【作者】 茆荣华；

【导师】 顾功耘； 徐明；

【作者基本信息】 华东政法大学 ， 经济法学， 2009， 博士

【摘要】 土地是人类社会最重要的生产资料和生活资料。随着社会主义市场经济体制的建立和完善,以市场机制配置土地、劳动力、资本等生产要素成为市场经济发展的客观要求。国有土地已建立了一套比较完整的流转制度,可以依法有序流转。而农村集体土地流转尚处于起步阶段,受到诸多制约和限制。在破除城乡二元结构、促进城乡经济社会发展一体化的大背景下,如何进行制度的创新和突破,构建农村集体土地流转制度,对于提高农地资源的配置效率,杜绝不合理流转和土地闲置浪费,保障农村集体权益和农民个人权益,推动社会主义新农村建设等具有重要的现实意义。集体土地流转是当前我国经济发展过程中出现的必然事物。由于法律制度、流转方法、流转程序等还不完善,在利益驱动下,集体土地违法征收、隐性流转、违法流转大量存在,土地纠纷日益增多,成为社会不稳定的重要因素。在现有法律框架下,农村集体成员的土地权利过少,土地产权不清,土地使用者不能自主转让、出租、抵押土地使用权,影响到集体土地流转市场的发育和完善。这些矛盾和问题的存在,使集体土地流转制度改革成为我国土地制度改革的难点和焦点。适时将集体土地流转纳入社会主义市场经济体系,完善土地流转制度,规范流转方式,合理分配流转收益,促进农村经济发展与社会稳定,是当前集体土地流转迫切需要解决的问题。正是基于上述思考和认识,本文以农村集体土地流转为研究对象,以集体土地流转制度的构建为中心展开研究,从理论探索到实践考察论证,从借鉴国外经验到结合本土实际,致力于构建符合中国现实国情的集体土地流转制度,推动农村土地流转法律制度建设。第一章导论。作为本文的导引部分,本章首先从中国农村改革开放30年取得的巨大成就和存在的问题入手,梳理了近年来几个有关集体土地流转影响较大的热点问题(广东省集体土地流转地方规章出台、物权法立法过程中的争论、“小产权房”禁与放的争议),对本文选题的研究背景与研究动因进行了说明。为更好地确定研究方向,本部分还对当前国内外研究现状进行了综合性概述和评析,同时对论文所使用的主要研究方法进行介绍,对结构安排进行简要描述。第二章我国农村土地制度的历史沿革与现实特征。制度变革只有基于对其发展历程和运转现状的客观研判之上,才能探寻可行的改革路径。本章首先回顾建国后我国农村土地制度发展四个阶段的不同表现形式,分析现阶段土地制度的主要法律特征为适用国有和集体二元土地权利制度、土地使用权从所有权分离、国家垄断土地一级市场,并着重解剖当前农村集体土地制度存在的土地所有权主体虚置、土地核心处分权缺位、土地权利流转受限、耕地流失现象严重等问题,严重制约了农村集体土地流转制度的构建和完善,从而为研究农村土地流转制度改革铺垫实践基础。第三章农村集体土地流转的理论基础与制度设定。集体土地为什么要流转,流转的前提和基础是什么,这是课题研究必须首先回答的问题。本章从物权平等保护原则、土地发展权理论和城乡经济社会发展一体化三个层面,阐述了推进农村土地流转的理论基础和必要性。物权平等保护原则要求改变集体土地所有权权能残缺的现状,规制集体土地向国有土地的强制流转,逐步放开集体土地使用权的转让和抵押;土地发展权理论的研究启示我们必须完善土地征收补偿机制、放宽集体建设用地进入土地市场的限制、探索基本农田保护补偿机制;而城乡经济社会发展一体化这一重要制度的推出,要求在推进城镇化过程中公平对待征地农民、合理吸纳农民工、引导土地流转加快小城镇建设,在建设新农村过程中引导宅基地使用权流转以逐步推进农村居民的集中居住,引导土地承包经营权适度流转以推动区域规模经营。推进农村土地流转还需要相应的制度基础,本章从明晰土地产权、健全社会保障和统一土地市场三个层面进行了探讨。明晰土地产权就要规范集体土地所有权,强化集体土地使用权,推进农村土地登记工作;健全社会保障,则要发展农村社会保障制度,与城镇社会保障有机衔接,逐步建设城乡统一的社会保障体系;统一土地市场要求完善土地要素市场,规范土地流转行为,形成统一、开放、竞争、有序的城乡建设市场体系。第四章农村土地产权制度改革的模式选择。集体土地流转制度的构建,首先要解决的就是集体土地产权制度改革问题。土地产权制度的完善不仅是土地权益保障的基础和前提,而且通过产权具有的激励约束和资源优化配置效应,也能有效地促进农村土地资源的合理配置和利用,切实保护广大农民的合法权益。本章通过分析集体土地所有权的本质、内容和实现形式,评判分析土地国有化、私有化和多元化等几种创新农村土地产权制度的观点,明确提出完善集体土地所有制是符合我国现阶段广大农村生产力发展要求和国家全局利益的最为稳妥可行的方案。同时从明确农地产权主体、完善农地产权权能、促进农地产权流动和保护农地各方利益几个方面,提出农村土地产权制度改革的基本思路。第五章集体土地征收制度研究。集体土地征收是土地所有权主体由农村经济组织强制转化为国家的行为,从某种程度上来说是农村集体土地所有权的一种被动流转。我国现行的土地征收制度是在计划经济体制条件下逐步形成的,随着社会主义市场经济体制的建立,原有的补偿安置措施已经越来越不适应市场经济发展的需要,不利于对农村集体土地及农民财产权益的保护。本章通过国外征地补偿特别牺牲理论、征收目的正当性、土地征收权的行使主体、征收补偿、征收程序与司法保障的比较,探讨国外征地制度对我国的启示。针对当前征地存在的征地范围过宽、补偿标准偏低、安置政策不完善和征收程序混乱等突出问题,提出完善我国征地制度的思路为严格区分公益性和经营性两种不同性质的用地、按照市场经济规律进行征地补偿、拓宽失地农民安置途径和完善监管救济程序。第六章农村土地承包经营权流转制度研究。本章是论文重点阐述的部分。首先分析土地承包经营权流转市场的政策演进和阶段性特征,研究我国古代永佃权流转制度、西方国家及社会主义国家农地使用权流转情况的经验与启示,提出土地承包经营权流转的价值取向为兼顾效率与公平,并着重论述了转包与出租、转让、入股、抵押等土地承包经营权的有效流转方式。关于转包与出租,本文提出两者并没有本质的区别,在土地承包经营权明确界定为用益物权的情况下,分别界定已经没有实际意义,今后修订相关法律时不必保留转包这种形式。转让是最为彻底的土地承包经营权流转方式,法律在允许土地承包经营权转让的同时,赋予发包方同意权,但发包方同意权是监督权而非决定权。为防止发包方特别是其负责人对同意权的滥用,需要建立一种制约和防范机制,以发包方许可转让为原则、限制转让为例外。入股是法律确认的流转方式,但在实践中仍然存在一些制约因素,特别是土地承包经营权能否入股公司问题争议很大。本文探讨了股东人数限制、公司货币出资比例、土地承包经营权处置等问题的解决路径,认为在推行土地承包经营权入股发展农民专业合作社的同时,仍然可以进行土地入股设立公司试点。土地承包经营权能否抵押是农村土地流转实践中最有争议的一个话题,尽管法律禁止抵押,但实践中尝试突破限制的努力一直不断。本文从完善农村金融制度的角度,认为应创新农村信贷担保方式,允许土地承包经营权抵押,满足农民融资需求,促进农村土地和劳动力两大生产要素得到更为合理的配置,扩大农业经济的规模和产业结构的调整。第七章农村集体建设用地流转制度研究。随着国有土地市场的建立和完善,土地资产价值已广为人们所认识并加以利用,也刺激了集体建设用地所有者以让渡土地使用权获取利益的欲望,要求实现“同地同权同价”的呼声日趋强烈。本章通过分析集体建设用地流转的现实动因及面临的挑战,总结比较湖州模式、芜湖模式和广东模式三个不同类型的试点地区情况,明确界定集体建设用地流转应遵循的原则为建立城乡统一的建设用地市场、切实保障农民的土地财产权、加强总量控制与用途管制、确保国家土地法律政策妥善衔接,并提出从完善立法、土地资源配置、流转收益分配和监督管理四个方面构建我国集体建设用地流转制度。第八章农村宅基地流转制度研究。宅基地制度是当前农村土地制度研究中一个比较薄弱的环节。本章从分析宅基地使用权的相关法律问题入手,剖析了宅基地管理中存在的问题,对宅基地使用权能否流转正反两种观点进行了比较论证,认为势在必行的城市化进程要求放开宅基地使用权流转的限制,开禁宅基地转让有利于落实物权平等保护原则,并不必然造成农村土地流失,并从强化宅基地使用权的物权性质、规范宅基地规划管理、促进有序流转、探索有偿使用制度、合理分配流转收益等方面,提出开放宅基地使用权流转的政策建议。该部分还特别研究了小产权房的概念和性质,并对小产权房的出路问题进行了初步探讨。最后是结论部分。主要是在前述各章研究的基础上,对本文的主要观点进行简要概括和提炼,同时展示出本文的主要创新点,并总结和检讨研究中存在的局限与不足。更多还原

【Abstract】 Land is the most important production material and living goods for human being.With the development of the socialist market economy system, it becomes an objective requirement to allocate by market system the elements of production,e.g.land,labor,capital,etc..Since the complete set of transferring and circulating system has been established,the state-owned land is allowed to be transferred and circulated orderly according to law.But for the rural collective land,at the stage of initiation,restrictions and limitations to its transaction are plenty.Under the background of destructing the dichotomy structure of urban and rural,how to carry on creation and make breakthrough of the transferring and circulating system of rural collective land does mean specially realistic for improving the allocation efficiency of farmland,for preventing irrational transference and land idleness,for protecting both rural collective and farmer’s individual rights and interests, and for promoting construction of new socialist countryside.Transferring and circulating of rural collective land is a necessary outcome during the economic development of China.On account of the defect of legal system,ways and procedures of transferring and circulating,and as provoked by interests,there exist plenty of unlawful expropriations,covert and illegal transactions,as a result,the increasing of deputes of land transaction has become one of main reasons of social instability.Under the current legal structure,the number of rural collective organization owns inadequate land rights,and land property rights are unclear,land user is not endowed the rights to transfer,rent,mortgage land utilization rights freely,so the facts mentioned above have influences on growth and betterment of the transaction market of collective land.These problems and contradictions in the land transferring and circulating system exist as difficulties and focuses of China’s land system reform.It is the high time to take measures to resolve the problems by integrating collective land transferring and circulating with socialist market economic system,standardizing transferring forms,allocating profits rationally,so to improve the development of rural economic and social stability.Basing on the above mentioned thoughts and concentrating on the object of the construction of transferring and circulating system of rural collective land,the author develops the research with expounding and proving both theoretically and practically,drawing on foreign experience and combining with domestic realities,exerts to construct the system according with Chinese condition,and improves the construction of relevant legal system.ChapterⅠGuidance.As the conducting part,this chapter explains the backgrounds and causes of research,by beginning with the achievements and problems of China’s rural reform and opening up in the past 30 years,sorting out the influencing hot issues relevant(the local regulation of transferring and circulating of collective land stipulated by Canton government, controversies during the legislation of property law,disputes about prohibition and allowance of so-called "minor property right house").For better orientation of research,the author also expresses and comments the present research conditions briefly and integrative,and introduces the main methods and arrangements evolved in this article.ChapterⅡDevelopment history and current characteristics of rural land systems in China.It is practicable only to probe the path of reform basing on researching and judging the historic development and current situation.In this chapter,the main task is to lay out the research basis relying on realities,firstly by reviewing the four different forms of the development of rural land system from the foundation of new China,then by pointing out that the main legal characteristics of current system is the binary ownership of the state and the collective,the separation of ownership and utilization,and state monopoly of first level land market,and mainly by analyzing the serious restrictions and limitations upon the system construction,such as nihilism of subject,lack of key handling rights, restrictions of transmission,and serious lost of cultivated land.ChapterⅢTheory basis and system foundations of the circulating and transferring system of rural collective land.It is the question in pressing need for the researcher of answering what the causes, prerequisites and foundations of the system are.The theory basis and necessities of the system are elaborated hereby according to the principle of equal protection of property right,the theory of land development and the idea of integrative development of the urban and the rural.The specific explanations are further clarified as follows.The principle of equally protection of property right demands the alteration of incomplete condition of property right of collective land,requires the regulation of collective land to transform to be state-owned,and requests to allow gradually to transfer and mortgage the utility right of collective land;the research of the theory of land development right enlightens us that it is necessary to complete regulation of land expropriation and compensation,to loose the restriction of entry to market for collective construction land,and to explore mechanism of protection and compensation of fundamental agricultural fields;and the integration of urban and rural development in sociality and economics demands equal treat to the farmers whose land is expropriated by public,and also needs absorption of farmer labor,instruction of land transferring and circulating,and acceleration of small-scale town building.During the progress of building new countryside,the rural massive residence is advanced gradually as a result of transferring and circulating of utilization rights of rural residence land,and as the regional scale management is of contract and management rights.To improve the construction of transferring and circulating of rural land requests the relevant system basis,so it becomes the main purpose of this chapter to argue the three facets of clear definition of land property rights, perfection of social security and integration of land market.To clearly define land property right requires to standardize utilization rights of collective land and to promote registration;to amplify social security system demands to develop the rural system to be linked up organically with the urban,so to build a unified social security system between them;to integrate land market needs to perfect land element market,to standardize transferring and circulating, thereby to form a unified,open,competitive,orderly market system of urban and rural construction.ChapterⅣAdoption for the reform mode of property right system of rural collective land.As for construction of transferring and circulating,the primary problem to resolve is the reform of collective land property right.Its perfection is surely regarded not only as the foundation and prerequisite of the guarantee and insurance to land property rights,but also as the impetus to rational allocation and use of rural land recourse,by the effect of property rights’ stimulation,restrain and optimization for resource allocation,so followed by the protection of farmers’ legitimate rights and interests.This chapter explicitly points out that perfection of collective land ownership is the most reliable and practicable proposal after the author’s analyzing the nature,content and form of property rights of collective land and commenting the view points of land ownership of state,private,and pluralism.Simultaneously,the basic thoughts about reform of rural land property right system are carried out by different standpoints,that are to clarify the subject of it,to complete its functions,to promote transaction and guarantee of various interests.ChapterⅤResearch on expropriation system of rural collective land.Expropriation of collective land is a certain type of forceful action by which the land owner changes from the rural economic organizations to be the state,to some extent as can be confirmed as passive transition.The current land expropriation system of China is shaped step by step under the planned economic system.Along with the construction of socialist market economy,the former compensation and arrangement measures gets more and more unsuitable for the requirements,and unbeneficial for the insurance and protection of rural collective land and farmers’ properties and rights.By means of contrasting foreign partial sacrifice theory,property of goal of development,subject,compensation, procedures and judicial protection,this chapter discusses the enlightenments to China.Aiming at the too broad range,low compensation level,defect arrangement policy and disorderly procedure,the author points out that the way to complete China’s land development system is to strictly distinguish the public land use from the profitable,to compensate according to the regularities of marketing economic,to broaden the path of arrangement of farmers’ livelihood whose land is requisitioned,and to perfect the supervision and relief procedures.ChapterⅥResearch on the circulating and transferring system of contractual management right of rural collective land. This chapter is the emphasis elaborated by the author.Sub-contract,rent, transferring,share-holding,mortgage of the rights of land contractual management right are elaborated focally,as are started with analysis of policy evolution and stage characteristics of rights,and by research into the permanent rent right system of land of ancient China and the experiences and enlightenments from western and socialist states.And it is moreover put forward that the value orientation of the transferring of land contractual management right is consideration of both efficiency and fairness.As for sub-contract and rent,the author argues that there is no essential difference between them.Since the land contractual management rights have been defined clearly as usufruct,it is unnecessary to define respectively, thereafter the sub-contract is not to be reserved when the relevant regulations is revised.Transferring is the utmost thorough method for transaction of land contract and management,while it is stipulated by law that the offerer has the right of approvement.But it is exactly a kind of right of supervision,not decision.In order to prevent abuse of it,it is necessary to construct a system of constraint and guard,basing on the convention of offerer’s approvement and exception of forceful transferring.Though share-holding is a transferring form approved by law,in practice exist some restraint elements,especially there are heated disputation whether land contractual management rights can be capital stock of company.Further discussed are the evolvements of the issues of the rate limitation of share holder,the proportion of monetary capital of company,the handling of land contractual management rights,so hold is that it can be made experiments at selected points to take land as share of company capital while as that of farmers’ specialized cooperative.The most controversial issue is the possibility of mortgage of the rights in the practice. Although forbidden by law,people attempt to make a breakthrough strenuously and continuously in actual life.From perspective of perfection of rural finance system,the author supposes that forms of rural credit guarantee should be created,and the mortgage land contract and management rights should be allowed,so to bring about to promote the two essential production elements of land and labor to be disposed more rationally,furthermore to expand rural economic scale and to adjust industry structure.ChapterⅦResearch on circulating and transferring system of rural collective construction land.As the consequence of the construction and complete of state-owned land market,the land value becomes more realized and used than before,hence the stimulus of desire for interests to transfer the utilization rights of collective construction land. Therefore,the appeal of bringing about of so-called "same land,same right, and same price" is getting stronger and stronger gradually.Through analyzing the realistic causes and challenges,contrasting the modes from the different experiment areas of Huzhou,Wuhu and Canton,it is dearly defined that the principle of transferring and circulating of collective land is to build integrative construction land market of the urban and the rural,to guarantee farmers’ property rights of land,to strengthen control upon aggregation and utilization and to ensure linking up properly of the state’s land laws and policies.Thus the advices are afterwards made to build transferring and circulating system of collective construction land from four perspectives: perfection of legislation,allocation of land resource,distribution of transferring and circulating interests,and management plus supervision.ChapterⅧResearch on circulating and transferring system of rural collective residential land.The residential land system is the weak link in the popular studies on the current rural land system.After analyzing the relevant legal issues in the residential land management and comparing pros and cons of its transaction,there comes the argument that the irresistible urbanization demands the release of restriction on transferring and circulating of residential land utilization rights,and that the ban-lifting of it benefits to fulfill the principle of equally protection of property rights,not lead to the inevitable consequence of the lost of rural land.And therefore, policy advises are put forward for the release of restriction of residential utilization rights,from the facets of strengthening its property right nature, regulating its planning management,provoking orderly transactions, exploring compensatory use system,and distributing rationally the profits.In this part,the conception and nature of so called "minor property right of house" is also discusses specially,as is tentatively probed to resolve.Conclusion.It sums up the main viewpoints of this thesis,and the creative points are expressed meanwhile,besides of the limitations and weaknesses which are self-criticized during the research.更多还原