全民所有自然资源资产“三权分置”产权体系研究——基于委托代理理论的视角

doi:10.31497/zrzyxb.20211016

摘要/Abstract

摘要：

建立健全自然资源资产权利体系,是开展自然资源统一确权登记,推进自然资源资产价值核算和编制自然资源资产负债表的基础和前提。基于委托代理理论,按照“制度安排与市场建设欠佳——委托代理与资源监管低效——权能分解与委托代理耦合——三权分置设计”的逻辑思路,试图建构具有中国特色的新时代自然资源资产产权体系。研究发现：自然资源资产产权制度安排失灵,产权市场建设滞后,委托代理机制弱化以及资源监管失调等因素,是自然资源有效利用的主要障碍。通过对自然资源资产产权的权能分解与管理机制耦合,建立自然资源资产“三权分置”的产权体系,有利于明晰自然资源资产的所有者、代理者和使用者之间权、责、利的关系。

关键词: 自然资源资产, 委托代理, “三权分置”, 产权体系

Abstract:

The improvement of a system of natural resource asset rights is the basis and prerequisite for carrying out unified registration of natural resources and confirmation of rights, advancing the accounting of natural resource assets, and compiling the balance sheet of natural resources. Based on the principal-agent theory, this article attempts to construct a new era natural resource asset property rights system with Chinese characteristics in accordance with the logic of "institutional failures-lag in market construction-inefficient government regulation-hierarchical agency-three-power separation design". The study found that the failure to arrange the property rights of natural resources assets, the lag in the construction of the property rights market, the weakening of the principal-agent mechanism, and the imbalance of resource supervision are the main obstacles to the effective use of natural resources. Establishing a "Three Rights Separation" property rights system for natural resource assets, through the coupling of the functional decomposition of the property rights of natural resource assets and the management mechanism, is conducive to clarifying relationships between the rights, responsibilities, and benefits of owners, agents and users of natural resources.

Key words: natural resource assets, principal-agent, "Three Rights Separation", property right system

郭贯成, 崔久富, 李学增. 全民所有自然资源资产“三权分置”产权体系研究——基于委托代理理论的视角[J]. 自然资源学报, 2021, 36(10): 2684-2693.

GUO Guan-cheng, CUI Jiu-fu, LI Xue-zeng. Design of property right system of "Three Rights Separation" of natural resource assets of the whole people: From the perspective of principal-agent theory[J]. JOURNAL OF NATURAL RESOURCES, 2021, 36(10): 2684-2693.

图/表 3

参考文献 27

[1]	焦思颖. 深化改革为生态文明建设夯实基础性制度: 自然资源部综合司负责人解读《关于统筹推进自然资源资产产权制度改革的指导意见》. 国土资源, 2019, (4):32-35.
	[ JIAO S Y. Deepening the reform and consolidating the basic system for the construction of ecological civilization: The head of the comprehensive department of the Ministry of Natural Resources interprets the "Guiding Opinions on Coordinating the Reform of the Property Right System of Natural Resources Assets". Land and Resources, 2019, (4):32-35.]
[2]	蔡华杰. 自然资源:公有抑或私有: 国外关于自然资源资产产权的争鸣和启示. 探索, 2016, (1):39-46.
	[ CAI H J. Natural resources: Public or private: Foreign controversy and enlightenment of property rights of natural resources assets. Exploration, 2016, (1):39-46.]
[3]	王克稳. 论自然资源国家所有权权能. 苏州大学学报: 哲学社会科学版, 2018, 39(1):34-47, 192.
	[ WANG K W. On the state ownership of natural resources. Journal of Suzhou University: Philosophy and Social Sciences, 2018, 39(1):34-47, 192.]
[4]	马永喜, 王娟丽, 王晋. 基于生态环境产权界定的流域生态补偿标准研究. 自然资源学报, 2017, 32(8):1325-1336.
	[ MA Y X, WANG J L, WANG J. Study on ecological compensation standard in river basin based on the property rights of eco-environment. Journal of Natural Resources, 2017, 32(8):1325-1336.]
[5]	李强. 新产权分类与资源管理探析. 云南社会科学, 2012, (2):40-43.
	[ LI Q. Analysis of new property classification and resource management. Yunnan Social Sciences, 2012, (2):40-43.]
[6]	程雪阳. 国有自然资源资产产权行使机制的完善. 法学研究, 2018, 40(6):145-160.
	[ CHENG X Y. The perfection of the exercise mechanism of the property rights of state-owned natural resources assets. Jurisprudential Research, 2018, 40(6):145-160.]
[7]	康京涛. 自然资源资产产权的法学阐释. 湖南农业大学学报: 社会科学版, 2015, 16(1):79-84.
	[ KANG J T. Legal interpretation of property rights of natural resources assets. Journal of Hunan Agricultural University: Social Science Edition, 2015, 16(1):79-84.]
[8]	姜仁良. 我国自然资源产权制度的改革路径. 开放导报, 2010, (4):100-103.
	[ JIANG R L. The reform path of China's natural resources property rights system. Open Herald, 2010, (4):100-103.]
[9]	王万山, 廖卫东. 中国自然资源产权市场应如何“转轨”. 改革, 2002, (6):26-33.
	[ WANG W S, LIAO W D. How should China's natural resources property market be "transformed". Reform, 2002, (6):26-33.]
[10]	陈德敏, 郑阳华. 自然资源资产产权制度的反思与重构. 重庆大学学报: 社会科学版, 2017, 23(5):68-73.
	[ CHEN D M, ZHENG Y H. Reflection and reconstruction of property rights system of natural resources assets. Journal of Chongqing University: Social Science Edition, 2017, 23(5):68-73.]
[11]	陈曦. 中国自然资源资产收益分配研究. 中央财经大学学报, 2019, (5):109-120.
	[ CHEN X. Research on the distribution of income of natural resources assets in China. Journal of Central University of Finance and Economics, 2019, (5):109-120.]
[12]	蔡虹, 李文军. 不同产权制度下青藏高原地区草地资源使用的效率与公平性分析. 自然资源学报, 2016, 31(8):1302-1309.
	[ CAI H, LI W J. A study on efficiency and equity of rangeland management on Qinghai-Tibet Plateau in different property right systems. Journal of Natural Resources, 2016, 31(8):1302-1309.]
[13]	WILSON R. The structure of incentives for decentralization under uncertainty. La Decision, Editions Du Centre National De Le Recherche Scientifique, Paris, 1969.
[14]	刘有贵, 蒋年云. 委托代理理论述评. 学术界, 2006, (1):69-78.
	[ LIU Y G, JIANG N Y. A review of principal-agent theory. Academia, 2006, (1):69-78.]
[15]	罗建钢. 委托代理:国有资产管理体制创新. 北京: 中国财政经济出版社, 2004: 26-27.
	[ LUO J G. Principal-agent: Innovation of State-owned Asset Management System. Beijing: China Financial and Economic Publishing House, 2004: 26-27.]
[16]	吴小节, 曾华, 汪秀琼. 多层次情境嵌入视角下的委托代理理论研究现状及发展. 管理学报, 2017, 14(6):936-946.
	[ WU X J, ZENG H, WANG X Q. The status quo and development of principal-agent theory from the perspective of multi-level situation embedding. Journal of Management, 2017, 14(6):936-946.]
[17]	杨跃. 教师教育课程改革的困境及其突围: 基于委托—代理理论的分析. 湖南师范大学教育科学学报, 2017, 16(2):6-12.
	[ YANG Y. The dilemma and breakthrough of teacher education curriculum reform: Based on the analysis of principal-agent theory. Journal of Educational Science of Hunan Normal University, 2017, 16(2):6-12.]
[18]	赵蜀蓉, 陈绍刚, 王少卓. 委托代理理论及其在行政管理中的应用研究述评. 中国行政管理, 2014, (12):119-122.
	[ ZHAO S R, CEHN S G, WANG S Z. A review of principal-agent theory and its application in administrative management. China Administration, 2014, (12):119-122.]
[19]	熊玉娟. 基于委托代理理论的农地产权制度改革. 农村经济, 2010, (6):22-24.
	[ XIONG Y J. Reform of agricultural land property right system based on principal-agent theory. Rural Economy, 2010, (6):22-24.]
[20]	陈建国. 委托—代理视角的公立医院管理体制改革. 经济体制改革, 2010, (1):34-39.
	[ CEHN J G. Entrusted-agent reform of public hospital management system. Economic System Reform, 2010, (1):34-39.]
[21]	辛鸣. 制度论:关于制度哲学的理论建构. 北京: 人民出版社: 2005, 94-97.
	[ XIN M. Institutional Theory: Theoretical Construction of Institutional Philosophy. Beijing: People's Publishing House: 2005, 94-97.]
[22]	高天明, 于汶加, 沈镭. 中国优势矿产资源管理政策新导向. 资源科学, 2015, 37(5):908-914.
	[ GAO T M, YU W J, SHEN L. New directions for china's superior mineral resources management policy. Resource Science, 2015, 37(5):908-914.]
[23]	李维. 自然资源管理: 探索多层次适应性治理模式. 中国社会科学报, 2018-09-05(004).
	[ LI W. Natural resource management: Exploring multi-level adaptive governance model. Journal of Chinese Social Sciences, 2018-09-05(004).]
[24]	刘灿, 吴垠. 分权理论及其在自然资源产权制度改革中的应用. 经济理论与经济管理, 2008, (11):5-11.
	[ LIU C, WU Y. The Theory of decentralization and its application in the reform of property rights system of natural resources. Economic Theory and Economic Management, 2008, (11):5-11.]
[25]	张琦, 谭志东. 领导干部自然资源资产离任审计的环境治理效应. 审计研究, 2019, (1):16-23.
	[ ZAHNG Q, TAN Z D. Environmental governance effect of outstanding audit of natural resources assets of leading cadres. Audit Research, 2019, (1):16-23.]
[26]	瞿灵敏. 如何理解“国家所有”: 基于对宪法第9、10条为研究对象的文献评析. 法制与社会发展, 2016, 22(5):99-117.
	[ QU L M. How to understand "national ownership": Based on the literature review of articles 9 and 10 of the Constitution. Legal System and Social Development, 2016, 22(5):99-117.]
[27]	郭贯成, 吴群. 基于委托—代理理论析中国耕地保护体制障碍. 中国土地科学, 2008, (4):49-55.
	[ GUO G C, WU Q. Analysis of the obstacles of China's cultivated land protection system based on principal-agent theory. China Land Science, 2008, (4):49-55.]

学科名称	研究领域	前提假设	适用情境
企业管理	会计领域;金融理财;高层管理;家族企业等	委托人与代理人之间存在信息不对称和利益冲突	激励机制缺乏;约束条件不够;效率与公平错位
行政管理	上下级政府;公共权力治理;社区管理;公共服务;反腐败等
社会医学与卫生事业管理	公共服务;医院管理体制改革;医疗保险体制改革等
教育经济与管理	高等教育改革;职业教育办学;义务教育资源配置;民办教育办学等
土地资源管理	土地资源配置;土地产权制度改革;土地征收;耕地资源保护等