房地产开发中的利益冲突与衡平——以民事权利保障为中心

【作者】 吴清旺；

【导师】 李开国；

【作者基本信息】 西南政法大学 ， 民商法， 2004， 博士

【摘要】 文章通过对社会普遍关注的房地产开发主体间利益冲突的分析，强调从利益的视角审视房地产开发中的相关法律制度，并循着公平与效率相结合的利益衡平思路完善现行立法，尤其是对弱势主体民事权利保障的制度设计。除导言、结语外，全文共六章，二十余万言。具体概括如下： 第一章是对房地产开发中利益冲突与衡平的理论分析。本章目的在于为房地产开发中不同主体之间利益冲突与衡平的法律分析奠定理论上的基础。 文章认为，社会冲突无处不在，利益的不满足则是冲突的原因。法律调整的利益与权利密切相关，虽然权利不等于利益，但利益乃权利的基本要素，且体现为正当利益。权利的确认和行使引起利益的变动，法律与利益通过权利实现二者的结合。利益的冲突往往体现权利的冲突，并以权利的形式显现出来。利益衡平并非消灭冲突，或利益完全均等，而是追求一种制度范围的秩序，一种最大限度地满足各不相同利益主体需要的利益享有和分配。法学本质上的利益衡平基于利益冲突而存在，并以消解利益冲突为己任。它包括实现衡平的法律努力，以及通过努力而实现的衡平状态。鉴于衡平与法治的天然亲和力，法治当为利益衡平之首选路径。尤其是为弥补形式法治缺憾而兴起的实质法治的探索，更充分地体现利益衡平的理想。 就房地产开发而言，随着我国市场经济的建立，房地产经历了市场化改革，房地产价值日益凸现，房地产业迅速成为国民经济的支柱性产业。围绕房地产开发而产生的利益冲突也随之显现，多元化的市场主体为实现自身的利益最大化而相互博弈，并形成多轴心的利益关系圈，其中以开发商为轴心的利益冲突关系尤为突出。文章结合经济学、信息学等理论对房地产开发中的利益冲突的产生和发展作了多角度地分析。分析表明，房地产利益冲突的原因是错综复杂，但作为利益冲突调节器的法律制度相对滞后或供应不足乃利益失衡的根本原因。为此，围绕各利益主体间的利益冲突探寻具体的衡平机制便成为本文的主旨。 第二章是对开发商与土地所有者之间利益冲突与衡平的探讨。本章围绕我国土地使用权制度展开。文章认为，作为房地产开发第一要素的土地具有不可替代性与稀缺性，而且，土地所有者自主经营无法实现土地价值最大化，不得不交由他人使用，致使土地所有者之间以及所有者与土地使用者之间衍生利益冲突。上述利益冲突不仅是罗马法、日尔曼法土地所有权制度产生的直接理由，也是后世探索形形色色的土地产权制度的原始动因。换言之，各国不同的土地所有制与土地使用制度便是不断寻找所有者与使用者之间利益平衡的写照。绝对的所有权观念使土地所有者的利益得到空前保护，但同时也使土地使用权成为所有权的 ‘奴仆’;重视土地使用价值与所有权社会化思想的兴起，缓和了土地所有权人与土地使用人之间的冲突关系;而土地用益权在“用益至上”理念指导下不仅对抗土地所有权，却反过来使土地所有权成为土地用益权的‘侍女’。建立既体现社会或团体利益又符合个人自由的土地所有与利用观念及土地物权制度成为世人追求的理想与目标。 我国实行土地公有制，曾彻底否定土地上的私人权利，然权利的完全集中并不能为所有权人带来最大利益，这种无效率的产权模式在经济体制改革的推动下逐渐被抛弃，引发了所有权与经营权分离的大讨论，并最终确立了“土地使用权”制度。然在土地使用权定位方面，面对着缺乏国家与私权平等观念的传统，面对着尚无物权法典的民事立法及土地权利行政化的现实，面对着土地所有权主体单一、国家意志干预强烈的权利运行状况，有学者主张土地使用权应定位于他物权中的用益物权;有学者提出将土地使用权定位于用益物权不足以凸现其物权法地位，而主张独立或近似所有权的定位，或定位于英美法的地产权，或定位于与所有权完全平等的占有权。虽然权利定位不同，其制度设计也大相径庭，但均以保护土地使用权人的独立利益、限制国家以特殊所有权人身份任意干涉土地使用权为立足点，以实现使用权人与所有权人—国家之间的利益衡平为共同的目标。 笔者赞同将土地使用权定位于独立平等的用益物权，而不同意土地使用权为所有权、近似所有权、地产权以及占有权的定位。但是，该土地使用权不同于地上权。事实上，用益物权是一种古老而常新的制度，是否能担当维护土地使用人权利的重任，关键在于其制度设计是否结合我国的所有权单一主体的现实，是否根据物权法定原则赋予其充分的权利，尤其是对抗国家干预的任意性以及促进土地有效利用的权利设置。就房地产开发而言，就房地产开发而言，物权法应保证国家作为土地所有权人得到其应有的收益权(如出让金)，以及年限届满后最终利益的归属权，但同时接受土地使用权的限制、遵守出让合同的承诺，不得任意干预开发商的具体开发行为和法定范围内对土地的处分权;物权法保障开发商享有自主开发、经营房地产的权利，在公法限制的范围内(如城市规划等)对土地使用享有独立的利益和自主意志。 第三章是第二章的延续，均为开发商与土地所有者(国家)之间的利益冲突与衡平的探讨。本章的重点更多还原

【Abstract】 By analyzing the widely concerned conflicts of interests between the real estate developers, this article concentrates in examining the relevant law regulating the real estate development from the angle of interests. And follows the idea of the combination of fairness and efficiency to balance of the interests to perfect current legislation, especially the system designed to protect the right of the minority. The article comprises six chapters, added up to 200000 words. The concrete generalization is as follows:The first chapter is the theoretical analysis on the conflicts and balance of interests in the real estate development .The purpose of this chapter is to establish the theoretical basis for the legal analysis of the conflicts of interests an the balance of the real estate developers.The article holds that the social conflicts are everywhere and the reason is that the demands of the interests are not met. The interests regulated by law is closely related to the right. Although the right isn’t equal to the interests, interests are essential elements of the right and the right represented as legitimate interests. And the acknowledgement and exercises of the right will leads to the alteration of the interests. The law and the interests are combined through the right. The conflicts of interests usually embodies conflicts of rights and presents in the form of right. The balance of interests does not achieve the elimination of conflicts or the complete equilibrium of interests, but pursues the order within a kind of system and the possession and distribution of interests that meet the needs of all kinds of interests subjects to the limit. The balance of interests in law exists on the basis of the conflicts of interests and aims at eliminating the conflicts of interests. It consists of the legal efforts to realize balance and the balance condition which is realized. Due to the natural affinity of balance for rule of law, rule of law is the firstly chosen means to realize the balance of interests. Especially the exploration of the substantial rules of law in order to make up for the imperfection of formal rule of law fully embodies the thought of interests balance.As far as the real estate development is concerned, along with the establishment of market-oriented economy in our country, the real estate field experienced the market reform, the value of the real estate is increasingly showing, the real estate industry quickly becomes a pillar industry of national economy. And the conflicts of interests arise because of the real estate development. In order to maximize their interests, diversified market subjects mutually ’play game’, and form a multi-axis relationship circle, especially the relationship of the conflicts of interests in which the developers are the axis. In order to further understand the creation and development of the conflicts of interests in the real estate development, the article multi-angled analyzes the conflicts of interests in the real estate development with the guide of a series of frontier subjects, such as economics, information science etc. The analysis indicates that the cause of the conflicts of interests in the real estate is various, and the basic reason for unbalanced interests is that the law as the regulator for interests is relatively backward or doesn’t meet the needs. Therefore, the mission of our lawyers is to explore specific balance system dealing with the conflicts of interests between the interests subjects.Chapter 2 is on the discussion of the conflict and balance of interests between the developer and the landowner. This chapter develops according to the system of the land-use right in our country. The article holds that the land as the first important factor in the real estate development is irreplaceable and scare. Besides, the landowner cannot maximize the value of the land if he manages the land himself, so he has tolet others utilize the land, which leads to the conflict of interests between the landowner and the land-user. The aforesaid conflict of intere更多还原