之不足，除此之外还论证了政府有限理性与非理性的克服途径，以实现在结构与功能上演化。第四章建立健全城市公用事业改革的经济法制度体系。本章在前面论述的论基础上，将理论分析落实到具体的制度构建中；基于系统自组织的思考，从耗散结构和熵的角度构建和培育完善的市场机制，制定克服市场失灵的市场规范；通过对市场准入规范、质量标准规范、竞争秩序规范和信息披露规范的构建，实现市场秩序向有序、高效方向发展；基于系统控制论的思考，按照贝尔的五个功能子系统模型构建城市公用事业中政府干预行为的经济法规范；通过政府在协调、优化控制、发展和决策方面的控制行为的法律化，建立有内在联系的、相互适应和相互作用的，包括产业规划、财政补贴、运营监管等与市场协调的促进城市公用事业良性发展的经济法制度系统。更多还原

【Abstract】 Since the reform and opening up, the people’s livelihood problems has beenunprecedented attention and developed. Public utilities involved in many fields of the people’slivelihood, utilities have commonweal and management of double attribute, not onlyconcerning the public interest and public welfare foundation in economic field, but alsosatisfying the requirements of cost effective in operation. So the operation is different fromthe general market main body of business behavior. The research achievement of economicsshows that the market mechanism in the provision of public goods in the process of being"failure" phenomenon, so for a long time, the government, as a direct supplier, becomes theprescription for cure market failures. But with the study of institutional economics, publicadministration, and many other disciplines on government intervention, the government ishealing also will be sick. The government has some problems on providing public services,such as their own interests leading, rent-seeking corruption, lack of cost constraint, lowefficiency. So people are sure that when government intervention in this area plays anindispensable role, also need the market mechanism to limit government intervention in thefailure phenomenon. So far, the public utility management of research and debate arebasically around the relationship between market and government to launch. Between thegovernment and the market, the coordination function is always a controversial problem.Different countries have different choices; different period also has its different selection.From the needs of the practice of China’s reform and opening up, China’s market still needs tobe further nurtured, market mechanisms are not perfect enough. And we are experiencing thetransition period of economic system; our utility reform faces a foster perfect marketmechanism and the restriction of government intervention in the double tasks. Westernutilities in the development of diachronic contradictions in China’s reform of public utilitieswill be transformed into a synchronic contradiction. In the operation of public utilities in thefield, it introduces market mechanism, changes government function, improves the operatingefficiency and management quality, and market orientation has become the utility of eachspecific industry’s direction and trend of reform. China also has issued a number ofadministrative regulations, rules, policies, in conjunction with this reform process. The authorattempts to start from the utilities, with a focus on regulation of economic law of the publicutilities, and tries to use the system theory on the thinking model to look at the problems of urban public utilities operations, analyzing utility operations and government intervention inthe market, to think about the mechanism of economic law in it. It reflects on simplistic,deterministic, linear, fragmented way of thinking, tuning of the utilities in the systematicstudies in the legal system, how to coordinate the relationship between government andmarket, and examines the current legislation to explore how to improve the regulation ofeconomic law for public utilities in order to put forward new ideas for solving the problems inthe field of public utilities.Studies on the structure of this article in accordance with the following logic:"To askquestions", is the practical investigation for public utilities and its operation of marketization.It sums up the experience and problems;"To analyze problems", that is, analyzes the legalpath for marketization of public utilities of practice in the legal level; analyzes advantages ofeconomic law in the regulation of public utilities, and attempts to use system theory toreshape the regulation of economic law in the marketization of public utilities;" To solve theproblem ", that is, explores how to construct economic law system of public utilities. Thepaper is divided into four chapters.The introduction first introduces the significance of the topic, and reviews the relatedtopics of research at home and abroad, in introducing the system method on research methods.Analysis through systematic methods researches the regulation of economic law in utilities ofits feasibility and necessity. The writing of this part seeks to show the path of thinking of thesystem method in innovating unities of regulation of economic law. For the later analysis ofthe legal path selection, reshaping the economic law system and the specific system to lay themethodological basis.Chapter I The examination for theory and practice of public utilities’ reform. Themain purpose of this chapter is to ask questions. This chapter first discusses the utilities, andthe orientation of the reform of marketization of public utilities, the legitimacy of the basis forthe marketization of public utilities is analyzed theoretically, and responds to themarketization of reality or not to debate. Then through the international investigation of themarketization of public utilities, this paper summarizes the successful experience, thinking thelocalization of the experience. Finally, experiences and issues in the practice of themarketization of public utilities are sorted out and analyzes these experiences and issues, themarketization is the trend of the reform of public utilities in China cannot shake, problems inChina’s public utilities exist in market mechanisms themselves, and intervention by the government, there are both problems on the concept and the establishment of system.Chapter II The choice of the legal path for the reform of public utilities. Based onthe uniqueness of the problem in the marketization of public utilities in China, this chapterfrom two aspects of theory and practice in the reform of the utilities analyses legal regulation.Combing the reform of public utilities’ legislation and policy in30years, reveals the presentsituation of legal regulation of public utilities’ reform. And from the angle of system theoryanalyses the shortcomings of the regulation of civil law and administrative law, arguing thedivision level of economic law in categories of laws, the protection of social interests andindividual interests, the realization of the value for the laws of fairness efficiency order, theadvantages of the collaboration for the relationship between government and market. Itprovides theoretical support to reshape the system of regulation of economic law in utilities.Chapter III The reconstruction for the system of regulation of economic law inutilities. This chapter starts from the system theory on the way of thinking, trying to model forthe system of regulation of economic law in utilities. Through the analysis of the model, thispaper expounds the economic law regulating the internal structure of system, namely, toestablish a complete system which is matched with the fundamental laws of public utilities,separate regulations of the industry, supporting standards and economic policies; byincreasing the elasticity of bureaucratic system, setting up an independent regulatory authority,reasonably divide the functions of government to realize the power of governmentintervention--the reconstruction of duty structure; through the legislation to guarantee therights of market participants, regulate t the obligation of the main body, remodel the mainstructure of the market; remodeling means of adjustment for public utilities through theunique behavior responsibility structure of economic law. The relationship between thesystem of economic law and the outside world reflects the function of the system of economiclaw, economic law through the market and the government’s double intervention, responds tothe needs of the adjustment of reality for public utilities, and realizes the security of publicinterests and public order. This is economic law different from other categories of laws’function of system. From the angle of system of open understanding the system of economiclaw, through the exchange of information with the outside world, through the exchange ofinformation with the outside world, the standard system of economic law selecting, adapting,adjusting and organizing, which can achieve the evolution of structure and function in thestandard and inadequacy of the market, and the overcoming for the government’s limited rationality and irrationality.Chapter Ⅳ Builds and adjusts the institutional system of economic law of public utilities.In the previous remark of this chapter systematically analyzes economic law on the basis ofthe regulations and theories in the utilities, implementing the analysis of the theory to theconstruction of specific system. Based on the thinking of the self-organization of system, fromthe angle of dissipative structures and entropy to build, cultivate and perfect the marketmechanism, overcoming the market disciplines of market failures. Through the constructionof the standards of market access, standards of quality, standards of competition order,standards of information disclosure, realizes the order of market developing efficiently andorderly. Based on the thinking of system cybernetics, according to Beer’s five functionsubsystem model, it constructs regulations of economic law in the behavior of governmentintervention of public utilities. Make the government’s control behaviors in coordination,optimal control, development and command legalize. It establishes the system of economiclaw, such as estate Planning, financial subsidies, supervision of operation, and makes themhave flexibility with the coordination of market. Thinking based on Synergetics, and itreshapes the relationship between government and market, constructing the standards ofoperation of PPP in public utilities.更多还原