【作者】 马秀鹏；

【导师】 陈利根；

【作者基本信息】 南京农业大学 ， 土地资源管理， 2008， 博士

【摘要】 1990年初开始,在珠江三角洲、长江三角洲及一些大城市郊区,农民利用政策和法律空间,自己创建标准厂房、仓库和店铺等用于出租；或者干脆不顾法律限制,直接进行土地的非法出租,遂以形成集体建设用地流转的“隐形”市场,且流转的数量和规模呈不断扩大之势。农村集体建设用地使用权自发、私下的隐形流转市场的存在,不仅严重干扰了国有土地市场的正常运行,而且造成集体土地收益大量流失,农民的利益得不到保护；流转过程中擅自更改土地用途使大批耕地非农化,给我国粮食的持续供给造成压力。无偿、无流动的集体建设用地使用制度扭曲了土地的资产属性,无法发挥市场机制优化配置资源的作用,不利于农村土地的优化配置和保值增值,不利于农民土地权益的保护。我国现行限制农村集体非农建设用地入市的相关法律制度已被实践证明陷入制度危机中。农村集体建设用地使用制度改革已呈不可逆转的发展趋势,这是一个不容回避的难点、热点问题。论文从法律经济学角度,综合运用土地产权理论、制度经济学理论和法经济学理论等有关分析方法和分析工具,以农村集体建设用地使用权为切入点,以流转为核心范畴,研究了农村集体建设用地使用权流转的法律制度创新问题。论文在农村集体建设用地法律制度变迁分析的基础上,考察了农村集体建设用地的法律制度的绩效和缺陷,并重点运用法律经济学的理论方法和研究范式探讨了集体建设用地使用权流转的必要性和可行性。接着,总结归纳了全国各地在乡(镇)村企业建设用地、宅基地使用制度改革实践中的模式、经验和教训,以期为上文的理论分析做支撑。最后在“问题——原因——反馈”的逻辑思路下,对农村集体建设用地使用权制度进行了改革和创新,并给出相应的政策建议。从农村集体建设用地法律制度变迁的过程中我们可以发现：第一,集体建设用地制度的变迁路径表现为典型的强制性制度变迁。集体建设用地由私人所有到集体所有的历史变革,满足了我国工业化初期加快资本积累、加强资源的配置能力等客观要求,政治上的考虑是集体建设用地所有权从农民个人向集体变迁的决定因素。第二,随着市场经济体制的逐步完善、城市化的快速推进,集体建设用地的财产属性日益彰显,集体建设用地制度变革的潜在收益日益增加,原有的制度均衡状态被打破,集体建设用地使用制度呈现出诱致性变迁的趋势。第三,制度变迁具有路径依赖性,集体建设用地使用制度创新过程中需要兼顾历史和现实因素,比如在历史过程中形成的农民的土地认知和土地情节。第四,根据诺斯理论,集体建设用地制度能否发生制度变革和创新并取得良好绩效,取决于制度创新的净收益大小以及中央政府、地方政府、农民集体经济组织和集体建设用地的使用者等不同的利益主体之间的利益协调度,即要求尽可能达到所有者绩效偏好与使用者绩效偏好的趋同。通过法律的供需分析、成本收益分析,表明：在集体建设用地使用权流转过程中,地方政府、集体经济组织、农民的收益增加,地方政府和农民具有内在的积极性和创造性；中央政府的收益相对减少,减少部分转移给了农民及集体经济组织,但社会总福利是增加的,即集体建设用地使用权流转制度变革的净收益是增加的,集体建设用地使用权入市流转是合理的也是必然的,但是需要构建完善的农村土地市场,规范交易行为,积极供给法律制度。各地在乡(镇)村企业建设用地流转过程形成了“芜湖模式”、“南海模式”；在宅基地流转过程中,天津的“以宅基地换房”模式得到中央的肯定,并迅速在全国各地推广,江都“集中居住”过程中也采用了此模式。通过农民合作参与市场过程,是中国农民参与工业化和城市化过程的一种制度保证。其具体形式多种多样,不同的做法各有千秋,有效率的组织和制度最具生命力,自然会发展壮大,同时也需要政府的支持和保护。我国国情复杂,而且由于各地经济发展水平的差异以及政府行为偏好的差异,各地探索的流转模式自有其针对性、合理性,这也是因地制宜、实事求是的表现。这些模式虽各具特色,但形成了一个共同的命题：即集体建设用地使用制度改革应当以市场化流转为改革的方向。这一改革的关键仍然是土地产权制度的创新,这一改革的核心是保障农民的权益,使农民参与到国家的城市化进程之中,分享土地用途转变带来的土地级差收益。允许集体建设用地使用权流转,实现城乡建设用地市场接轨,是进一步深化土地市场化改革、规范土地市场秩序的必然选择,这一选择有着充分的理论依据。首先,从经济学角度而言,土地资产价值的凸显是集体建设用地使用权流转的根源,集体建设用地使用权流转是克服土地利用外部性、保护农民权益的必然要求；其次,从法学角度而言,集体建设用地使用权流转符合物权平等保护的要求、符合《宪法》、《民法通则》的立法宗旨,是农民利益的法制化、制约权利滥用的必然要求。如何创新农村集体建设用地法律制度是本文研究的关键。论文提出了农村集体建设用地法律制度改革的总体目标、指导思想和完善法律制度体系的要求,并指出农村集体建设用地法律制度创新需要考虑制度创新与现行法律规定妥善衔接的问题,即这一改革仍需在经济社会发展可承受的范围之内,力求制度的创新成本最小。最后分别从流转的条件、途径、程序、收益分配以及配套改革措施等问题做了相应的探讨,并提出一些政策建议。更多还原

【Abstract】 Since 1990, peasants built standard factories, warehouses and shops to rent by themselves in Zhujiang Delta, Changjiang Delta and some huge cities’suburbs in the areas of policy and law. Some of peasants even rent their land directly and illegally regardless of the restrictions of law. These behaviors led to the appearance of collective construction land transfer recessive market, and the number and scale of transfer are increasing. The existence of recessive transfer market of rural collective construction land using rights not only seriously influences the normal operation of the land state-owned but also makes collective land a lot of loss, which results in no protection of peasants’ benefits. Unauthorized altering the use of land destroyed a large amount of arable land, which brings a big pressure to our national lasting supply of foodstuffs. Township enterprise using collective land without spending money or a little money, not only makes using efficiency low, but also has land unused. It has been proved that related laws and institutions about limiting rural collective construction land entering market in China has been in a crisis. Reform of rural collective construction land using institution is an irreversible trend, which is an unavoidable and hot problem.This thesis examines the deficiency and achievement of the rural collective construction land law policy using some analytic methods and tools, including land property right theory, system & economics theory and law & economics theory. It enters the central argument from the point of rural collective construction land law being the foundation. And this thesis discusses the problem in the range of collection construction land use policy. The thesis emphatically uses the method of law and economics to explore if the transferability of township enterprise construction land and farmer housing could be essential and feasible. Immediately after that, it sums up the patterns, experiences and lessons of the reform in township enterprise land use policy and farmer housing policy in the whole nation expecting to support the analysis of the former part. At last, it suggests building a series of scientific, reasonable and effective law system with the logical thinking of "problem-reason-feedback".From the changing process of collective construction law policy we may get some discoveries below:First, the way in which collection construction land use policy changed is a typically forced institution change. Transforming the private ownership of collective construction land into collective ownership met the requirements of accelerating the capitalized accumulating. Objectively, it strengthened the capability of disposing resources. After all, political factor is the decisive one which makes the ownership changed. Second, in the pace with gradually making market economic system perfect and rapidly moving the process of urbanization on, the land assets idea appeared more clearly day by day. The transforming of collective construction land policy created latent income increasingly. The former balance of system was broken. The changing trend of collective construction land policy is inducing institution change. Third, the way of transforming system is dependent. It is necessary to take historical and realistic factors into consideration in the creative process of collective construction land use policy. For instance, peasants’ cognition and complex to land formed in the historical process. Fourth, according to the North’s theorem, whether collective construction land policy can get creative transfer and good effects depends on the net income got in the creation of system. Besides, the balance of interests between central government, local government, peasants’ collective economic organization and people who take advantage of collective land, which means that it requests the owner’s profits and the user’s profits to be as identical as possible.Through the analysis of supply-demand and income & cost, it appears that in the transfer process of township enterprise land and farmer housing rights, the income of local governments, collective economic organizations and peasants increased. Local governments and peasants had the inherent enthusiasm and creativity. Central government’s income decreased relatively. That decrease part will surely transfer to peasants and collective economic organization. But the social welfare is always increasing, which means that the net income of system changing will increase. So township enterprise land and farmer housing land being transferred in market is reasonable and inevitable, however, it needs to build a perfect rural land market, standardize the transaction activity,supply a law system actively.Various places formed "the Wuhu Pattern", "the Nanhai Pattern" in the transfer process of township enterprise land. Besides, in the transfer process of farmer housing land, "exchange farmer housing for apartment" in Tianjin was affirmative and spread rapidly in the whole country. Jiangdu adopted this pattern in the "together living" process. The behavior that peasants participate in market through cooperation is a kind of institutional guarantee that ensures Chinese peasants’taking part in industrialization and urbanization. The particular forms are various. Different methods have different advantages. Among all of these, the most efficient one is the most vital one. Certainly, it will expand with government’s sustain and protection. Under the complicated situation of China, transfer patterns explored in different places have their own focalization and reasonability. These phenomenons are also caused by government’s different activities and diverse local economic levels. It is the appearance of suiting measures to local conditions as well as seeking truth from fact. Although these patterns distinguish from each other, they together have formed a common topic:marketable transfer is the direction in reforming township enterprise land and farmer housing land. The key is still to create land property rights policy. The kernel of reform is to protect peasants’ benefits, making them participate in the process of urbanization, so that they can share the profits to which the transformation of land using brought.The permission of collective construction land circulation, realizing the city and countryside construction land market to connect rails, are the inevitably choice to deepen the land market reform and to regulate the land market order. This choice has the full theory basis. First, from the economic angle, it is the inevitably request to respect the farmer’s development right in land, to overcome exterior effects in land utilization. Next, form the legal science angle; it is the basic way to realize equality between collective land ownership and state-owned land property rights, and to restrict the abuse of land levy power."How to innovate in rural collective construction land use policy and law" is the key to the thesis. It proposed the entire target and directive idea of the transformation of rural collective construction land policy as well as the demand of system’s perfection. Simultaneously, it pointed out the problem that it needed to take combination of creating new idea and actual system into consideration. At last, the thesis discussed law of rural collective construction land transfer and put forward some suggestions.更多还原