【作者】 杨昊；

【导师】 王森；

【作者基本信息】 山西财经大学 ， 政治经济学， 2010， 博士

【摘要】 农村问题是中国改革开放事业和实现全社会整体奔小康目标中一直关注的重要课题。随着中国的崛起,农村经济的发展也在不断走向深入。2008年10月19日,中国共产党十七届三中全会发布了《中共中央关于推进农村改革发展若干重大问题的决定》对农村土地流转作出新的规定,充许农民在坚持土地家庭承包经营的基础上,按照依法自愿有偿原则,通过多种形式的土地流转,加快农地使用权流转,优化农地资源配置,提高农民收入水平,实现农村的可持续发展。随着这一政策的出台和推行,将极大地缓解我国农地资源供给严重不足与农地分散经营这些基本矛盾,农民收入将得到大幅度地提高,农业生产力也将得到极大地促进和发展,社会主义农业发展和农村建设将焕发出新的生机与活力。但同样令我们不可忽视的是,在农地流转规模不断扩大,流转速度明显加快的同时,由于农地使用权流转时间较短,相关法规政策的制度性保障尚不完善等原因,在农地流转中暴露出一些深层次的问题和矛盾,其中有些问题已经严重影响和制约了农业和农村的发展。因此,如何积极稳妥地进一步推进农村经济体制改革,建立科学高效、权责清晰的农地流转制度,促进农地资源合理有效地配置和流转,是当前我国农业和农村改革发展所面临的重大实践课题,也是关系我国现代化发展的热点前沿问题。鉴于农村土地流转及其制度性保障在不同历史时期和社会形态发展中的重要作用和对于当今中国改革发展的现实紧迫性,本文选择“农地流转制度”为研究对象,以“农地使用权”流转为线索,以“制度”、“农地制度”、“农地流转制度”、“农地使用权”等概念为分析依据,以国外农地制度、中国古代农地制度和改革开放以来我国农地制度的演变为借鉴,从法经济学和新制度经济学的视角考察制度变迁的规律,深入分析“农地使用权”及其制度性保障的历史必然性和现实重要性,并尝试从农地使用权流转的角度,对农地使用权的初次流转和再次流转进行全面系统的分析,深刻剖析目前我国在农地使用权制度中立法方面和制度体系方面存在的问题,最后提出了促进农地流转、提高农地使用效率的政策建议和体系架构,尝试为农地流转制度的完善提供一个可分析和利用的分析框架和参考坐标。本文主要运用了法经济学的研究方法,新制度经济学研究方法、结合比较研究和历史分析方法,对选题展开研究1。在这些方法的使用中,与过去相关选题的研究不同,笔者更注重对其理论和原理的在宏观层面的应用,在分析方法上仅从宏观的角度展开,运用其基本原理来分析具体问题。这也本文的一大特点。本文共分十章：第一章是导论。本章首先介绍了选题的背景和意义,其后对研究的对象、研究的思路和方法、可能的创新点和存在的不足,进行了全面的阐述和分析。并就这一题目的已有研究从国内和国外两个方面进行了全面系统地的总结和陈述,最后表明了笔者对这一选题的基本观点和基本思路。第二章是法经济学理论解析。本章以笔者自身对法经济学的理解,对法经济学的起源、发展、研究对象,研究的目的等相关内容进行分析,以及对法经济学与新制度经济学、法律经济学、经济分析法学等相关学科的异同点进行剖析,并对法经济学的定义进行了全新的阐述,而这一定义构成了本文的理论基础,为后文农地流转的法经济学分析,提供了理论依据和分析方法。第三章是国外典型国家农地流转制度经验和启示。本章分析了美、日、俄三国的农地流转情况,并对三国的制度和政策进行了全面的分析,对比了它们各自的优缺点,从这三国的制度和措施中总结出了一些经验,并对这些经验进行了系统的总结,从而为我国农地流转制度改革提供宝贵的意见和建议。第四章是我国古代农地流转制度分析。本章全面回顾了中国历史上各个朝代的农地流转制度,通过对不同时期农地流转制度的分析,追寻中国农地流转的历史轨迹,为目前中国农地流转的制度的完善提供经验和启示。第五章是我国农地流转的现状分析。本章总结了改革开放三十年来,农地流转制度的发展历程,分析了我国目前农地流转的基本形式,并对我国现行的农地流转法律制度进行了汇总,最后指明了目前我国农地流转制度存在的问题。第六章是农地流转制度的法经济学基础。本章论述了农地流转的法经济学意义,强调了农地流转的价值和重要性。并进一步分析了公平和效率作为法经济学的理论基础,在评判农地流转制度是否合理有效的过程中所起到的重要作用。第七章是农地使用权初次流转的法经济学分析。本章从两个角度对农地使用权流转进行分析,一是农用地向建设用地流转原因分析,二是在流转中权利主体动机的分析。在法经济学的视角下,通过对这两个方面的分析,明确了农地流转的产生原因和形成过程。进一步表明了农地使用权流转的特性和内涵。第八章是农地使用权再次流转的法经济学分析。本章从农地使用权再次流转的动力机制和流转过程展开论述,分析了目前在流转过程中存在的问题,点明了农地流转制度变革的方向。第九章是农地流转制度体系的完善。本章回顾和总结了前文对农地流转问题的分析,并提出了解决问题的建议和办法。并通过对全文的讨论和分析,设计出了我国农地流转制度的基本框架。第十章是结论,本章总结了全文的核心论点。对全文所要阐述的问题进行了概括和总结,继而表明了作者的观点。本章也指出了本文的不足和进一步研究的建议。综上所述,我国“三农”问题的彻底解决仍需要很长的时间。当前,我们面临的首要问题是如何增加农民的收入和提高农民生活水平,而农地流转制度的建立和完善是解决农民增收问题的关键所在,因此我们必须解决好农地流转问题,让农地在新时代的创造出新的价值和活力,从而实现农业的现代化,加快农村经济结构的调整,最终解决城乡二元结构的矛盾。本文试图在以下方面有所创新：第一,本文从宏观的角度重新界定了政府对农村土地市场的调控职能。笔者认为,政府对农地市场的调控职能应是一种宏观职能。一直以来,学界都将政府对农地市场的调控职能定义为政府的微观规制职能,但实际上这一定位导致了政府对农地市场监管的失控。近年来,农地被肆意侵占随意开发的现象频频发生,其根源就是缺少政府的宏观监管,各地政府随意对农地市场进行规制,造成了许多农地流转的问题。鉴于这一情况,笔者大胆设计全新思考,认为应将政府对农地市场的调控从宏观进行把握,只有这样才能解决目前农地流转中存在的一系列问题。正式基于这一点,文中没有进行实证分析和案例分析,因为从宏观角度来看,任何对某一具体案例的分析都缺乏普遍意义,无法满足笔者对农地流转制度进行宏观定位的观点。所以笔者仅对现行法律法规进行了法经济学分析,并在此基础上构建农地使用权流转的基本框架,以实现笔者从宏观把握农地流转制度的构想。第二,本文对法经济学定义进行了全新阐述,笔者认为,法经济学既不是法律经济学也不是经济分析法学,而是经济学和法学的一种全新融合,是以通过平衡公平与效率之间的关系达到资源优化配置为目标,以交易为研究对象,以权利配置为主要内容,以经济理论分析和法律逻辑分析为主要方法的经济学与法学相融合的学科。在此定义的基础上,笔者确立了两种分析方法,一种是法经济学双维度分析法,即从经济学和法学的角度分别对某一交易行为进行分析,找出其在公平和效率之间的平衡点,并以此平衡点为基础确定实现资源优化配置的法律和制度的路径。最终在立法和制度设计上实现公平和效率的平衡和资源的优化配置。另一种是法经济学综合分析法,即直接从法经济学的定义出发,从交易行为进行总体分析,通过分析实现公平和效率的平衡和资源的优化配置。第三,本文重新界定了“农地流转”一词,一直以来我们都把农地流转定义为,农民取得土地使用权后,凭借这一权利进行的转包、出租、互换、转让、股份合作等活动,而本文扩大了“农地流转”一词的范围,将现有的农地流转的定义为农地使用权的再次流转,把农民获取农地的使用权的行为,定义为第一次流转,即农地使用权的初次流转。这一概念的重新确定是基于农地所有权表现形式。所有权是指是所有人依法对自己财产所享有的占有,使用,收益和处分的权利。农地的所有权主体将农地的部分权利转移给农民,当然这其中还包括四荒地的拍卖和承包,笔者认为这一形式可以定义为农地使用权的初次流转。这一概念的重新界定引发了很多争议,大多数学者都认为它应该属于农地使用权的界定。所谓权利的界定,就是权利的配置,从农地权利表现形式来看就是农地使用权的流转。不论是农地承包经营权,农村建设用地使用权,宅基地使用权,这些都是对农地的使用权,它们都是从农地所有权中分离后流转到农民手中的,所以笔者认为从实质上来说,它们具有一致性。在形式上,可能会有一些不同,例如合同中规定的年限和权利的差异。但笔者认为这并不影响农地流转的实质意义。所以笔者认为可以将其定义为农地使用权的初次流转。这种定义方式的优势在于,消除了农地初始权利界定与农地流转中权利属性的差异,使农地流转在权利属性上与农地初始权利界定保持了一致,这样更有利于农地流转的健康发展,为农地使用权的流转奠定了权利属性的基础。综上所述,笔者认为将农地初始的权利界定定位为农地的初次流转是一种创新,对促进农地流转有着十分重要的作用。需要指出的是,本文还存在一些不足。这可能是未来对选题进一步深化研究的方向：第一,本文对法经济学理论的重新界定在逻辑结构和方法论上还略显不足,需要在未来的研究中加以完善。实际上一个理论的产生、发展和完善需要一个较长的时期,本文的这一界定仅仅是将法经济学从经济分析法学和法律经济学中分离出来的一个起点,在今后相当长的时间里我们需要对这一理论进行不断地弥补和完善,使其具有更严密的理论体系和更广泛的运用领域。第二,文章对与农地相关的权利体系的解析有待深入。无论是为了保障农民利益,还是为了提高农地资源使用和配置效率,农地权利都是基础。揭示农地权利的构成和利益关系是有待完善的环节。在将来的研究中,我们应该把对农地法规的分析,也进一步落实到权利关系中去。更多还原

【Abstract】 Rural problem is China’s reform and opening-up which realize the well-off society in society, which has been an important goal. With the rise of China, the development of the rural economy is in the further.On October19,2008, the communist party of China issued by the17th session of the third plenary session of the CPC central committee on rural reform and development on major issues of rural land transfer, it makes new regulations on land allows farmers in the household contract management based on a voluntary and compensatory basis, according to law, and through various forms of land conversion of farmland use, accelerates transfer, optimizes the allocation of resources and improves peasants income level, realizing the sustainable development of the rural areas.With this policy’s implementation, it will greatly alleviate the shortage of farmland resources supply this basic contradiction, the farmers’ income will be greatly improved, the agricultural productivity will be greatly promoted and developed socialist agriculture development, and the construction of new countryside will be coruscated vigor and vitality. But as we cannot be ignored in the land circulation is expanding constantly, flow velocity quickened, because the farmland use transfer time is short. The relevant regulations of the institutional guarantee policy are not perfect. In the land transfer exposes some deep problems and contradictions, some problems have gradually influence and restrict the agriculture and rural development and deepening reform. Therefore, how to actively to further promote the rural economic system reform and establish scientific and efficient farmland’s institution, promoting the circulation system of farmland resources reasonably and effectively configuration and circulation.China’s current agricultural and rural reform and development of important practical issues facing our modernization, and it is a development of frontier problem.Given the transfer of rural land and institutional guarantee in different historical periods and social development, and the important role for the development of China’s reform, this article chooses "transfer of farmland system" as a research object, by "the system guarantee of the land transfer" in the "system","the farmland system","the land transfer system", the concepts of farmland use for analysis and foreign land system, the Chinese ancient land system reform and open policy in China since the evolution of farmland system for reference, from the law and economics,the new institutional economics perspective of institutional change rule, the thorough analysis of farmland use and institutional guarantee the historical inevitability and realistic significance, from the angle of farmland use conversion of farmland use, the first transfer and second transfer comprehensively and deeply analyzes the system at present of farmland use system in legislation and the problems existing in the system, and finally put forward to promote agricultural circulation, improve the efficiency of land use policy. Suggestions and architecture of land transfer system can provide a framework for analysis and utilization of analysis and reference coordinate.Based on the economics and law, the new institutional economics and historical analysis of three kinds of methods in the use of these methods, the author more attention to the theory and application of the principle of macro analysis method from the macroscopic angle only by its basic principle to analyze the specific problem. It is this feature.This article has10chapters:The first chapter is an introduction. This chapter firstly introduces the background and significance of the object of study. It studies the ideas and methods of innovation. It is possibly presented and analyzed. And this topic research from two aspects of domestic and abroad were systematically summarized and statements, finally the author shows that the selection of the basic ideas and basic ideas.The second chapter is a economics theory. The author in this chapter to their understanding of the French law economics, economics of the origin, development, the research object, the purpose of the research and other related content analysis, and the French economics and the new institutional economics, legal economics, economic analysis of the differences and similarities between related disciplines, and analyzes the definition of economics, law, and the new definition of the theoretical basis of this form to the analysis of farmland changing law provides theoretical basis and analysis method.The third chapter is the foreign typical national land transfer system. It experienced and analysed in this chapter of China, Russia, Japan, and the land transfer of policy and system, the comprehensive analysis of the advantages and disadvantages compared their kingdoms, from the system and measures summed up some experience of these experiences, and summarizes the system, so as to provide our land transfer system reform their valuable comments and suggestions. The fourth chapter in ancient land transfer system is analyzed. This chapter has a comprehensive review of various dynasties in Chinese history, through the transfer system of agricultural land transfer system in different periods, the analysis of the history of China’s land transfer, for China’s system of farmland changing provide experience and enlightenment.The fifth chapter of is the present condition analysis. This chapter summarizes thirty years reform and opening up of the development of agricultural transfer system, analyzes the present land transfer and the basic form of current land conversion on the legal system, and finally points out the current problems existing in the land transfer system.The sixth chapter is the transfer system of agricultural economics foundation. This chapter discusses the significance of farmland changing law and economics, and emphasized the value and importance of farmland changing. And further analyses justice and efficiency as the theoretical basis of law and economics, in judging whether reasonable and effective system of farmland changing process of the important role played by.Chapter7is the first transfer of farmland use analysis of law and economics. This chapter from two aspects of land use is analyzed, and an agricultural construction land circulation to cause analysis, the transfer of the main motive power. In the view of economics, the causes and process is through analysis of the two aspects of land transfer. Further shows the characteristics of farmland use circulation and connotation.Chapter8is the second tansfer of farmland analysis of law and economics. This chapter of law and economics from farmland use of dynamic mechanism and circulated again this transfer process. It analyzes the problems existing in the process of circulation, and point out the land circulation institutional change direction.Chapter9is improving farmland transfer system framework. This chapter reviews and summarizes the problems of land circulation thereof, and puts forward some Suggestions and measures to solve the problem.And through the full text of the discussion and analysis, design of farmland out of circulation system framework.Chapter10is a conclusion.The core of the argument of this text is some problems that were summarized, and it is the basic ideas and thoughts.To sum up, we want to solve the problems of "agriculture, countryside and farmers", which still need long time. At present, we are faced with the problem is how to increase farmers’ income and improving farmers’ living standards, and land circulation system establishment and the consummation to solve the problem of increasing farmers’ income is the key, so we must solve problems and make good land conversion of farmland in the new era to create new value and vitality, so as to realize the modernization of agriculture and rural economic structure adjustment, finally solve the contradictory dualistic structure.This article tries to create some innovations in the following aspects:First, this article from the macroscopic angle redefines the government of rural land market control functions. The author thinks that the government for land market regulating functions should be a macro functions. Since all circles to land market of government function is defined as the government regulation, but actually micro-regulation functions in this position for the government of farmland market supervision control. In recent years, the development of farmland is wanton occupation often occurs at its source, is the lack of government’s macro regulation, local governments on land market regulation, caused a lot of farmland changing. Given this situation, the author bold design thinking that will be new government regulation of market of farmland from macro, only in this way can we solve the land circulation of a series of problems. Based on this point, the formal no empirical analysis and case analysis, because from the macroscopic Angle, of a particular case of any lack of general significance of analysis, cannot satisfy the circulation system of farmland macro positioning point of view. So the author only on the existing laws and regulations, and the economic analysis method on the basis of the basic framework of farmland use, in order to realize from the macro control of farmland changing system.Second, the new definition of law and economics is found. The author thinks that the law is not legal economics. It is not economical analysis of economics and law, but a kind of brand-new fusion is balanced by the relationship between fairness and efficiency to optimal allocation of resources as the goal, the Commodity Exchange as the research object, by rights as the main content, the economic analysis and logic analysis method for legal economics combines with the law. And in this definition on the basis of law and economics double dimension analysis, from the Angle of economics and law of a Commodity Exchange behavior analysis, find the efficiency and fairness in the balance between a balance, and to determine the realization based optimize the allocation of resources to the legal and institutional path. Finally, the balance of fairness and efficiency of legislation and system design is realized, and optimizes the allocation of resources.Third, this paper redefines the "farmland transfer" one word, since we all the land transfer defined farmers, for the land use right after the subcontract, lease, exchange, transfer, joint-stock cooperative activities, but this farmland transfer is expanded the scope of one word, will existing farmland changing definition of farmland use for the farmers get circulated again, the use of farmland, defined as the first circulation, namely the initial conversion of farmland use. This concept to determine is based on farmland ownership form. Ownership is refers to all the people of his property law possesses use, seek profits from and dispose of the rights. The land ownership rights transfer part of the land will give farmers, which, of course, including SiHuang land auction and contract, the author thinks that the form can be defined as the initial conversion of farmland use. This concept redefining has caused a lot of controversy, most scholars think it should belong to the configuration or farmland use. But the author thinks in essence, they are consistent. In form, there may be some different, such as stipulated in the contract and the rights of the differences. But I think that this does not affect the essence of farmland changing. So I think can be defined as the initial conversion of farmland use. This definition is eliminated, the advantages of agricultural land circulation and initial right in property rights, make the difference in the right properties of farmland changing with farmland initial rights defining consistent, so more conducive to the healthy development of the circulation of farmland for circulation of farmland use rights laid the foundation of attributes.On the other hand, this article also has some shortages, mainly including:First, this article focuses on the theory of economics redefining the logical structure and methodology is insufficient in the future. We need to be perfected in the study. Actually a theory of development and perfection, need a relatively long period, this definition merely from the economic analysis of law and economics law and legal economics has separated from the starting point, a long time in the future, we need to this theory and constantly perfect, make its have more strict theoretical system and more extensive application.Second, this paper relates rights of farmland system needed a further analysis. Whether to safeguard farmers’ interests, or in order to improve the efficiency of land use and allocation of resources, the land rights are the foundation. Land rights and reveals the interest relationship is to improve the link. In the future, we should put the regulations on land, and further analyzed the relationship of rights.更多还原