美国管制：从命令控制到成本收益分析
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摘要
本文旨在对美国联邦政府经历过的和正在实施的管制进行较为系统的实证分析。一个完整的管制理论至少要回答三个相互联系相互影响的问题：第一、管制制度是怎样形成的?第二、管制制度对市场经济产生什么样的影响?第三、管制与市场经济的互动关系会有什么样的发展趋势?现有的文献受学科研究对象的限制，法学和政治学主要研究第一个问题，经济学侧重分析第二个和第三个问题。到目前为止，一种将上述三个问题融为一体的论文或专著还未曾出现。本文试图以经济学的分析方法结合法学和政治学的一些研究思路，将上述三个问题融为一体，试图建构一个逻辑一致的管制理论的分析框架。
最近三十多年间，围绕着改革僵化的“命令—控制”的管制体制而导向市场化的成本—收益分析的管制制度，国会、总统、法院和行政机构之间就法律、行政命令和规章的范围、内容、制订权和执行权等进行及其复杂的较量，一项制度最初的反对者也可能演变成最终的支持者。制度变迁在相当意义上讲，就是理论和实践的双重探索克服“市场失灵”和“管制失灵”，寻求新的制度均衡的演变过程。一般认为， 以1995年第104届国会对公法的基本修正为标志，美国政府建立了市场化的成本—收益分析的管制制度。成本—收益分析的管制制度的规定是，行政机构希望实施的任何一种规章，生效前要进行成本叫收益分析，只有收益超过成本的规章才能被通过；生效后每年对规章进行成本—收益评估，检验规章的绩效。这个规定一方面解释了管制对联邦政府、州政府、地方政府，企业和个人的影响；另一方面限制联邦行政机构滥用宽泛的自由裁量权对市场过度监管。然而，市场经济是一个动态的运行过程，竞争程度、交易规模和产业结构在这一运行过程中，有着自我调整和自我完善的内在机制。管制制度一旦建立起来，则在一定时期内保持不变，市场与管制是相互协调相互发展的。过了这个时期，动态的经济和静态的规章有可能发生冲突，或者是经济发展了，规章变成了经济发展的阻力；或者是经济结构处于相对稳定状态，监管不严导致管制失灵；或者缺少觌章成为管制的盲点。市场经济的发展和规范运行，必须有政府广泛、深入和系统的管制，同时，管制也必须随着市场的竞争程度、交易规模和产业结构的变化而做出适时的改革。
这篇论文，主要论述了美国总统行政命令、国会法律、法院判例和OMB与OIRA运用成本—收益分析方法来推动管制制度的演变进程，分析了管制对联邦政府、州政府、地方政府、企业和个人的成本与负担，评论了管制对经济增长、价格、就业和投资的影响。简言之，本文通过对美国联邦政府经历过的和正在实施的管制进行较为系统的实证分析，可以得出这样的结论：美国的市场经济是一种典型的受管制的市场经济；所谓取消管制、放松管制、加强管制，仅仅是政府促进市场效率、提高管制质量的必由之路；一种有效的管制制度是市场与管制之间不断进行调整和改革的过程，从而解决和回应市场和管制中不断产生的摩擦和冲突。
Market economy for developing, normal workings must have systemic government regulation, government regulation must be timely reformed as well as market intensity, trade-off scale, industrial construction have been developed. Under the American constitutional framework, Congress, President, Supreme Court and administrative agencies play complicated game for law, executive order and regulation. "Market failure" and "regulatory failure" have possibly arisen. Institution evolution explores new institution balancing for the solution of the "market failure" and "regulatory failure". For over two decades, the cost-benefit analysis approach of regulation is substituting for "command-control approach". Throughout the paper, we have argued that American market economy is the typical regulated market economy, what are called eliminated regulation, deregulation and re-regulation, government should only aim at regulatory quality and improve market economic efficiency.
Cost-benefit analysis is required to estimate the costs of laws with new mandates on state, local, arid tribal governments, and on the private sector, an executive branch agency must prepare a cost-benefit analysis of regulations with new mandates for the impacts of regulations on state, local, and tribal governments or the private sector. The agency is required to choose the "least costly, most cost-effective, or least burdensome alternative," unless the provisions are inconsistent with law or the head of an agency ran explain why such an alternative was not adopted.
Cost-benefit analysis is analyzed using a model of agency delegation. In this model an agency observes the state of the world and issues a regulation, which the president may approve or reject. Bills requiring agencies to use cost-benefit analysis have been routinely proposed in Congress since 1995, cost-benefit analysis as a method by which the president, Congress, or the judiciary controls agency behavior, cost-benefit analysis requires a full accounting of the consequences of an action, in both quantitative and qualitative terms. Officials should have this accounting before them when they make decisions.
最近三十多年间，围绕着改革僵化的“命令—控制”的管制体制而导向市场化的成本—收益分析的管制制度，国会、总统、法院和行政机构之间就法律、行政命令和规章的范围、内容、制订权和执行权等进行及其复杂的较量，一项制度最初的反对者也可能演变成最终的支持者。制度变迁在相当意义上讲，就是理论和实践的双重探索克服“市场失灵”和“管制失灵”，寻求新的制度均衡的演变过程。一般认为， 以1995年第104届国会对公法的基本修正为标志，美国政府建立了市场化的成本—收益分析的管制制度。成本—收益分析的管制制度的规定是，行政机构希望实施的任何一种规章，生效前要进行成本叫收益分析，只有收益超过成本的规章才能被通过；生效后每年对规章进行成本—收益评估，检验规章的绩效。这个规定一方面解释了管制对联邦政府、州政府、地方政府，企业和个人的影响；另一方面限制联邦行政机构滥用宽泛的自由裁量权对市场过度监管。然而，市场经济是一个动态的运行过程，竞争程度、交易规模和产业结构在这一运行过程中，有着自我调整和自我完善的内在机制。管制制度一旦建立起来，则在一定时期内保持不变，市场与管制是相互协调相互发展的。过了这个时期，动态的经济和静态的规章有可能发生冲突，或者是经济发展了，规章变成了经济发展的阻力；或者是经济结构处于相对稳定状态，监管不严导致管制失灵；或者缺少觌章成为管制的盲点。市场经济的发展和规范运行，必须有政府广泛、深入和系统的管制，同时，管制也必须随着市场的竞争程度、交易规模和产业结构的变化而做出适时的改革。
这篇论文，主要论述了美国总统行政命令、国会法律、法院判例和OMB与OIRA运用成本—收益分析方法来推动管制制度的演变进程，分析了管制对联邦政府、州政府、地方政府、企业和个人的成本与负担，评论了管制对经济增长、价格、就业和投资的影响。简言之，本文通过对美国联邦政府经历过的和正在实施的管制进行较为系统的实证分析，可以得出这样的结论：美国的市场经济是一种典型的受管制的市场经济；所谓取消管制、放松管制、加强管制，仅仅是政府促进市场效率、提高管制质量的必由之路；一种有效的管制制度是市场与管制之间不断进行调整和改革的过程，从而解决和回应市场和管制中不断产生的摩擦和冲突。
Market economy for developing, normal workings must have systemic government regulation, government regulation must be timely reformed as well as market intensity, trade-off scale, industrial construction have been developed. Under the American constitutional framework, Congress, President, Supreme Court and administrative agencies play complicated game for law, executive order and regulation. "Market failure" and "regulatory failure" have possibly arisen. Institution evolution explores new institution balancing for the solution of the "market failure" and "regulatory failure". For over two decades, the cost-benefit analysis approach of regulation is substituting for "command-control approach". Throughout the paper, we have argued that American market economy is the typical regulated market economy, what are called eliminated regulation, deregulation and re-regulation, government should only aim at regulatory quality and improve market economic efficiency.
Cost-benefit analysis is required to estimate the costs of laws with new mandates on state, local, arid tribal governments, and on the private sector, an executive branch agency must prepare a cost-benefit analysis of regulations with new mandates for the impacts of regulations on state, local, and tribal governments or the private sector. The agency is required to choose the "least costly, most cost-effective, or least burdensome alternative," unless the provisions are inconsistent with law or the head of an agency ran explain why such an alternative was not adopted.
Cost-benefit analysis is analyzed using a model of agency delegation. In this model an agency observes the state of the world and issues a regulation, which the president may approve or reject. Bills requiring agencies to use cost-benefit analysis have been routinely proposed in Congress since 1995, cost-benefit analysis as a method by which the president, Congress, or the judiciary controls agency behavior, cost-benefit analysis requires a full accounting of the consequences of an action, in both quantitative and qualitative terms. Officials should have this accounting before them when they make decisions.
引文
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Peltzman, Sam, 1976, "Toward a More General Theory of Regulation", Journal of Law and Economics, Vol. 19, No.2, pp.211-240.
Peltzman, Sam, 1993, "George Stigler's Contribution to the Economic Analysis of Regulation", Journal of Political Economy, Vol. 101, No.5, pp.818-832.
Pildes, Richard H., and Sunstein, Cass R., 1995, "Reinventing the Regulatory State", University of Chicago Law Review, Volume.62, No. 1, pp. 1-56.
Polinsky A. M., and Shavell, S., 2000, "The Economic Theory of Public Enforcement of Law", Journal of Economic Literature, Vol.38, No. 1, pp.45-76.
Eric A. Posner, 2000, "Cost-Benefit Analysis: Legal, Economic, and Philosophical Perspectives Introduction", The Journal Of Legal Studies, Volume.29, No.2, pp.837-842.
——2001 "Controlling Agencies with Cost-Benefit Analysis: A Positive Political Theory Perspective", University of Chicago Law Review, Vol.68, No.4, pp. 1137-1185.
Richard A. Posner, 2000, "Cost—Benefit Analysis: Definition, Justification, and Comment on Conference Papers", Journal of Legal Studies, Vol.29, No.2, pp. 1153-1177.
Schwartz A, 2000, "Statutory interpretation, capture, and tort law: the regulatory compliance defense", American Law and Economics Review, Vol.2, No. 1, pp. 1-57.
Shanahan, John, 1997, "Regulating the Regulators: Regulatory Process Reform in the 104th Congress", Regulation, Vol.20, No. 1, pp27-33.
Shapiro, Martin, 1996, "A Golden Anniversary? The Administrative Procedures Act of 1946", Regulation, Vol. 19, No.3, pp.36-42.
Shleifer, Andrei, and Vishny, Robert W, 1993, "Corruption", The Quarterly Journal of Economics, Vol. 108, No.3, pp.599-617.
——1999, "The Quality of Government", Journal of Law, Economics and Organization, Vol. 15, No. 1, pp.222-279.
Shuren, Jeffrey E., 2001, "The Modern Regulatory Administrative State: A Response to Changing Circumstances", Harvard Journal on Legislation, Vol.38, No.2, pp.291-329.
Stewart, Richard B., 1975, "The Reformation of American Administrative Law", Harvard Law Review, Vol.88, pp. 1669, 1684-1687
Stigler, George J., 1971, "The Theory of Economic Regulation", Bell Journal of Economics and Management, Science Ⅱ, Spring, pp.3-21.
Stiglitz, Joseph E, 1999, "Economics"(Second Edition) , Norton & Company, Inc, pp.404—406.
Sunstein, Cass R. 1996, "Congress, Constitutional Moments, and the Cost-benefit State," Stanford Law Review, Vol.48, No.2, pp.247-310.
Sunstein, Cass R., 2000, "Cognition and Cost-Benefit Analysis", Journal of Legal Studies, Vol.29, Issue.2, pp. 1059-1103.
TH Hammond and JH Knott, 1996, "Who Controls the Bureaucracy? Presidential Power, Congressional Dominance, Legal Constraints, and Bureaucratic Autonomy in a Model of Multi-Institutional Policy-Making", Journal Law, Economic and Organization, 1996, Volume.12, No.1, pp. 119-166.
TM Moe and WG Howell, 1999, "The presidential power of unilateral action", Journal Law, Economic and Organization, March 1 1999, Volume. 15, No. 1, pp. 132-179.
Viscusi, W. Kip, 1996, "Economic Foundations of the Current Regulatory Reform Efforts", Journal of Econornic Perspectives, Vol. 10, No.3, pp.119-134.
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——2001，《论民主》人民出版社和中国社会科学出版社。
——2002，《民主问题研究札记》，社会科学文献出版社。
——2003，“关于劳动价值论的读书笔记”，《经济研究》，第2期，pp．3-17。
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布坎南著，《自由市场与国家》，吴良健 桑伍 曾获译，北京经济学院出版社，1988年版
白钢主编，2001，《中国公共政策分析——2001年卷》，中国社会科学出版社。
——2002，《中国公共政策分析——2002年卷》，中国社会科学出版社。
丹尼尔·F·史普博著《管制与市场》余晖 何帆 译 上海三联书店1999年12月版
马丁·费尔德斯坦主编，《20世纪80年代美国经济政策》，王健等译，经济科学出版社，2000年5月第一版。
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G·J·斯蒂格勒著，《产业组织和政府管制》潘振民译上海人民出版社 上海三联书店1996n年4月版
乔治·A·斯蒂纳 约翰·F·斯蒂纳，《企业、政府与社会》，华夏出版社，2002年。
郭志斌，2002，《论政府激励性管制》，北京大学出版社。
陈富良，2001，《放松规制与强化规制》，上海三联出版社。
彭森 郑定铨主编，1999，《构筑社会主义市场经济的蓝图——中国改革20年规划总集》，改革出版社。平新乔，2001，《微观经济学十八讲》，北京大学出版社。
张宇燕，1995，“国家放松管制的研究——以中国联合通信有限公司的创建为例”，《经济研究》，第6期。
张曙光，2002，《市场化与宏观稳定》，社会科学文献出版社。
邹东涛主编，1998，《中国改革开放20年丛书》，中州古籍出版社。
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George W. Bush, 2002, Executive Order 13271: Establishment of the Corporate Fraud Task Force, Federal Register, Vol.67, No. 133, July 11, FR.46091-46092.
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Treasury and General Government Appropriations Act for FY2001, Public Law 106-554.
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——2000, "Notions of Fairness versus the Pareto Principle: On the Role of Logical Consistency", Yale Law Journal, Vol. 110, No.2, pp.237-249.
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Morrison, Alan B., 1986, "OMB Interference with Agency Rulemaking: The Wrong Way to Write a Regulation", Harvard Law Review, Vol.99, No.5, pp. 1059-1074.
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Oliver Hart, 2001, "Norms and the Theory of the Firm", University of Pennsylvania Law Review, Vol.149, No.6, pp.1701-1715.
Oliver Hart, and J. Moore, 1999, "Foundations of Incomplete Contracts", Review of Economic Studies, Vol.66, No. 1, pp. 115-138.
Olson, William J., and Woll, Alan, 1999, "Executive Orders and National Emergencies How Presidents Have Come to Run the Country by Usurping Legislative Power", Policy Analysis, No.358, October 28, Published by the Cato Institute, pp1.29.
Peltzman, Sam, 1976, "Toward a More General Theory of Regulation", Journal of Law and Economics, Vol. 19, No.2, pp.211-240.
Peltzman, Sam, 1993, "George Stigler's Contribution to the Economic Analysis of Regulation", Journal of Political Economy, Vol. 101, No.5, pp.818-832.
Pildes, Richard H., and Sunstein, Cass R., 1995, "Reinventing the Regulatory State", University of Chicago Law Review, Volume.62, No. 1, pp. 1-56.
Polinsky A. M., and Shavell, S., 2000, "The Economic Theory of Public Enforcement of Law", Journal of Economic Literature, Vol.38, No. 1, pp.45-76.
Eric A. Posner, 2000, "Cost-Benefit Analysis: Legal, Economic, and Philosophical Perspectives Introduction", The Journal Of Legal Studies, Volume.29, No.2, pp.837-842.
——2001 "Controlling Agencies with Cost-Benefit Analysis: A Positive Political Theory Perspective", University of Chicago Law Review, Vol.68, No.4, pp. 1137-1185.
Richard A. Posner, 2000, "Cost—Benefit Analysis: Definition, Justification, and Comment on Conference Papers", Journal of Legal Studies, Vol.29, No.2, pp. 1153-1177.
Schwartz A, 2000, "Statutory interpretation, capture, and tort law: the regulatory compliance defense", American Law and Economics Review, Vol.2, No. 1, pp. 1-57.
Shanahan, John, 1997, "Regulating the Regulators: Regulatory Process Reform in the 104th Congress", Regulation, Vol.20, No. 1, pp27-33.
Shapiro, Martin, 1996, "A Golden Anniversary? The Administrative Procedures Act of 1946", Regulation, Vol. 19, No.3, pp.36-42.
Shleifer, Andrei, and Vishny, Robert W, 1993, "Corruption", The Quarterly Journal of Economics, Vol. 108, No.3, pp.599-617.
——1999, "The Quality of Government", Journal of Law, Economics and Organization, Vol. 15, No. 1, pp.222-279.
Shuren, Jeffrey E., 2001, "The Modern Regulatory Administrative State: A Response to Changing Circumstances", Harvard Journal on Legislation, Vol.38, No.2, pp.291-329.
Stewart, Richard B., 1975, "The Reformation of American Administrative Law", Harvard Law Review, Vol.88, pp. 1669, 1684-1687
Stigler, George J., 1971, "The Theory of Economic Regulation", Bell Journal of Economics and Management, Science Ⅱ, Spring, pp.3-21.
Stiglitz, Joseph E, 1999, "Economics"(Second Edition) , Norton & Company, Inc, pp.404—406.
Sunstein, Cass R. 1996, "Congress, Constitutional Moments, and the Cost-benefit State," Stanford Law Review, Vol.48, No.2, pp.247-310.
Sunstein, Cass R., 2000, "Cognition and Cost-Benefit Analysis", Journal of Legal Studies, Vol.29, Issue.2, pp. 1059-1103.
TH Hammond and JH Knott, 1996, "Who Controls the Bureaucracy? Presidential Power, Congressional Dominance, Legal Constraints, and Bureaucratic Autonomy in a Model of Multi-Institutional Policy-Making", Journal Law, Economic and Organization, 1996, Volume.12, No.1, pp. 119-166.
TM Moe and WG Howell, 1999, "The presidential power of unilateral action", Journal Law, Economic and Organization, March 1 1999, Volume. 15, No. 1, pp. 132-179.
Viscusi, W. Kip, 1996, "Economic Foundations of the Current Regulatory Reform Efforts", Journal of Econornic Perspectives, Vol. 10, No.3, pp.119-134.
Viscui, W. Kip, and Gayer, Ted, 2003, "Safety at Any Price?", Regulation, Vol.25, No.3, pp.54-63.
Viscui, W. Kip,, 2000, "Risk Equity", Journal of Legal Studies, Vol.29, No.2, pp. 843, 854(2000)
Weidenbaum, Murray, 1997, "Regulatory Process Reform—From Ford to Clinton", Regulation, Vol.20, No. 1, pp.20-26.
Wilson, Woodrow, 1913, The New Freedom, Doubleday in New York, pp.240.