对自贸区“负面清单”的法律分析

发布时间：2018-05-17 19:49

本文选题：“负面清单” + 上海自贸区　；参考：《华东师范大学》2015年硕士论文

【摘要】：国务院于2013年8月批准上海设立自贸区,中央将自贸区作为一块试验田,改革的重点、难点与亮点是“负面清单”管理模式。上海自贸区虽落户上海,却旨在进行国内经济改革,这也决定了园区内“负面清单”与国际法的“负面清单”是存在区别的。同时“负面清单”模式的采纳又有国际背景,且从国外引进,又必然具有国际特色。笔者自上海自贸区成立以来,跟踪研究区内各类政策及法律法规,同时说明了“负面清单”采纳的背景——自贸区的功能定位、国内与国际环境的影响,分析了自贸区“负面清单”的特殊性,即其性质术语国内法,另外笔者根据现有学界观点总结了“负面清单”的特点。“负面清单”本质的特征是要求更高水平的透明度与自由度。自由度不仅体现在其比正面清单开放的领域更多,还体现在这种开放呈现逐渐扩大趋势,迄今发布的两版“负面清单”就是佐证,且2015年的“负面清单”会更加开放。不论将“负面清单”作为一种制度安排还是法律法规来研究,“负面清单”都有其运行的法治价值选择。“负面清单”与区外法律的不同及其呈现的特点,是其法治价值选择不同的外化,故本文从自由、秩序与效率三个方面分析“负面清单”的价值选择及表现。自由是“负面清单”的核心价值,秩序与效率不仅是是“负面清单”的内含价值,更是为了保障“负面清单”的实际运行效果,降低市场风险而采取的配套制度应体现的价值选择。以上都是从理论层面阐释“负面清单”,最后笔者尝试从实践层面分析“负面清单”的法律衔接问题,具体包含其法律定位、推广与推广过程中应该从哪几个方面完善的问题。首先应明确的是“负面清单”是国内法,然后根据其制定主体与内容,以及新修订的立法法的具体条款,笔者认为“负面清单”的法律定位应是地方政府规章。“负面清单”的运行效果好,那这种立法模式与创新经验就值得推广,这是改革创新经验先试先行的要求。“负面清单”推广的路径主要是两种：地方及全国。地方的“负面清单”以广东自贸区“负面清单”为例,该清单立足于上海自贸区“负面清单”却又有创新——针对港澳投资者的门槛更低；全国性的“负面清单”即《中华人民共和国外国投资法(草案征求意见稿)》规定的特别管理措施目录。“负面清单”在推广的过程中必然是不断完善的,这个过程不仅仅是扩大开放,更要注重其改革的合法性与监管措施的完善。另外笔者还对发布的两版“负面清单”进行了比较分析,上海自贸区对于上海乃至全国的推动作用都是巨大的,自其成立以来很多学者与机构都对其进行了深入的研究,本文希望借助此自贸区的平台,以所学理论对自贸区“负面清单”的完善能贡献微薄之力。
[Abstract]:In August 2013, the State Council approved the establishment of a free trade zone in Shanghai. The central government regards the zone as an experimental field. The focus, difficulty and highlight of the reform are the "negative list" management model. Although Shanghai Free Trade Zone was established in Shanghai, it aims to carry out domestic economic reform, which also determines the difference between the "negative list" and the "negative list" in international law. At the same time, the adoption of "negative list" mode has international background and international characteristics. Since the establishment of the Shanghai Free Trade Zone, the author has followed various policies, laws and regulations in the area, and explained the background of the adoption of the "negative list"-the functional orientation of the Free Trade area and the impact of the domestic and international environment. This paper analyzes the particularity of "negative list" in FTA, that is, its nature term, domestic law. In addition, the author summarizes the characteristics of "negative list" according to the existing academic point of view. The essence of the negative list is that it requires a higher level of transparency and freedom. The degree of freedom is reflected not only in the areas where it is more open than in the positive list, but also in the gradual expansion of this openness, as evidenced by the two versions of the "negative list" released so far, and by 2015, when the "negative list" will be more open. Whether we study negative list as a kind of institutional arrangement or laws and regulations, negative list has its legal value choice. The difference between "negative list" and extra-regional law and its characteristics is the externalization of the value choice of "negative list". Therefore, this paper analyzes the value choice and performance of "negative list" from three aspects: freedom, order and efficiency. Freedom is the core value of "negative list". Order and efficiency are not only the intrinsic value of "negative list", but also the practical effect of "negative list". To reduce the market risk and adopt the supporting system should reflect the value of choice. At last, the author tries to analyze the problem of the legal cohesion of the negative list from the practical level, including the legal orientation of the negative list, which aspects should be improved in the process of promotion and promotion. First of all, it should be clear that "negative list" is the domestic law, then according to its main body and content, as well as the specific provisions of the newly revised legislative law, the author thinks that the legal position of "negative list" should be local government regulations. The negative list works well, so this legislative model and innovation experience are worth popularizing, which is the requirement of reform and innovation experience. There are two main ways to promote the negative list: local and national. The local "negative list" takes Guangdong Free Trade Zone "negative list" as an example, which is based on the "negative list" of Shanghai Free Trade Zone but also has innovation-the threshold for investors in Hong Kong and Macao is lower; The nationwide "negative list" is the catalogue of special administrative measures stipulated in the draft Law on Foreign Investment of the people's Republic of China. The negative list is bound to be perfected in the process of promotion. This process is not only to expand the opening up, but also to pay attention to the legitimacy of its reform and the perfection of supervision measures. In addition, the author also makes a comparative analysis of the two editions of the "negative list" published. The Shanghai Free Trade Zone has played a huge role in promoting Shanghai and the whole country. Since its establishment, many scholars and institutions have conducted in-depth research on it. This paper hopes that with the help of the platform of the free trade area, the theory can contribute to the improvement of the "negative list" of the free trade area.
【学位授予单位】：华东师范大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D922.295

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