论英国土地法律制度变迁与经济转型

【作者】 付夏婕；

【导师】 张恒山；

【作者基本信息】 中共中央党校 ， 法学理论， 2011， 博士

【摘要】 中国目前正在经历着“经济转型”,目标是从传统农耕经济向现代商工经济的全面转变。但引人注目的成就背后,我国至今无法彻底实现对传统经济的变革和超越,尤其是我国的农业经济,仍旧处于传统生产方式和生产效率的束缚之中。其中,土地问题被公认是一个难以突破的瓶颈。我们可以合理地预见,中国土地问题的适当解决,土地经济的“现代转型”,将是能够带动中国整体经济走向一个“质的跨越”的关键。致力解决中国的土地问题,以土地制度的变革与发展促进中国早日完成现代化的“经济转型”,是本文的研究初衷。但本文的研究并未直接以中国的现实情景作为研究对象。我们确信,在目前经济全球化的背景下,当中国将要参与一场人类社会都必须经历的“现代化”历程时,对一些先发性国家的成功经验就有必要清楚而准确地加以了解,进而才有可能去判断其经验中是否有可以被我国适用的规律,并决定怎样去适用这种规律。对英国的研究是一个必要的开始。英国是世界上最先完成“经济转型”的现代化国家,我们将其作为研究对象,通过了解英国土地法律制度在经济转型过程当中所经历的重要变迁,揭示其在实现经济转型的这一目标中,土地法律制度所发挥的作用及其作用机制,进而总结土地法律制度与经济转型之间的客观联系,为我国土地制度改革和经济发展提供有益的参考和借鉴。所以,本文的中心议题是土地法律制度的变迁。这一历史过程的考察指向最基本的资源之一,即人类的生存之本——土地。本文的研究将证明,在英国的经济转型中,土地制度并不仅仅是影响人们的“生存”这么简单,它规范着经济运行最根本却又最稀缺的资源,通过规范土地的配置可以影响社会的政治、经济乃至阶级结构,进而影响整个社会的发展历程,特别是“经济转型”这一关键而具有决定性的历程。全文共分为三大部分,第一部分是概念界定,这是本研究的前提内容,将由探讨关于本文研究主题的基础概念和核心范畴开始,在理论上明确我们的研究对象和研究范围;第二部分是历史探讨,这是本研究的主体内容,将具体呈现英国经济转型的过程中长达近9个世纪的土地法律制度变迁,全面地揭示英国土地法律制度变迁的历史全貌,并对其中的关键环节作出着重的描述和讨论,客观地展现土地法律制度在经济转型中的关键变革;第三部分是理论分析,这是本研究的结论内容,通过重新审视土地法律制度变迁过程,通过制度绩效揭示土地法律制度与经济发展之间的必然联系,并明确土地法律制度的角色和作用。全文共分为七章。第一章是对相关概念的界定。本文的研究主题是“经济转型中的土地法律制度变迁”,所以文章伊始,首先对“土地法律制度”和“经济转型”这两个核心范畴作出界定。本文认为,土地法律制度是指被一个社会成员所一般接受的有关土地资源分配、利用及价值的规则系统。它的核心是土地作为一种财产的权利存在状态,也就是土地产权。土地产权首先是一个“结构”性的概念,它不仅描述对土地这种稀缺性资源予以配置而产生的权利本身,而且也确定这种权利安排下每个人相对于土地资源利用而产生的经济社会关系;同时,土地产权还是一个“总量”性的概念,可以被看作是包含许多具体权利内容的“权利束”,因而具有可让渡性、可分离性、可分割性。以土地产权为核心内容的土地法律制度,在英国历史上,在制度渊源上具有多元性,在制度内容上具有发展性。本文认为,经济转型是文明转型的一个属概念,它不是一个孤立存在的经济现象,而是“文明转型”进程在经济领域的特定表现,它以确立起现代商工经济为标志,在这一经济形态中,农业不再是主导的经济活动,由商业带动的工业和服务业在重要性上取代了它,农业生产率的极大增长才能使这一变化成为可能。而商工经济就是我们所说的现代经济,并且它首先是以资本主义的生产方式实现的。第二章是对英国土地法律制度变迁历史探讨的开始,主要介绍该制度变迁历史的起点:关于英国封建主义的概况。其中首先介绍了英国封建主义的概况,明确了正是在以“依附性”为特征的土地法律关系上形成了英国封建主义的基本建制;同时指出了英国封建主义确立之初就区别于欧洲大陆国家的一个特征是强大的王权,它是影响英国土地法律制度后续变迁的一支重要力量。其次分别从社会结构、经济制度、司法制度、社会共同体四个方面阐释了英国封建主义的基本内容,从而明确英国封建土地法律制度的具体运作背景和整体历史环境。这是我们展开土地法律制度变迁史研究的起点。从第三章开始,本文详细探讨了英国土地法律制度的变迁基础——中世纪封建土地法律制度。时限范围从11世纪开始到13世纪。在这一章中主要介绍了在封建主义结构下呈现出“产权分割”属性的中世纪土地法律制度的内容和特征。英国封建社会以“土地依附结构”为基础建立起土地产权制度,它分为两部分:一部分是适用于上层阶级的“采邑制”下的土地所有权,另一部分是适用于下层阶级农民的“领主庄园制”下的土地占有权。所以,在封建土地法律关系中,土地产权被人为地分割开来,分割的土地产权以一种“依附”的态势存在着,有上层领主才有资格享有真正土地产权,而农民阶级的土地权利必须在对领主的“人身依附关系”中才能实现。并且,土地权益具有顺序性,土地的实际耕种者虽然占有和经营土地,但是产权效益必须优先满足领主的特权。由于农民土地权利中权能的不自由和不完备,必然极大地束缚了劳动价值的最大化,农业经济的生产力低下。但是,在英国封建土地法律关系中,也同时存在一种有效的“权利保障体系”,那就是庄园习惯法,它可以为劳动者有限的土地权利提供基本的保障。第四章主要介绍了制度变迁的启动,也就是封建土地法律制度的解体和近代土地保有权法律制度的确立。时限范围是从14世纪到16世纪。阐释了在货币经济、商品经济的背景下,并在经历黑死病事件的历史转折后,英国封建土地法律制度由于“依附”属性的不断衰落而逐渐走向解体,土地法律制度随之发生变化,封建农奴制下的土地产权得到了改革,确立起一种以“保有权”为内容的普适性法律制度,人为的产权分割在“保有权”体系中得到初步的统一。曾经不具有土地权利资格的依附农民开始获得人格上和经济上的双重独立,其根据就是享有了法律上认可和保障的土地保有权,他们分别以公簿制、租佃制、自由制来保有土地,权能得到了扩展,这为整个农民阶级带来了激励,土地生产力得到了巨大释放,农民阶级迎来了15世纪的“黄金世纪”,农业生产力水平也得到了普遍的提高。本文总结这一时期土地法律制度变迁的主要成果就是在土地产权上祛除奴役制度的污点,扫除封建特权的阴霾,建立起一个可以容纳不同社会阶层的统一的土地产权制度。与其他欧洲国家相比,英国最先在土地法律制度上积累出一个经济转型的最重要的经验——普遍的财产权和经济自由。第五章介绍制度稳定与制度动荡共存的时代——16世纪中后期到17世纪出现的新变化。本章首先介绍了在近代土地保有权制度确立后形成的社会结构。在15世纪农民普遍发展的基础上,原有阶级出现了新的阶层分化,最为显著的就是“约曼”富农和乡绅阶层的兴起,他们既是土地法律制度变迁的受益者,也是进一步推动推法律制度变迁的主导力量。其次介绍了英国土地法律制度的一个显著变迁——16世纪圈地运动。这场变革正是在约曼和乡绅阶层的推动下展开的。这场变革首次对传统的敞田制度和公地制度发起挑战,虽然后期由于国王政府的禁止,其发生的规模和范围有限,并不能彻底改革传统土地制度,但是其仍被看作是为未来资本主义生产方式的运用创造了有利条件,租地农场这一新型的生产方式得以出现和发展。以16世纪圈地运动为代表的这次制度变革的核心是对完整的土地私有产权的争取。它一方面造成了自耕小农阶级的衰落,另一方面却更大地解放了土地生产力,对17世纪农业革命的发生起到了有效的助推。最后,本章介绍了17世纪英国土地法律制度上的两个重要变迁:一是公簿持有制保有制的衰落,这是英国土地私有产权确立过程中必须突破的一个传统制度,从而使习惯性地租全面走向竞争性地租;二是土地私人所有权的初步确立。光荣革命后土地阶级入主国家政权,彻底废除了土地所有权上对国王的封建义务,摆脱了王权对土地产权的束缚,在土地上确立起领主的私人所有权。但是这次变迁的特征是“废上不废下”,将小农的土地权益置于“所有权体系”之外,这为后续土地法律制度变迁得以突破保有权而建立起完整、独立的私有产权埋下了伏笔。第六章则是历史探讨的结尾篇章,主要介绍18世纪兴起的议会圈地运动最终将土地私有产权制度在英国得以确立的过程。本章首先全面介绍了18世纪圈地运动发生的背景、过程、规模,并客观评价了圈地运动最终造就的结局以及产生的重要意义,并且还特别指出圈地运动中值得注意的“细节”,即其中对法律程序的遵循和对小农利益的补偿。虽然圈地运动确实造成了对小农土地权利的牺牲,大部分小土地保有者离开了土地成为雇佣劳动的生力军,走向城市为工业化提供的劳动力;但是土地私有产权的确立,确实为农业经济引入了资本主义的生产方式,规模化的农场经营得以普遍出现。这一以18世纪圈地运动为代表的土地法律制度变迁,带来了农业经营性质和生产方式的深刻变革,最终实现了农业经济的现代转型。其次,本章还介绍了在完成土地法律制度的核心变迁后,随着现代经济的兴起和发展,土地制度中仍出现了一些回应性的现代调适,包括对公簿保有制的彻底废除和对土地传统继承制度的改革,最终消除了土地法律制度中残存的传统内容,更有效地迎合了现代经济发展的需要。第七章则是本文的理论总结部分。其中首先以总结土地法律制度变迁的“经济绩效”来建立起土地法律制度变迁与经济转型之间的客观联系,明确了土地法律制度在经济转型中承担的角色,即土地法律制度是经济增长和转型的一个决定性变量,经济转型的一个必要条件是创造和维持一个保证经济增长的所有权体制。其次明确了英国土地法律制度变迁历史中的三个关键内容,分别是习惯法对与土地基本权能的保障,近代保有权制度对于土地权能的扩展,现代私有产权制度对于土地权能的绝对化和完备化。从而明确了实现经济增长和转型的土地所有权体制的内容。最后是制度与经济的原理探讨,对全文做出了有益的总结,再次明确只有有效的法律制度,才是经济得以长期增长和发展的根本保障。同时扩展出制度变迁究竟是“人为设计”还是“自然演进”的问题,引发进一步思考,也为本文的后续研究明确了方向。更多还原

【Abstract】 China is experiencing a great process which is called“Economic Transition”. What we want to achieve is the transition from the traditional Agricultural Economy to Modern Commercial-Industrial Economy. However, behind the conspicuous achievements in our process, the Chinese economy still suffers from the fail to transcend the traditional economic pattern, especially in our agricultural economy. We believe that the land problem is the key problem. We also confirmed that the developed land economy will offer the most effective engine for the whole Chinese economy. So this article will focus on the land institutions to find the objective connection between the land law and the economic growth. But we put our sight on the history of British land law in its ages of Transition, not only because England society has succeed in this transitional process, but also because it is the first country who achieved the Commercial-Industrial Economy in this world. Its experience means much for every country who also wants to get such achievement. So our research will take the British land institutions as our main concern, and we try to find the real role of land institutions in the economic transition and what makes its role perform correctly and effectively. The structure of the paper is as follows.Chapter 1 expounds the two core concepts of this paper. According to subject of the research, there are two core concepts in this article. The first one is“Land Institution”. In this article, land institution is defined as a system of rules which stipulate the property of the land and how to make use of the land to specify its value. It is accepted by the majority members of the society and any violations towards it will be given punishment by the courts. In this concept, the most critical part is the“Property Rights”which bears structural and quantized meaning. Property rights regulate the allocation of the land resources, and at the basis of the allocation, property rights also regulate the economic and the social relations among the people who use the land resources. Meantime, property rights include various contents which can be alienated or detached to different holders. The second core concept of the paper is“Economic Transition”. It is defined as an important and indispensable part of the transition of civilization. The economic transition is symbolized by the establishment of the modern commercial-industrial economy. In this economic pattern, agriculture will not hold the leading part in the country’s economic life, which is realized only by the great growth of the agriculture productivity. The economic transition is first achieved in a mode of production according to the capitalistic mode.Chapter 2 is the beginning of history research. In this Chapter, we expound the feudalism of England which offers the political environment of the land law. The feudalism in England is based on the foundation of fiefdom and lord suzerain which reflect directly in the legal land nexus. Furthermore, a distinguishing feature of England feudalism is the strong power of the king which becomes a critical factor in propulsion in the follow-up change of the land institutions. Then the chapter 2 discusses the four main compositions of the feudalism of England. They are social structure, economic system, and judicial system and stabilized community. These compositions of feudalism define the background and mechanism of feudal land institutions.Chapter 3 starts to focus on the England feudal land laws. We defined it as a detached property rights system. It lasts from 11th century to 13th century. In this chapter, we can find that the feudal land institutions in England had two totally different parts. One applied to the upper class, another applied to the bottom class. The lords in the upper class had the real and prior ownership of the land resources. The peasants in the bottom class had the limited rights of the land only if they offer the personal services to the lords and contribute their products from the land. The feudal land law is detached forcefully by the privileged power. The peasants who worked on the land had no right to arrange entire products because of the lack of personal freedom. This kind of land institution can’t offer enough the stimulations in the yield of agriculture, which resulted in the low productivity. However, there is still a point which should be paid attention to. In the feudal institutions, the customary law in the manor still provided the basic guarantee for peasants’limited land rights.Chapter 4 analyzes the change of the land law in England from 14^th century to 16^th century. In the 14^th century, the feudal relations were abrogated in the infiltration of the monetary economy. The personal obligations attached on the peasants could be exchanged by money. The villains got their personal freedom and economic liberty. Because the Black-Death which swept in the whole Europe made a lot of destroy, hardly a half of the population in England has lost their lives. The supply of the labors in land was in a severe shortage, which makes most of the domain land in manor could be distributed to the peasants. The land institution of tenure had been founded in 15^th century. The peasants became tenants who had the rights of holding lands by tenure. Their land property got the ratification from the law and the courts. There are three kinds of the tenure in the land institutions which are copy-holding, lease-holding and free-holding. Under the institution of tenure, the peasants’rights in land had been expanded; their enthusiasm towards the agrarian production had been increased much more. The productivity of agriculture was released terrifically. The peasants in England experienced the“Golden Century”in 15^th century. Compared with other countries in Europe, England is the first country in the 15-16^th century got the key points about the modern economic growth. They are the common property rights and the freedom in the economy.Chapter 5 provides a summary and a discussion of the historical changes of land institutions in the latter period of 16^th century to 17^th century in England. First of all, this chapter summarized the social structural change after foundation of the new land institutions in 15^th century. The most significant change in the social structure is the arising of the classes called“Yeoman”and“Gentry”. They processed the benefits from the changes of the land institutions. They became prosperous and eminent. And after that they held a principal power to launch the more significant changes in the land law. In the 16^th century, the yeoman and gentry launched the famous reformation of British land law which was called“Enclosure”. The system of open-fields and common-fields had been challenged at the first time in this campaign. By 17^th century, because of the English Revolution, the parliament which was controlled by the land-classes just like nobility and gentry became predominant in the regime of country. They promulgated a series of laws and regulations to abolish the king-power’s bondage in their land. The privately- owned property rights had been established for the upper class. Although there still were some feudal boundaries in the peasant’s land, the majority of Lands in England has been free, not only in personal services but also in the economic producing.Chapter 6 is the last part of the historical discussion in the paper. In this chapter, the significant reformation of the British land institutions in 18th century has been illustrated. That is“Enclosure”which launched by the Parliament. This chapter discusses the background and the details of Enclosure in 18th century, and also presents the primary results of this reformation. Finally, the open-filed system was abolished in the mid nineteenth century, so that private complete property right in land was basically formed. What makes these changes more significant is that the new economic patterns had been applied to the agrarian production. The ways of capitalism has permitted to manage the agriculture economy. The transition of the traditional agriculture had succeeded. In addition, from 19th century to 20th century, there were some minor changes in the land law, which were the abolishment of the copy-holding tenure and the reformation in the institutions about the inheritance of the land.We show the conclusion of this paper in Chapter7. Our conclusions can be described by three points. The first point is that there are objective connections between the land institutions and the economic growth. These connections could be embodied in the economic benefits which caused by the land institutions. The second point is there is important mechanism which makes the benefits of the land law come about. The important mechanism is the free, complete and independent property rights. Last but not the least, there is a critical question: what makes these changes happen? They are objective or subjective? More research is still required after the final goal of this paper has been completed.更多还原