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硕士学位论文
论竞争中性原则下国资委法律定位研究
研究生：代凯旋
指导教师：倪斐教授
培养单位：南京师范大学法学院
一级学科：法学
二级学科：经济法学
完成时间：2022年2月15日
答辩时间：2022年5月17日
摘要竞争中性出现于澳大利亚的国有企业改革，经过多年的发展，已经被国际上
越来越多的国家所接受。作为一项工具性政策，国际上对竞争中性的实践已经形
成了不同的实践模式，包括澳大利亚模式、欧盟模式、OECD 模式，每一种实践
模式都有着规制对象、规制范围和适用标准上的不同。正是由于这些区别，具体
的实践只是外在的表现形式，从竞争中性的理论出发，可以发现存在于该原则背
后价值内涵。由于这些价值内涵的普适性，才使得竞争中性原则日益成为一项国
际通用准则。为了应对竞争中性给我国带来的巨大挑战，我国在在政策上开始重
视，并成为了我国新一轮国企改革的重要理念。但实际上，竞争中性国的能成为
新一轮国企改革的重要理念并非是被迫的，而是必要的也是理所当然的。从历史
的角度来看，我国虽然之前的改革中一直没有明确这一原则，但改革的内容和竞
争中性的原则大部分是相符的；从现实的角度来看，坚持竞争中性原则能够解决
目前国有企业存在的问题，提高国有企业的国际竞争力。
新一轮国企改革是以国资改革为导向的，而我国国资管理体制的核心是国资
委，即国资委国有资产监督管理委员会。国资委是为了实现“政资分离”进而实
现真正的“政企分离”而设置的机构，现行的国资管理体制下，国资委是国有资
产的“出资人”，由政府授权行使出资人权利，但实际上，国资委同时还是“监
管者”和规则制定者。这种模糊不清的法律定位使得国资委成立之初就争议不断，
不仅没有真正的实现“政企分离、政资分离”，在从理论上和实践上，还产生了
新的问题，成为国企改革的在阻碍，造成了目前的国资管理并不符合竞争中性原
则的要求。竞争中性原则这一理念给给国资委如何定位提供了新的思路和方向。
国资委在竞争中性原则理念下，国资委的定位思路应当以公权力和私权利相
分离为前提。将国资委定位为统一的“监督者”，将国资委享有的“出资人”权
利和规则制定权进行剥离。“出资人”角色交给国有资本投资运营公司，规则制
定权交给财政部，国资委只保留监督权，监督对象就是国有资本投资运营公司。
但在目前我国国有资产管理体制并非统一的，在国有企业的监和国有资产的
分布都是分散的；而且国资委“统一所有，分级代表”的机构设立原则和这一原
则也是矛盾的。下一步需要坚持立法先行，沿着构建统一管理体制的方向，将“分
级代表”变成“分级管理”，对国资管理体制内各主体权责明晰，最终实现国资
委“监督者”定位的目标。
关键字：竞争中性，新一轮国企改革，国资委，法律定位，监督者
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Abstract
Abstract
Competitive neutrality emerged in Australia's state-owned enterprise reform,
after years of development,has been accepted by more and more countries in the
world.As an instrumental policy,the practice of competitive neutrality in the world
has formed different practice modes,including the Australian model,the EU model
and the OECD model,each of which has different regulatory objects,regulatory scope
and applicable standards.Just because of these differences,the concrete practice is
only the external form of expression,starting from the theory of competitive neutrality,
we can find the value connotation behind the principle.Because of the universality of
these values,the principle of competitive neutrality has increasingly become an
international general criterion.In order to deal with the great challenge brought by
competitive neutrality,China began to pay attention to it in policy,and became an
important idea of the new round of state-owned enterprise reform in China.But in fact,
the idea that competitive neutral countries can become a new round of SOE reform is
not forced,but necessary and taken for granted.From the perspective of history,
although this principle has not been clearly defined in China's previous reform,the
content of the reform is largely consistent with the principle of competitive neutrality.
From a realistic point of view,adhering to the principle of competitive neutrality can
solve the problems existing in state-owned enterprises and improve their international
competitiveness.
The new round of state-owned enterprise reform is guided by the state-owned
assets reform,and the core of China's state-owned assets management system is the
State-owned Assets Supervision and Administration Commission of the State-owned
Assets supervision and Administration Commission.SASAC is an institution set up to
realize the separation of government and capital and thus the real separation of
government and enterprise.Under the current state-owned assets management system,
SASAC is the "investor"of state-owned assets and is authorized by the government to
exercise the investor's rights,but in fact,SASAC is also the "regulator"and rule
maker.The ambiguous legal position that the beginning of establishment of
state-owned assets supervision and administration is controversial,not only has no
real realize the "separation of government and enterprises,soe should separate",from
the theory and practice,also produced a new problem,as the reform of state-owned
enterprises in the block,caused the current state-owned assets management does not
II
conform to the requirements of competitive neutrality.The principle of competitive
neutrality provides a new way of thinking and direction for the position of SASAC.
Under the principle of neutral competition,the orientation of SASAC should be based
on the separation of public and private rights.
The position of SASAC as a unified "supervisor"will be stripped of the
"investor"rights and rule-making rights enjoyed by SASAC.The role of "investor"is
given to state-owned capital investment operating companies,and the right to make
rules is given to the Ministry of Finance.SASAC only retains the right of supervision,
and the object of supervision is state-owned capital investment operating companies.
But at present,the management system of state-owned assets in Our country is
not unified,the supervision of state-owned enterprises and the distribution of
state-owned assets are scattered;Moreover,the institution establishment principle of
"unified ownership and hierarchical representation"of THE STATE-OWNED Assets
Supervision and Administration Commission also contradicts this principle.In the
next step,it is necessary to adhere to the legislation first,along the direction of
building a unified management system,change "hierarchical representative"into
"hierarchical management",clarify the rights and responsibilities of all subjects in the
state-owned assets management system,and finally realize the goal of "supervisor"
positioning of SASAC.
Key words:competition neutrality,a new round of state-owned enterprise
reform,State-owned Assets Supervision and Administration Commission（SASAC）,
legal position,supervisor
III
目录
目录
摘要...................................................................................................................................................Ⅰ
Abstract...........................................................................................................................................Ⅰ
目录...................................................................................................................................................Ⅰ
导言...................................................................................................................................................Ⅰ
第一章竞争中性原则成为我国新一轮国企改革的重要理念..........................1
第一节竞争中性原则概念的出现及发展......................................1
一、竞争中性原则概念的出现和发展....................................1
二、竞争中性原则的多元化实践模式....................................2
第二节竞争中性原则的理论及价值内涵......................................4
一、竞争中性原则的理论基础..........................................4
二、竞争中性原则的内涵的厘清........................................6
第三节竞争中性成为我国新一轮国企改革的重要理念..........................8
第四节竞争中性成为成为新一轮改革的重要理念的可行性和必要性..............9
一、历史的向度—可行性分析..........................................9
二、现实的需要—必要性分析.........................................10
第二章新一轮国企改革下国资委存在的问题及对竞争中性的偏离...................12
第一节新一轮国企改革的重点是国资改革...................................12
一、新一轮国企改革的主要内容.......................................12
二、新一轮国企改革的重点是国资改革.................................14
第二节新一轮国企改革的内容是对竞争中性原则的实践.......................15
第三节国资委的法律定位及存在的问题.....................................16
一、国资管理体制的的发展与国资委出现...............................16
二、国资委法律定位模糊不清.........................................18
三、国资委法律定位模糊造成了职能上的越位、错位和缺位...............19
第四节国资委法律定位模糊不清造成对竞争中性原则的偏离...................21
第三章竞争中性原则下国资委法律定位的思路...................................22
第一节国资委法律定位坚持竞争中性原则的合理性性分析.....................22
一、国资委得法律定位是为了更好的管理国有企业同竞争中性原则一致.....22
二、国资委法律定下体现的政府和市场关系是竞争中性原则涉及的核心问题.23
三、竞争中性原则同国资委都有构建市场公平竞争环境的要求.............24
第二节公权力和私权利分离是明晰国资委法律定位的前提.....................24
一、出资人权利和监管者权力的厘清...................................24
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