本文關(guān)鍵詞：公平競爭視角下國有企業(yè)改革法律問題研究　出處：《湖南大學(xué)》2016年博士論文　論文類型：學(xué)位論文

  更多相關(guān)文章： 國有企業(yè) 市場經(jīng)濟 公平競爭 分類改革 反壟斷法

【摘要】：作為世界范圍內(nèi)普遍存在的一種經(jīng)濟現(xiàn)象,國有企業(yè)并非中國的獨有專利,無論是發(fā)達國家還是發(fā)展中國家,都不同程度地存在著國有企業(yè),故國有企業(yè)具有現(xiàn)實的正當(dāng)性。各國國有企業(yè)的發(fā)展實踐也已經(jīng)證明國有企業(yè)是政府克服自然壟斷問題、解決公共產(chǎn)品供給不足、調(diào)節(jié)收入分配差距、保障國家經(jīng)濟安全、實現(xiàn)快速工業(yè)化的有效方式,故國有企業(yè)也存在充分的理論正當(dāng)性。然而,實行市場經(jīng)濟制度的國家在近百年間所推行的國有企業(yè)改革,也說明了一個事實:在市場經(jīng)濟發(fā)展完善的過程中,國有企業(yè)與市場機制存在難以協(xié)調(diào)的矛盾,一個國家市場經(jīng)濟發(fā)展的程度越高,決定了其對國有企業(yè)的需求程度越低。這是因為,國有企業(yè)僅是市場機制的一種極為有限的補充,其通常是作為政府干預(yù)經(jīng)濟的手段之一而存在的,成熟的市場經(jīng)濟體制對政府干預(yù)始終持有謹慎的態(tài)度,以降低比重形式對國有企業(yè)進行控制,是發(fā)揮市場資源配置作用的前提,也是對公權(quán)力限制的客觀需要。從1978年開始,我國國有企業(yè)改革至今已走過三十余年歷程,回顧既往國有企業(yè)改革中的種種措施,可以發(fā)現(xiàn),對企業(yè)微觀經(jīng)濟效率的追求是貫穿于整個改革中的“主旋律”,當(dāng)“做大做強國有企業(yè),搞活搞好國有經(jīng)濟”成為國家政策的正當(dāng)表述,“保值增值”被確立為國有資產(chǎn)運行的法定目標時,圍繞著國有企業(yè)改革的主流學(xué)術(shù)研究也多以如何提高企業(yè)效率為中心展開。從目前國有企業(yè)的業(yè)績表現(xiàn)來看,以效率為導(dǎo)向的改革是成功的,也是值得肯定的,但另一個不容忽視的關(guān)鍵是,國有企業(yè)改革是我國經(jīng)濟體制改革的重要組成部分,其改革的成功與否,必須放置在完善市場經(jīng)濟體制的背景框架下進行評判,如何協(xié)調(diào)國有企業(yè)與市場經(jīng)濟關(guān)系則是重點與難點。然而從目前的實踐來看,我國做的并不夠好。關(guān)于國有企業(yè)的爭論并沒有因為國有企業(yè)的效益改善而停止,近年來,公眾對國有企業(yè)的詬病已從企業(yè)效率低下轉(zhuǎn)向其參與市場競爭的公平性。市場經(jīng)濟的本質(zhì)是競爭經(jīng)濟,公平競爭也是市場經(jīng)濟的最突出特征,相比起其他市場主體而言,國有企業(yè)目前享受著更多非市場性競爭優(yōu)勢,主要體現(xiàn)在四個方面:首先,在市場準入制度中,存在較為嚴重的所有制歧視現(xiàn)象,部分行業(yè)只允許國有企業(yè)進入并實行壟斷經(jīng)營;其次,在政府補貼中,國有企業(yè)總能夠以低價甚至無償方式占有稀缺性資源,并獲得大量的政府專項撥款;再次,在企業(yè)稅收優(yōu)惠政策中,國家會為國有企業(yè)度身訂制專屬性的政策,實現(xiàn)對特定國有企業(yè)的稅收減免;最后,在企業(yè)融資市場中,無論是以銀行貸款為主的間接融資渠道還是以股票證券市場為主的直接融資渠道,國有企業(yè)都能獲得更多的市場資本。在國有企業(yè)所享有的非市場競爭優(yōu)勢中,部分是因為法律與政策的規(guī)定顯失公平,部分是因為貌似公平的制度在執(zhí)行過程中因國有企業(yè)與政府的天然緊密關(guān)系而走樣。從1992年我國將“建立社會主義市場經(jīng)濟制度”確定為經(jīng)濟體制改革的目標,到二十世紀末,宣布已初步建立社會主義市場經(jīng)濟體制,不過短短數(shù)年,并且,我國對完善社會主義市場經(jīng)濟的目標追求從未懈怠,這彰顯了國家的決心,但僅靠宣示并不足以證明體制改革的成功,制度變遷必然是一個漫長復(fù)雜的過程。在我國構(gòu)建市場經(jīng)濟制度的過程中,由于意識形態(tài)認知以及既有利益格局已然形成等復(fù)雜原因,本應(yīng)作為約束國有企業(yè)的市場法律制度,卻異化成為保護國有企業(yè)的武器。國家對國有企業(yè)的實質(zhì)性保護顯然偏離了市場化改革之本意,這是造成國有企業(yè)目前與市場經(jīng)濟機制不協(xié)調(diào)現(xiàn)象的根本原因,并且,對國有企業(yè)的過度保護是危害極大的,其是以侵蝕市場經(jīng)濟所要求的公平競爭機制為代價的。十八屆三中全會指出,要“深化經(jīng)濟體制改革,堅持和完善基本經(jīng)濟制度,處理好政府和市場的關(guān)系,使市場在資源配置中起決定性作用和更好發(fā)揮政府作用�！毙聲r期中央高層釋放的積極信號為下一階段深化國有企業(yè)改革指明了方向。從國有企業(yè)與市場經(jīng)濟制度的現(xiàn)實問題來看,完善市場經(jīng)濟的改革方向決定了將“公平競爭”理念融入國有企業(yè)改革的必要性,公平競爭的實現(xiàn)需要做到國有企業(yè)與其他市場主體間的起點競爭公平、過程競爭公平、結(jié)果競爭公平。從完善市場經(jīng)濟的長遠目的來看,未來國有企業(yè)的改革總體方向是適度收縮規(guī)模。鑒于我國依然擁有龐大國有企業(yè)群體的事實,收縮規(guī)模的具體方式是對國有企業(yè)進行法治化的分類改革,將國有企業(yè)分為公益類國有企業(yè)與商業(yè)類國有企業(yè)。其中公益類國企應(yīng)當(dāng)進行專門立法,嚴格控制企業(yè)的業(yè)務(wù)經(jīng)營范圍,保證企業(yè)切實履行公益職能,并制定與企業(yè)職能相符的考核標準。商業(yè)類國有企業(yè)應(yīng)當(dāng)通過引入民營資本的方式進行混合所有制改革,以實現(xiàn)優(yōu)化公司治理,提高企業(yè)績效的目的,也為在未來,國有資本漸進式足價退出商業(yè)性領(lǐng)域,以及防止國有資產(chǎn)不當(dāng)流失提供良好基礎(chǔ)。此外,還應(yīng)當(dāng)禁止行政機關(guān)以履行部門職能為名,以實現(xiàn)部門利益為實,擅自新設(shè)競爭類國有企業(yè)。在未來深化國有企業(yè)改革的過程中,國家還應(yīng)當(dāng)完善以反壟斷法為核心的競爭法律制度,踐行市場經(jīng)濟是法制經(jīng)濟的本意。競爭法律制度需要解決的兩個核心問題是其對國有企業(yè)的適用以及對政府行為的控制,為此,我國應(yīng)當(dāng)修訂反壟斷法中相關(guān)內(nèi)容,以實現(xiàn)反壟斷法對國有企業(yè)及其他市場主體的平等適用。強化對政府行為的控制,在反壟斷法中引入競爭中立政策,增設(shè)對國家援助行為的控制,細化行政壟斷法律規(guī)定,嚴苛法律責(zé)任,構(gòu)建競爭推進制度以彌補剛性執(zhí)法存在的不足,完善行政壟斷私人訴訟機制。
[Abstract]:As a kind of economic phenomenon in the world exists, state-owned enterprises are not Chinese exclusive patents, both developed and developing countries, there are different degrees of state-owned enterprises, state-owned enterprises have the legitimacy of reality. The development practice of state-owned enterprises in different countries have already proved that the state-owned enterprise is the government to overcome the natural monopoly problem solving the inadequate supply of public goods, adjust the income gap and safeguard national economic security, effective way to achieve rapid industrialization, the state-owned enterprises have sufficient theoretical legitimacy. However, the implementation of the reform of state-owned enterprises in the past hundred years the implementation of market economic system of the country, but also means that in the development of the market economy to improve in the process of state-owned enterprises and the market mechanism is difficult to reconcile the contradictions, the higher a national market economy development level, determine the country There is a demand level of enterprise is low. This is because the state-owned enterprise is only a very limited supplement of the market mechanism, which is usually exist as one of the means of government intervention in the economy, mature market economy always hold a cautious attitude towards the government intervention, control of state-owned enterprises in order to reduce the proportion of the form is the premise to play the role of market allocation of resources, but also the objective need of public power restriction. From the beginning of 1978, the reform of state-owned enterprises in China has gone through thirty years of history, reviews various kinds of measures previously in the reform of state owned enterprises, can be found on the micro economic efficiency is throughout the whole reform in "the main melody", when the "bigger and stronger enterprises, invigorate the state-owned economy" has become a legitimate expression of national policy, the "value" was established as the state-owned assets operation method goals, Research on the academic mainstream of the reform of state-owned enterprises is to how to improve the enterprise efficiency as the center. From the current state-owned enterprise performance, efficiency oriented reform is successful, is worthy of recognition, but the other one can not be ignored is the key, the reform of state-owned enterprises is an important part of China's economy system reform, the reform is successful or not, must be placed in the perfect market economic system under the framework of evaluation, how to coordinate the relationship between state-owned enterprises and market economy is the key and difficult. However, judging from the current practice of our country, and do not good enough. The debate about state-owned enterprise and not because of benefits the state-owned enterprises to stop, in recent years, the public has been criticized for the state-owned enterprises from the enterprise efficiency to the fairness of participating in the market competition. The essence of market economy is a competitive economy, the public The most prominent feature of the market economy competition is flat, compared with other market players, the current state-owned enterprises enjoy more non market competitive advantages, mainly reflected in four aspects: first, the market access system, the system of ownership discrimination phenomenon is more serious, some industries are only allowed to enter and the monopoly management of state-owned enterprises secondly, government subsidies; in total, state-owned enterprises to low-cost or even free of charge way to occupy scarce resources, and get a lot of government funds; thirdly, the tax preferential policies for enterprises in the country for state-owned enterprises tailored specific policies, implementation of specific tax relief for the state-owned enterprises; finally, in enterprise financing market, whether it is indirect financing to bank loans or to the stock market as the direct financing channels, state-owned enterprises can obtain more market Capital. Enjoy state-owned enterprises in the non market competitive advantage, partly because the provisions of the law and the policy is unfair, partly because the seemingly fair system in the implementation process for state-owned enterprises and government and the close relationship between natural shape. From 1992, China will establish a socialist market economic system "as the goal of the economic system reform, to the end of twentieth Century, announced that it has established the socialist market economic system, but just a few years, and in China to improve the socialist market economic goals never slack, which demonstrates the country's determination, but it is not enough to prove that the success of reform, institutional change is an inevitable long and complex process. In the process of constructing market economy system of our country, because of the ideological cognition and existing pattern of interest is the formation of complex reasons, this should be the The constraint of state-owned enterprise market legal system, but alienation became a weapon. The protection of state-owned enterprises substantial protection of SOEs have obviously deviated from the market-oriented reform intention, which is the fundamental reason causing the current state-owned enterprises and market economy mechanism disharmony and excessive protection of state-owned enterprises is great harm it is, at the expense of the fair competition mechanism of erosion of market economy demanded. In the third Plenary Session of the 18th CPC Central Committee pointed out that "to deepen the reform of economic system, adhere to and improve the basic economic system, handle the relationship between government and market, make the market play a decisive role in the allocation of resources and better play the role of government. The central level positive signal in new period the release of the next stage of deepening the reform of state-owned enterprises and the direction. Practical problems from the state-owned enterprises and the market economy system, the perfection of the market economy The direction of reform will determine the necessity of "fair competition" concept into the reform of state-owned enterprises, to realize the fair competition so that the starting point of state-owned enterprises and other market players between the process of fair competition, fair competition, fair competition results. From the long-term goal of the market economy and the improvement of the overall direction of reform of state-owned enterprises, the future is moderate contraction the scale. In view of our country still has a huge state-owned enterprise group in specific ways to shrink the size of classification is the rule of law reform of state-owned enterprises, state-owned enterprises will be divided into public welfare state-owned enterprises and commercial state-owned enterprises. These should be special legislation for public welfare state-owned enterprises, strictly control the scope of business enterprises, ensure that enterprises to fulfill public functions, and to develop consistent with the enterprise function assessment standards. Business class state-owned enterprises should be the introduction of private capital through the way Mixed ownership reform, in order to realize the optimization of corporate governance, improve corporate performance, as well as in the future, the full price of state-owned capital gradually withdraw from the commercial area, and to prevent loss of state-owned assets not provide good foundation. In addition, it should prohibit administrative authorities to fulfill functions of the name, in order to achieve departmental interests for the real, without the new competitive state-owned enterprises. In the process of deepening the reform of the state-owned enterprises in the future, countries should also improve the anti-monopoly law as the core of the legal system of competition, the practice of market economy is the legal economy. The intention of the two core problems of competition legal system needs to be solved is the application of the state-owned enterprises and the control of the behavior of the government in our country should amend the relevant content in the anti-monopoly law, in order to achieve the anti monopoly law is equal to state-owned enterprises and other market players. To strengthen the government behavior control In the anti-monopoly law, we introduce the policy of competition neutrality in the anti-monopoly law, increase the control of state assistance behavior, refine the administrative monopoly laws, strictly enforce the legal responsibilities, and establish a competition promotion system to make up for the shortcomings of rigid law enforcement, and improve the administrative monopoly private litigation mechanism.

【學(xué)位授予單位】：湖南大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2016
【分類號】：D922.294

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