【作者】 胡元聪；

【导师】 李昌麒；

【作者基本信息】 西南政法大学 ， 经济法， 2009， 博士

【摘要】 外部性最早是由西方经济学家作为“市场失灵”的重要表现之一而提出来的。对于外部性,我国的盛洪教授指出,广义地说,经济学曾经面临的和正在面临的问题都是外部性,有的是已经解决的外部性,有的是正在解决的外部性。这表明由外部性引发的外部性问题存在于时间上的永恒性与空间上的普遍性。因此,对于外部性问题的研究首先是从经济学领域开始的,而后又波及到伦理学、法学、政治学、社会学、人口学等领域。“外部性”是一个内容十分广泛的概念,不同的学科都可以从各自的视域出发对它的内涵进行揭示,而对由外部性引发的外部性问题的解决也有多种进路,本文所关注的是外部性问题的制度克服。美国著名制度经济学家科斯曾经精辟的指出,外部性问题的解决可以有市场方案与政府方案,但是他又认为,任何市场方案都是依赖于一系列由立法者和法院创设的法律规则来实现的。这里他强调了法律对外部性问题规制的必然性。奥地利经济学家米瑟斯也主张,所有负外部性问题都可以通过改革受损责任法律,以及消除妨碍私人所有权实施的制度壁垒得以解决。这里他指出了我们寻求外部性问题法律解决的有效途径。关于外部性问题的经济法解决,李昌麒教授指出,对于法学研究者来讲,我们又不能把我们对外部性的研究停留在经济学的层面,而是要透过对经济学家们所揭示的外部性的表现寻求解决外部性的“法律药方”。作为国家干预经济的基本法律形式的经济法必然能够在外部性问题解决方面能够发挥重要的作用。张守文教授也认为,从法学上说,法学研究在很多情况下是在解决外部性问题,经济法也不例外。本文认为,在外部性问题解决上,经济法不仅应有所作为,而且应当有更大的作为。本文试图从经济法视域解读出发,探索外部性问题解决的经济法进路。本文分为三篇。首先是基础篇:包括第一、二章。主要考察了经济学对外部性的揭示并从法学视角对外部性进行了审视;回顾了伦理学、经济学和法学视野中外部性问题解决的进路并进行反思,以为经济法解决方法提供铺垫;其次是本论篇:包括第三、四、五章。主要是对外部性问题经济法解决的原理、基本出发点、路径等进行理论解析。最后是实践篇:包括第六、七章。主要是从实践出发探讨外部性问题的经济法解决。首先,在外部性问题的事前解决方面,对我国市场经济条件下生产、交换、分配、消费四个领域中外部性问题的经济法解决进行实证分析;然后,在分析传统诉讼机制解决外部性问题的局限性的基础上,提出建立公益经济诉讼机制实现外部性问题的事后解决,并在此基础上提出了具体的制度创新建议。第一章经济学和法学视野中的外部性。把经济学术语“外部性”引入法学研究领域,首先还必须回到经济学是怎样揭示外部性的。如果对外部性本身没有相当的把握,那么要找出解决外部性问题的法律进路就会出现问题。因此,本章主要考察了经济学对外部性的揭示并从法学视角对外部性进行了审视。首先,考察了经济学家对外部性的揭示。然后,从法学视角对外部性进行审视。最后找出了经济学和法学关注外部性的共同取向。结论是:外部性概念可以引入法学研究领域,从而为下文外部性问题的法学解决进路奠定了基础。第二章外部性问题解决的主要进路考察及其反思。本章考察了外部性问题解决的主要进路,包括伦理学视野、经济学视野以及法学视野中外部性问题的解决进路。重点是对外部性问题的伦理学、经济学视野下的解决进路进行了反思以及对法学视野中的民法方法、行政法方法进行了反思。结论是:在解决外部性问题的进路中,1.法律解决进路优于伦理解决进路;2.作为正式制度的法律解决进路与作为非正式制度的伦理解决进路、作为制度方法的政府干预方法与作为非制度的市场解决方法必须结合才能有效解决外部性问题;3.作为构成整个法律体系的各个部门法,如民法、行政法、刑法等在解决外部性问题中也必须互动与合作;4.在总结与反思的基础上提出了一个假设,即经济法解决外部性问题方法具有明显的优势,从而为下文经济法解决外部性问题的论述奠定基础。第三章经济法解决外部性问题的原理:理论基础与内在机理。本章主要从理论基础和内在机理两个方面论述了经济法解决外部性问题的基本原理。其中理论基础包括:政治学基础、经济学基础、社会学基础、伦理学基础、法理学基础;内在机理包括:从经济法起源于克服市场失灵、经济法凸显社会本位观、经济法丰富的软法性质、经济法对权利义务倾斜性配置、经济法的公私法融合趋势、外部性问题的事前预防和事后救济、经济法的人性假设等角度分析经济法解决外部性问题的可能性与必然性。结论是:经济法解决外部性问题具有深厚的理论基础和特殊的内在机理。第四章经济法解决外部性问题的基本出发点:价值与理念。本章主要从价值和理念两个方面论述了外部性问题经济法解决的基本出发点。其中,经济法解决外部性问题的价值包括实质公平价值和社会效益价值。这里的实质公平区别于民法上的形式公平,社会效益区别民法上的个人效益,因而更加有利于解决外部性问题;经济法解决外部性问题的理念包括社会和谐理念和科学发展理念。社会和谐理念中包括人与生态的和谐以及人与社会的和谐;科学发展理念包括发展是扩展人权的发展以及发展是科学的发展,因而有利于外部性问题的解决。结论是:经济法解决外部性问题的基本出发点是追求社会的实质公平和社会整体效益,追求社会的和谐和科学发展,从而解决外部性问题。第五章经济法解决外部性问题的路径:以经济法功能为视角。本章主要以经济法功能为视角,围绕经济法的激励功能、信息传递功能、规制公共产品供给功能以及优化资源配置功能论述了外部性问题经济法解决的具体路径。其中,经济法的激励功能的发挥主要体现为对正外部性问题的解决;经济法的信息传递功能、规制公共产品供给功能以及优化资源配置功能主要体现为对负外部性问题的解决。结论是:经济法通过法律激励、信息传递、规制公共产品供给以及优化资源配置的是解决外部性问题的有效路径。第六章经济法解决外部性问题的实践:我国经济法解决外部性问题的实证分析。本章主要以我国社会化大生产“四个环节”中外部性问题经济法解决为研究对象,分析了经济法在事前解决这些领域中外部性问题的理论基础和具体途径:以企业社会责任经济法制规范为视域,论述了生产领域外部性问题的经济法解决;以交易公平的经济法制保障为视域,论述了交换领域外部性问题的经济法解决;以经济法保障财富实质公平分享为视域,论述了分配领域外部性问题的经济法解决;以公民环境权的经济法制保障为视域,论述了消费领域外部性问题的经济法解决。结论是:经济法体系中的市场主体法律制度、市场秩序法律制度、宏观调控法律制度、可持续发展法律制度以及社会分配法律制度都是解决外部性问题的经济法律制度,有利于解决社会化大生产“四个环节”中的外部性问题。第七章经济法解决外部性问题的实现机制:公益经济诉讼。本章首先从外部性问题的事后解决方面指出了传统诉讼机制的局限性。然后分析了公益经济诉讼与外部性问题、经济法的关系,论证了公益经济诉讼制度在解决外部性问题中的特殊功能及意义。最后,重点提出了构建公益经济诉讼制度解决外部性问题的具体建议,包括:拓宽外部性诉讼案件原告适格标准、合理配置外部性诉讼案件原被告举证责任、赋予法院处理外部性诉讼案件特别职权、建立外部性诉讼案件公益经济审判庭、确立有利于外部性诉讼案件原告的诉讼费用原则、建立外部性诉讼案件公益经济诉讼激励机制等。结论是:基于外部性诉讼案件的公益性需要一种新型的诉讼机制——公益经济诉讼,并且需要突破传统诉讼机制的窠臼,进行具体的制度创新;完善的公益经济诉讼机制可以有效的实现外部性问题的事后解决。更多还原

【Abstract】 The problems of externality were firstly presented by western economists as one of the important phenomenon of“market failure”. The Chinese professor Sheng-hong once pointed out that the economics have always been facing the problems of externality from the broad sense, and some have been solved and some others are being solved. From this we know that the problems of externality exist anytime and anywhere. Therefore, the researches on the problems of externality firstly started from the field of economics, and then spread to ethnics, juridical science, politics, sociology, demography and so on.The concept of“externality”covers a very wide scope and its meanings have been studied by scholars from different disciplines. The author of this paper focuses on the solving of the problems of externality from the institutional perspective. Coase, the famous institutional economist of America,once incisively pointed out that the problems of externality may be solved by the market or the government but all market plans must rely on a series of legal rules established by legislators and courts. It is obvious that Coase emphasized the necessity of solving the problems of externality by laws. Mises, the economist of Austria claimed that all negative externality should be solved by reforming the law of responsibility and damages and by eliminating the institutional barriers of private ownerships. Mises also offers some suggestions about how to solve the problems of externality by laws.As for the approaches to solving the problems of externality by economic law, Professor Li Chang-qi thinks that we should seek for“legal prescriptions”to the problems of externality from the academic achievements by economist instead of letting the our researches rest on the level of economics. As the basic legal means of the government to intervene the economy, economic law can surely play an important role in solving the problems of externality. Professor Zhang Shou-wen points out that the legal researches are mainly aimed at the solving of the problems of externality, and there is no exception to economic law. The author of this paper thinks that economic law shall play a more important role in solving the problems of externality and tries to explore the approaches from the perspective of economic law.This paper consists of three parts. The first part contains two chapters and it is the springboard of this dissertation. In this part, the author summarizes the meanings of and the approaches to the solving of the problems of externality. And the aim of this part is to provide some foundations for further researches. The second part contains three chapters, namely, Chapter Three, Four and Five. This part focuses on the principles, the guidelines, the approaches and so on. The third part is about the practical issues, including two chapters. The author firstly carries out the empirical studies of the problems of externality in the field of production, exchange, distribution and consumption under China’s market economy conditions. And then the author suggests that economic litigation mechanism for public interests should be established after analyzing the shortcomings of the traditional litigation institutions.Chapter One introduces the basic theories of the problems of externality from the angle of economics and laws. We shall firstly know how the economics deals with the problems of externality in order to introduce this concept into the field of juridical science. It is almost impossible to find the legal approaches to the problems of externality if we have not really understood the meanings of externality itself. Therefore, the author of this paper firstly studies the emergence and meanings of externality from the angle of economics. And then the author explores the above-mentioned issues from the angle of law. The conclusion is that the concept of externality can be introduced into legal researches and it is possible to find some legal approaches to the problems of externality.Chapter Two is a summary of different approaches to the solving of the problems of externality. The author mainly introduces the ethnic, economic and legal approaches to the problems of externality and then makes some comments. The legal approaches are better than the ethnic ones, and this viewpoint is also supported by Stiglitz. He thinks that laws have some advantages when solving the problems of externality because the victims who enjoy direct interests are surely to undertake the responsibility for the implementation of laws instead of depending on the government. This mechanism is more efficient because the victims are more willing to know whether the harmful incident has happened than the government. The legal approaches, the ethnic approaches, the governmental intervention and the market approaches must be combined in order to solve the problems of externality effectively. Also the other sections of law such as civil law, criminal law, administrative law and so on shall work together to achieve a better result. At the end of this part, the author puts forward a hypothesis that economic law has an obvious advantage when solving the problems of externality, which is the basis for further discussions in the following chapters. Chapter Three is about the basic principles when using economic law to solve the problems of externality, namely, the theoretical basis and the interior mechanism. The theoretical bases include politics, economics, sociology, ethnics, juridical science and so on. And the interior mechanisms are as follows: the emergence of economic law being to overcome the market failure, economic law embodying the social priorities, economic law being a soft law in many ways, the oriented distribution of rights and duties, the combination of public law and private law, the prevention and remedies of externality, and the hypothesis of human nature of economic law, and so on. The analysis shows that economic law is able to solve the problems of externality.Chapter Four is about the basic starting points when using economic law to solve the problems of externality, namely, the values and the ideas. The values include substantial fairness and social benefits. The so-called substantial fairness here is somewhat different from the form fairness in civil law and the social benefits are also different from the individual benefits in civil law. The ideas of economic law when solving the problems of externality include social harmony and scientific development. The social harmony means the harmony between man and ecosystem, man and society and so on. The scientific development means the development of extended human rights and scientific ways. Therefore, the basic starting points when using economic law to solve the problems of externality are as follows: substantial fairness, the integrated benefits of the society, the harmonious and scientific development of our society.Chapter Five is about the approaches to the solving of the problems of externality from the perspective of economic law. The functions of economic law such as incentive, information transferring, regulation of public goods and optimizing the allocation of resources are especially important to the solving of the problems of externality. The incentive function of economic law is benefiting the solving of positive externality while the rest of the functions are important for the solving of the negative externality. At last the author concludes that the functions of economic law can effectively help solve the problems of externality.Chapter Six is about the practical issues when using economic law to solve the problems of externality. This part firstly analyses the problems of externality in the fields of production, exchange, distribution and consumption under the market economy conditions in our country. Then the author points out the shortcomings when solving the problems of externality and offers some suggestions to improve the practices. The author discusses the problems of externality in the field of production by the example of economic regulation of enterprise’s social responsibilities. The problems of externality in the field of exchange are embodied in the safeguarding of fair dealing by economic law. The problems of externality in the field of distribution can be solved by following the example of guaranteeing fair distribution of social wealth. And the author discusses the solving of externality problems in the field of consumption by the example of safeguarding citizen’s rights to environment. The main contents of economic law, including the institutions for the market participants, the market orders, macro-control, sustainable development and social distribution, are helpful to the solving of externality problems in the above-mentioned sections of socialized mass production.Chapter Seven is about the mechanisms of solving the problems of externality by economic law, namely, economic litigation mechanism for public interest. Roscoe Pound said that the biggest problem today does not lie in the substantive laws but procedural laws. So we must try our best to reform the procedural laws in order to realize our rights. In this chapter the author firstly discusses the shortcomings of the traditional litigation mechanisms and then the special functions of economic litigation mechanisms for public interests. The concrete measures to solve the problems of externality by economic litigation mechanism are as follows: making more plaintiffs qualified for the externality-concerned litigation, reasonably distributing the burdens of proof, granting more power to the courts when dealing with such cases, establishing special benches for such cases, establishing a better litigation fee system that is beneficial to the plaintiffs, and setting up the incentive mechanisms. The cases about externality need a new litigation mechanism which can be called economic litigation for public interests. At the same time, the innovation of current institutions is necessary because the improvement of economic litigation mechanism for public interests can surely lead to the better solving of the problems of externality.更多还原