
全民所有自然资源资产所有权委托代理模式研究
Study on the principal-agent model for the ownership of natural resource assets owned by the whole people
全民所有自然资源资产所有权委托代理模式构建是落实统一行使全民所有自然资源资产所有者职责的重要内容,也是深入推进生态文明体制改革的必然要求。基于委托代理主体、客体、性质等内容构建委托代理模式,重点区分所有权和监管权(“两权”)的行使主体及其行使路径。研究表明:应将资源资产分为公益性和经营性,分别以行政授权和信托方式实现其所有权委托代理,并确保履行经营性资源资产所有者职责主体的独立。但当前自然资源资产“两权”交织且其行使主体高度重合,“两权”行使的分离应循序渐进,逐步让行使主体从部门内机构的独立到部门之间的独立,并配套完善法律基础、摸清家底、明确资源清单、确定收益共享方式和建立考核监督机制等措施。
The construction of the principal-agent model for the ownership of natural resource assets owned by the whole people is an important step to implement the unified exercise of the responsibilities of resource asset owners, and it is also an inevitable requirement for further promoting the reform of the ecological civilization system. The construction of the principal-agent model includes clarifying the principal, object, nature, and operation framework and path of the model, focusing on distinguishing the subject of ownership and supervision ("two rights") and clarifying the exercise path. The results show that natural resource assets should be divided into public welfare resource assets and operational natural resource assets, and their principal-agent of ownership is realized in the form of administrative authorization and trust respectively, and the performance of the duties of the owners of operational natural resource assets is ensured to have an independent exercise subject. However, due to the intertwined responsibilities of the "two rights" held by component authorities for natural resources assets, and the high degree of overlap in their exercises subjects, the separation of the exercise of the "two rights" approached in a progressive manner. In the near future, the subjects exercising of the "two rights" should be distinguished between the institutions within the department as far as possible. In the long term, the department that performs the duties of the owner of operational natural resource assets will be separated, and a natural resources asset management committee will be established to manage matters related to natural resource assets, mainly exercising shareholder rights. To truly realize the independence and mutual cooperation of the exercise of the "two rights", it is also necessary to improve the legal basis, ascertain the physical quantity and value quantity of natural resource assets, clarify the resource list, determine the mode of revenue sharing for natural resource assets, and establish a mechanism for assessment and supervision.
全民所有 / 自然资源资产 / 所有权 / 委托代理 / 模式 {{custom_keyword}} /
owned by the whole people / natural resource assets / the ownership / principal-agent / model {{custom_keyword}} /
图1 近期全民所有自然资源所有权委托代理模式运行框架Fig. 1 The operational framework of the principal-agent model in the near future |
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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。
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The implementation of the principal-agent mechanism in the management of natural resource assets owned by the whole people is an exploratory proposition to realize the effective protection and efficient utilization of natural resource assets. Based on the theory of incomplete contract and the theory of rent dissipation, aiming at the orderly transfer of property rights and the dissipation of rent value reduction, the power mutation logic of the transformation of property rights from "right" to "power" must be deconstructed. It is found through the study that the property rights of natural resource assets have been partially transferred under the guidance of Marx's property rights theory, and then developed into large-scale operation in the framework of dual ownership, while the mutation of power and the transfer of property rights have caused the exercise dilemma represented by the expansion of residual control rights and the structural absence of supervision. It is believed that the tension between government powers and responsibilities should be strengthened to inhibit the expansion of control rights, contributing to the orderly return of property rights from ownership by the whole people to individual operation. Meanwhile, the independence of digital comprehensive supervision must be heightened, and the exercise mode of "universal ownership-legal entrustment-hierarchical agency-partial property rights transfer-comprehensive supervision" could be implemented, avoiding the non-rational rent dissipation of natural resource assets. In this model, there are three ways to achieve. Firstly, control decomposition should build a hierarchical downward mechanism for the residual control rights of natural resource assets, enhance the arrangement of control rights at the same level for the natural resource assets utilization and supervision, and establish a legal and regulatory system with clear powers and responsibilities. Secondly, people related to property right must reduce cross of attributes, conduct scale operation and cut down on property rights conflicts, lowering down the transaction costs and rental value dissipation caused by property rights conflicts among operators. Thirdly, comprehensive oversight is supposed to deepen the construction of digital standardization and expand the space for standardization supervision, and improve the independence of "digital supervision" by utilizing digital government opportunities, strengthening the incentive compatibility mechanism of natural resource asset supervision. More importantly, digital regulation is not only an extension of internal supervision, but the decentralization of regulatory power which is to make the regulatory process and results transparent and the bottom line of ecological protection visible, gradually improving its independence and making it become a "third party supervision" carrier. This is to allow the masses, the media, and group organizations to exercise their supervisory power through the carrier of "digital supervision", and resort to laws and regulations for unreasonable behaviors or phenomena. At the same time, the roles of "manager" and "referee" of the government can be separated. {{custom_citation.content}}
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There exist three common theoretical approaches in explaining the structure of horizontal separation of powers in China, namely the Article 3 approach, the democratic centralization principle approach, and the approach that is based on state organs and their authorities. All these approaches, however, fail to present a comprehensive understanding of the horizontal separation of powers structure. To fill such an academic vacuum, this article tries to capture several identifiable patterns and normative structures of the horizontal separation of powers by sorting out common elements in constitutional norms and the studies of landmark cases and controversies. The quinary structure, the organizationally hierarchical order, the supremacy of People's Congresses, the integration of legislative and executive branches, and the principle of restrained oversight represent the common structure genes of China's horizontal separation of powers structure.
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