【作者】 臧俊梅；

【导师】 王万茂；

【作者基本信息】 南京农业大学 ， 土地资源管理， 2007， 博士

【摘要】 保护农地，本质上是保护农业和粮食安全，保护国民经济的基础。在中国，保护农地除了具有保护农业生产能力这一历史使命外还具有十分重要的社会意义，那就是保护农民和保证社会稳定。以1997年中共中央发出的第11号文件和1998年九届人大第四次常委会修订通过并于1999年开始实施的《土地管理法》为标志，我国的农地利用保护进入以耕地总量动态平衡为基本目标的新阶段。在扩大内需、加快经济发展和加强生态建设的大背景下，耕地和基本农田数量以令人吃惊的速度在逐年减少。特别是近10年来，我国耕地面积从1996年的19.50亿亩减至2005年的18.30亿亩，10年内我国耕地面积减少1.2亿亩。整个农地保护形势越来越严峻，其中尤以耕地和基本农田保护最为突出。我国曾制定了众多的农地保护政策，动用了所有可能的经济、政治、法律、技术等诸多手段来遏制过速的农地非农化，近年来学术界也对农地保护特别是耕地保护进行了大量的研究，但是农地保护并没有取得令人满意的成效，其中一个重要原因在于作为承载国家粮食安全和生态安全任务的耕地实质是一种公共产品理应由国家来提供，在现实中却由农民和地方政府承担了耕地保护的大部分成本，相对全社会来说农民和地方政府在无偿地进行耕地保护，这对他们是不公平的。因此，解决我国耕地保护问题的关键是从全社会公平效率的角度出发，对于承担了提供耕地这一公共产品社会任务的农民和地方政府，理应给予补偿，即耕地保护由无偿保护还原为有偿保护，在法理上，这需要一种以产权为依托的制度安排。在现有国家体制和土地所有制不变的前提下，本论文尝试运用农地发展权的产权手段来解决这一问题。结合我国具体国情，本文从农地保护现状和土地权利变迁入手，创设并构建了我国的农地发展权制度，并运用这一产权工具对我国土地产权体系及农地保护政策进行了完善与创新。全文可分为五部分：第一部分国内外农地保护与农地发展权研究的综述、相关理论与基本概念；第二部分农地保护的现状与问题，政策失灵的原因剖析及产权角度的制度改进方案；第三部分农地发展权的权源、创设背景及可行性分析；第四部分对农地发展权制度的构建、经济价值分析及其在实践中的应用；第五部分主要研究结论和政策建议。第一部分在对国内外研究综述和相关理论梳理的基础上，构建了论文研究的基本概念框架。论文开篇即论述了研究背景、方法及基本思路，对国内外农地保护及农地发展权相关研究进行回顾与评述，在此基础上介绍与界定了论文研究的理论基础和基本概念，为下文农地发展权的权属研究、制度构建及在农地保护中的运用等打下基础。第二部分从我国农地保护制度历史回顾与现状分析入手，对我国农地保护政策实施效果进行了评价和分析，阐述农地保护的内涵、政策体系，我国现阶段强调了农地保护的重要性；从农地保护的行动逻辑角度出发，对农地保护主体进行农地保护的成本和收益构成要件进行了经济分析，重点对农地保护中暴露出来的主要问题进行了剖析，从产权角度提出农地保护制度改进的解决方案。第三部分从土地权利本质和权利变迁入手，阐述农地发展权创设的权属源泉及当今中国创设农地发展权的必要性和紧迫性；从法律环境、制度背景和现实条件三个角度分析了当前在我国创设农地发展权的时机已成熟，显化农地发展权来进行农地保护甚至将农地发展权运用至更多领域已是可行的和必要的。第四部分基于我国现行土地产权体系和农地保护政策体系基础上，对我国农地发展权制度的法律性质、权属、分类及配置与流转方式等方面进行了具体构建；在制度设计的基础上对我国农地发展权的价值进行了经济学分析，设计了适合我国国情的评估方法并对几种主要的农地发展权类型进行了价值评估；在上述制度构建及评估方法的基础上，从调动农户和地方政府农地保护积极性两个层面上具体研究农地发展权在我国农地保护中的运用。第五部分是本文的主要研究结论和政策建议。本研究在总结国内外相关研究和国外制度实践基础上，对在我国当前土地权利体系中创设农地发展权，将之运用于我国的农地保护中进行了系统研究，主要成果与可能的创新如下：(1)在国内外比较研究基础上，尝试一条从土地产权-地租地价-公共干预(规划)综合角度出发解决农地保护实践问题的道路。科学界定了农地发展权的内涵，即我国的土地发展权包括农地发展权与市地发展权，农地发展权是指土地用途由农业用地转为建设用地的权利，市地发展权是指土地利用集约度改变的权利；分析了农地发展权的权利(力)来源和法理特征。根据相关理论，构建了农地发展权价值(价格)分析计算的方法。(2)对农地发展权进行制度设计，实现农地发展权由概念明晰向制度安排的演进，包括权利定位、权利类别、配置方案与运行机制等，构建中国的农地发展权制度框架；对我国农地发展权价值进行经济学角度的分析与解释，探讨农地发展权的评估方法并对几种主要类型的农地发展权进行价值评估，使得抽象的农地发展权价值得以量化；将农地发展权理论及制度设计，应用于我国农地保护之中。在我国国体及土地所有制性质不变的前提下，在土地产权与使用制度改革的背景下，论文预期将农地发展权运用于我国农地保护和生态环境保护将产生巨大的经济、政治效用，包括政策完善与解释效用、制度规范与管制效用、农地保护与农民权益保障效用以及土地权利收益与房地产风险防范效用等等。农地发展权的创设与实践运用将使得土地利用权利与权力制度化，为我国现行的农地保护制度如土地征用、土地用途管制及耕地总量动态平衡等提供法理依据和理论阐释，并为其改革提供创新的理论基础和思路，在土地产权层面上，还可以统一两种土地所有权权能与价值，控制土地开发总量与进程，调节土地开发空间分布，促进和调控集体农用地使用权流转。农地发展权是一项新型的权利，我国土地利用与规划管理实践需要丰富的农地发展权理论指导和相关产权安排的规范，因此，还有许多问题需要进一步深入和扩展研究，如结合土地用途与开发强度的分区管制，开展农地发展权与市地发展权区划、分区研究；农地发展权制度实施后，农地发展权管制手段和办法的研究，防止农地发展权滥用的监督机制研究等，均有待进一步深入。更多还原

【Abstract】 Farmland protection is the base of national economy in respect of agriculture and food security. In China, farmland protection plays an important role in protecting farmers and ensuring social security in addition to guaranteeing the productivity of agricultural industry. With the symbol of the No.11 Document sent out by CPC in 1997, Land Administration Law revised by the 4th session of the Standing committee of 9^th NPC in 1998 and came into force in 1999, China’s farmland protection comes into a new phase of Dynamic Equilibrium of the Total Cultivated Land. Under the background of expanding domestic demand, accelerating economic development and strengthening ecological construction, the amount of Cultivated Land and Prime Farmland is sharply reduced. Especially in the past 10 years, the cultivated land is reduced by 8 million hectares from 130 million hectares in 1996 to 122 million hectares in 2005. The whole farmland protection situation is becoming more and more rigorous, particularly the cultivated land and basic farmland.Our country has made numerous farmland protection policies and employed all kinds of measures, such as economy, politics, law, technology, etc. to keep farmland conservation within limits. In recent years, in spite of a large amount of research in the protection of farmland especially cultivated land, we still have not got the satisfactory effect in farmland protection. One important reason lies in cultivated land protection cost which bears the weight of national food security and ecological safety is a kind of public expense and should be provided by nation, in reality however, the large part of it is put on farmers and local governments. So it is unfair for those farmers and local governments to afford cost which benefits the whole society. Therefore, the key of solving the cultivated land protection problem is to compensate fanners and local governments for undertaking social task of protecting the public product of cultivated land, i.e. to change the free cultivated land protection to charged land protection, principled by social fairness and efficiency. Jurisprudentially, this needs a kind of system arrangement supported by property right. Based on the existing state system and land right system, the solution of this problem lies in the introduction of the Farmland development right.Integrated with the current national situation, the paper introduces and establishes China’s Farmland development right system with the research of farmland protection situation and variance of land right. Using this tool of property right it revises and innovates land right system and farmland protection policy. The paper is composed of five parts: （1） Research summary, relative theories and basic conception of farmland protection and farmland development right; （2） Current situation and issues of farmland protection, reason analyzing of policy failure and system improvement scheme from view of property right; （3） Origination, background and feasibility analysis of farmland development right; （4）Construction, economic value analysis and application of farmland development right; （5） Main research conclusion and policy suggestion.In the first part, on the basis of studying the surveys and combing relevant theories both in domestic and abroad, the author frames the basic concept of farmland protection and farmland development right. In the beginning, the paper introduces research background, methods and basic thought. Then, it reviews and comments the relevant research of domestic and international farmland protection and farmland development right. Based on above the author introduces and defines the theoretical foundation and basic concept ,it also lays a solid foundation for the following part in researching right property of farmland development right, system construction and application in farmland protection.In the second part, by reviewing the history and analyzing the current situation of our farmland protection system, the paper evaluates and comments the implement effect of national protection policy, explains the connotation of farmland protection and its policy system, and emphasizes the importance of farmland protection at the present stage of our country; from logic view of farmland protecting action, the author gives an economic analysis in farmland protection cost and profit of subjects, emphatically dissects the main problem exposed in farmland protection and proposes solution of refining the Farmland protection system in terms of property right.In the third part, proceeding with the essence and variance of land rights, the paper reviews the origination and property of farmland development right and points out its necessity and urgency in modern China’s development. Viewing from legal environment, system background and current condition, it is high time that China established and exerted the farmland development right and even applied it into some other fields.In the fourth part, based on the current land property right system and farmland protection policy system of our country, the author constructs the specific system of farmland development right on legal property, right origination, category, disposing, circulation method and so on. He carries on economic analysis in the value of farmland development right on the basis of system design and designs the suitable assessment methods with which several main categories of farmland development rights are evaluated. On the basis of above system establishment and assessment methods, the author studies the application of farmland development right in farmland protection of our country from arousing the enthusiasm of farmer and local government.In the final part, author draws the main conclusion and gives policy advice.On studying and concluding relevant research and practical system of farmland development both domestic and abroad, the author systematically researches in establishing the farmland development right and applying it to farmland protection in modern China. The main achievements and possible innovation of this paper are as follows:On the basis of domestic and international comparative study, the author tries to use the tool of property right to solve the practical problem of land administration from the view of law. He scientifically defines the connotation of farmland development rights, i.e. the land development rights of our country including farmland development right and urban land development right. The farmland development right refers to the right to transform agricultural land to construction land. The urban land development right refers to the right to change the intensive degree of land in cities. He also analyzes the origination and jurisprudent character of farmland development right. According to relative theories, author constructs the value analyzing method in farmland development right.The author carries on system design of the Farmland development right and realizes its evolution from distinct concept to system arrangement, including right orientation, right classification, disposing scheme, operating mechanism, etc to construct the farmland development right system frame in China; he analyzes and explains the value of farmland development right in China from the view of economics, discusses the assessment methods of farmland development right and applies them to several kinds of its main categories. So he makes the abstract value of farmland development to be able to quantize and applies the farmland development right theory and system design into farmland protection.Based on the constant premise of existing state system and land right property, under the background of system reform in land property right and use system, the paper believes there must be great economic and political utility with the application of farmland development right into farmland protection and ecological environment, which includes policy improvement and explanation utility, system standard and management utility, farmland protection and farmer’s right protection and land right profit and real estate risk prevention utility, and so on. The paper also believes establishment and application of farmland development right will make the land use right and power system institutionalized, provide jurisprudent base and theoretic explanation for our current farm protection system, such as land expropriation, land use administration and total amount equilibrium of cultivated land. It provides innovative theoretic foundation and thought for reform. In the layer of land property right, it can unite two empowerments and values of land property right, control the amount and process of land exploitation, adjust the spatial deployment of land exploitation, promote and control the circulation of group-owned farmland.Farmland development right is a new right; our country’s land use and plan management practice need to be directed theoretically by farmland development right and to be standardized by arrangement of relative right. Therefore there are a lot of problems wanting further and extensive research, such as separate administration with integrated land use and exploitation degree, distribution and regionalization of farmland development right and urban land development right, and control method and supervision system to prevent right abuse when farmland development system is put into force, and so on and so forth.更多还原