建设用地指标市场配置法律制度研究

发布时间：2018-06-18 18:27

本文选题：建设用地指标交易 + 行政配置制度　；参考：《辽宁大学》2017年博士论文

【摘要】：资源配置是将资源在不同主体之间按照用途做出选择、进行合理配置的状态和过程,其结果是在利益主体之间形成特定的法律关系。资源配置包括行政配置和市场配置两种方式。行政配置方式是指政府通过行政手段,将土地资源提供给用地者;市场配置方式是指用地主体通过市场竞争机制实现土地资源的配置。建设用地指标是指国家依照法律规定的程序和权限,通过土地征收行为所取得的建设用地范围。在法律属性上,建设用地指标属于公权性质的私权,具有用益物权性。公法物权在法律规则和制度设计上侧重于国家控制,以强行性法律规范为主;私法物权侧重于意思自治和契约自由。建设用地指标配置是国家利用土地资源规划调节手段,从空间层面对建设用地开发强度和开发容量进行行政干预,以引导建设用地指标在地域之间流转。作为土地开发权的表现形式,建设用地指标的合理配置事关国家经济发展及土地资源配置的社会效益、经济效益及生态效益。建设用地指标配置具有行政配置和市场配置相结合特点。行政配置是指标配置的基础性手段,市场配置是指标配置的辅助性手段。市场配置是指标行政配置的改革方向和目标,市场配置的制度功能也是行政配置改革必要性的有机组成部分,两者应融合协调。在初始配置中,中央政府通过行政配置手段将建设用地指标配置给地方政府,中央政府与地方政府之间形成行政计划法律关系;再次配置中,地方政府采用平等协商方式签订合同,在地方政府之间形成合同法律关系,实现建设用地指标交易由政府行政法律关系向市场法律关系转变。受传统计划经济体制的影响,我国现行建设用地指标行政配置产生高昂的信息成本、寻租成本、社会成本等制度成本,加重了潜在的政府权力寻租,忽略了土地指标的空间均衡,指标配置效率低下。在行政权力万能的观念之下,建设用地指标行政配置制度是政府运用行政手段配置土地资源,表现出强烈的行政色彩,抑制或排斥了市场机制对土地资源的配置,容易产生政府追求地方经济利益、违法违规用地以及制度成本过高等政府失灵问题。究其根源,建设用地指标行政配置与政府集权、国家公权力单向行使、缺乏程序控制等因素相关。党的十七大报告和中共中央《关于全面深化改革若干重大问题的决定》中指出,实现土地资源的有效配置,要充分发挥市场对资源配置的决定性作用。实践证明,在市场经济条件下,建设用地指标行政配置模式会引起社会经济发展与建设用地指标管理的冲突与矛盾,导致建设用地指标的供需失衡,无法引导建设用地指标向边际产出高的地区流动,为实现建设用地指标的帕累托改进,亟需对土地资源行政配置进行市场化改革,最大限度发挥市场基础性作用。本研究的基本目标是实现建设用地指标行政配置与市场配置法律制度的衔接,实现建设用地指标配置的公平性与效率性。建设用地指标配置涉及多个学科领域,通过综合运用法学、经济学、规划学等学科分析工具,研究建设用地指标市场配置的正当性依据及其制度实现途径。通过梳理建设用地指标配置现有研究文献发现,法学界对建设用地指标配置的研究尚处于初期阶段,相关成果都是从土地管理学和制度经济学视角,通过分析建设用地指标行政配置存在的法律问题,提出相应的改进对策。与代表性国家及地区土地开发权转移制度的研究相比,我国法学界对建设用地指标配置的研究框架仍然没有摆脱传统行政法范式的羁绊。市场配置作为资源配置的新型调控机制,其主要是通过市场机制对建设用地指标进行结构性调整,引导建设用地资源的供给与需求趋于均衡,实现建设用地指标的宏观调控和总量控制。比例原则理论、土地开发权理论、特殊产权理论等法学依据,交易成本理论、土地资源优化配置理论等经济学依据,区位理论等规划学依据为建设用地指标市场配置法律制度提供了正当性基础和理论依据。在现代法治社会,建设用地指标行政配置法律制度的改革过程是行政权力不断消退,私权利不断彰显的过程。为提高土地资源配置的效率,我国浙江等地在实践中探索出建设用地指标交易创新模式,即在指标行政配置中引入市场机制,其实质是引入私权机制,对建设用地指标进行空间再配置,为经济发达地区获取更多建设用地资源,拓展经济发展空间。指标市场配置法律制度具有高效配置土地资源功能,发挥市场主体和社会主体的优势资源,降低或消除指标行政配置产生的高昂制度成本。通过对代表性国家及地区土地开发权转移制度的考察发现,在国际上引入市场机制配置土地资源,已形成土地开发权转移法律制度共性制度规律及经验:一是土地开发权的初始配置与再次配置相结合;二是土地资源配置坚持公平与效率的价值目标;三是通过合同协商解决地区间资源配置不均衡;四是以市场机制为土地开发权转移的基本模式;五是以宏观调控维持土地开发权转移市场的有序性。比较法上的经验为完善我国建设用地指标市场配置法律制度具有经验借鉴。建设用地指标市场交易是建设用地指标交易的二级市场,其职能在于制定交易规则,收集和发布指标交易市场信息,为指标交易双方提供指标交易场所,引领和规范指标交易。建设用地指标行政配置市场化改革并不是对行政配置公法模式的否认和摒除,它是在行政配置基础上,引入私权机制对各地建设用地指标余缺进行再配置,能够克服现行建设用地指标行政配置法律制度的制度成本,促进指标交易公私法模式的融合,实现建设用地指标的市场化配置,对现代行政法给付行政理论和实践做出制度回应。建设用地指标市场配置是我国城市土地制度改革的重要突破口,其内容是基于土地利用整体规划的控制指标规模,地方政府以各地区经济发展对建设用地指标的需求,利用指标交易的市场机制,推进建设用地指标转移到边际产出更高的地区,实现建设用地指标配置的帕累托最优。本研究针对现行建设用地指标行政配置法律制度的缺陷,在指标交易地方样本法律问题实证分析的基础上,通过行政配置与市场配置法律制度的对比,提出完善我国建设用地指标市场配置法律制度的路径。一是通过修改《土地管理法》,在市场秩序基本法层次上确立建设用地指标交易的法律地位;二是确立建设用地指标交易的监管原则,即公平效率原则、利益衡平原则和正当程序原则;三是完善建设用地指标市场交易的程序制度,包括指标交易行政许可制度、审批制度、听证制度、不动产评估制度等;四是建设用地指标交易的监督及违约的救济制度;五是保障建设用地指标交易的配套制度。同时,在建设用地指标市场配置地方样本中增加指标交易补偿制度,通过财政转移支付方式、资源空间引导政策以及环境保护政策等对指标调出方进行补偿,支持指标调出方经济发展,推进区域经济协调发展。
[Abstract]:Resource allocation is the state and process of making a rational allocation of resources between different subjects in accordance with the purpose. The result is the formation of a specific legal relationship between the stakeholders. The allocation of resources includes two ways of administrative allocation and market allocation. The administrative allocation means that the government provides the land resources through administrative means. Land users; market allocation means the allocation of land resources through market competition mechanism by the main body of land use. The construction land index refers to the construction land scope obtained by the state in accordance with the procedures and powers stipulated in the law and through the land expropriation behavior. In the legal attribute, the construction land index belongs to the private right of the public right nature, and is useful. Property right. The public law property right in legal rules and system design focuses on state control, mainly by the law of strong law; private law real right focuses on the autonomy of the meaning and the freedom of contract. The construction land index allocation is the state utilization of land resources planning and adjustment means, from the space level to the construction land development intensity and development capacity to carry out administrative work. As a manifestation of the land development right, the rational allocation of the construction land index is related to the social and economic benefits, economic and ecological benefits of the national economic development and the allocation of land resources. The allocation of construction land indicators has the combination of administrative allocation and market allocation. The market allocation is the auxiliary means of the index allocation. The market allocation is the direction and goal of the reform of the administrative allocation of the index. The institutional function of the market allocation is also an organic part of the necessity of the administrative allocation reform. The two should be integrated and coordinated. In the initial configuration, the central government passes the administrative allocation means. The construction land index is allocated to the local government, the central government and the local government form the legal relationship between the administrative plan and the local government. In the reconfiguration, the local governments sign the contract by equal negotiation, form the contract legal relationship between the local governments, and realize the construction land index change from the government administrative legal relation to the market legal relationship. Influenced by the traditional planned economic system, the administrative allocation of the current construction land use index in China has high information cost, rent-seeking cost, social cost and other institutional costs, which aggravates the potential government power seeking, neglects the spatial equilibrium of the land index, and the efficiency of the index is low. Under the omnipotent concept of administrative power, the construction is used. The system of land index administrative allocation is the government allocation of land resources by administrative means, showing a strong administrative color, restraining or rejecting the allocation of land resources by the market mechanism. It is easy to produce government failures in the pursuit of local economic benefits, illegal land use and system costs too high. In the report of the 17th National Congress of the party and the Central Committee of the Communist Party of China and the decision of the Central Committee of the Communist Party of China on some major issues of comprehensive deepening of reform, it is pointed out that the realization of the effective allocation of land resources should give full play to the decisive role of the market in the allocation of resources. Practice has proved that the city is in the city. Under the condition of the field economy, the administrative allocation model of the construction land index will cause the conflict and contradiction between the social economic development and the construction land index management, which leads to the imbalance of the supply and demand of the construction land index, and can not guide the construction land index to flow to the region with high marginal output. In order to improve the construction land index, it is urgent for the land resources to be made to the land resources. The basic goal of this study is to realize the connection between the administrative allocation of the construction land index and the legal system of market allocation, and to realize the fairness and efficiency of the construction land index allocation. Study, economics, planning and other disciplines analysis tools, study the justification basis of the market allocation of the construction land index and the way to realize it. By combing the existing research literature of the construction land index, the research on the allocation of construction land index is still in the initial stage, and the related achievements are from the land management and system. From the perspective of economics, by analyzing the legal problems existing in the administrative allocation of the construction land index, the corresponding improvement measures are put forward. Compared with the research on the transfer system of land exploitation rights in the representative countries and regions, the framework of the research on the allocation of construction land index in China's law circles still has not got rid of the fetters of the traditional administrative law paradigm. The new regulation mechanism for resource allocation is mainly to adjust the construction land index through the market mechanism, guide the supply and demand of the construction land resources to balance, realize the macro control and total control of the construction land index, the theory of the proportion principle, the theory of land exploitation right, the theory of special property right and so on. The cost theory, the theory of optimal allocation of land resources and other economic basis, the location theory and other planning theories provide the justifiable basis and theoretical basis for the legal system of the construction land index market allocation. In the modern rule of law society, the reform process of the administrative allocation legal system of the construction land index is the continuous decline of administrative power and the interest of private rights. In order to improve the efficiency of the land resource allocation, in order to improve the efficiency of land resource allocation, Zhejiang and other places in China have explored the innovation mode of the construction land index transaction, that is, introducing the market mechanism in the administrative allocation of the index, the essence of which is the introduction of the private right mechanism, the space reconfiguration of the construction land index, and more construction land for the economically developed areas. Resources, expand the space of economic development. The legal system of index market allocation has the function of efficient allocation of land resources, exerts the dominant resources of the main body of the market and the social subject, and reduces or eliminates the high institutional cost produced by the administrative allocation of the index. The introduction of market mechanism to allocate land resources, has formed the law and experience of the common system of land development right transfer legal system: first, the initial allocation of land development rights and the combination of reconfiguration; two is the value goal of land resource allocation to adhere to fairness and efficiency; the three is to solve the disequilibrium of resource allocation through contract negotiation; four is The market mechanism is the basic model for the transfer of land development rights; five is to maintain the orderly market of land exploitation right by macro regulation and control. The experience of comparative law has experience for the improvement of the legal system of market allocation in China's construction land index. The market transaction of construction land index is the two level market for the establishment of land target trading, and its function It is not to deny and dismiss the public law mode of administrative allocation. It is to introduce private right mechanism to various places on the basis of administrative allocation, which is not to deny and dismiss the public law mode of administrative allocation. The reconfiguration of the surplus and deficiency of the construction land index can overcome the institutional cost of the administrative allocation legal system of the current construction land use index, promote the integration of the public private law mode of the index transaction, realize the market allocation of the construction land index, and make a systematic response to the administrative theory and practice of the modern administrative law payment. The important breakthrough of the reform of urban land system in China is based on the scale of the control index of the overall planning of land use. The local government takes the demand of the economic development of each region to the target of the construction land, uses the market mechanism of the index transaction, and promotes the construction land index to be transferred to the higher marginal output area, and realizes the construction land index. According to the defects of the legal system of the administrative allocation of the current construction land use index, this study, on the basis of the empirical analysis of the legal problems of the local samples of the target trading, puts forward the way to improve the legal system of the market allocation of China's construction land index through the comparison of the legal system of the administrative allocation and the market allocation. One is through the study. Amending the land management law, establishing the legal status of the construction land index transaction on the basis of the basic law of the market order; two is the supervision principle of establishing the target trading of the construction land, that is, the principle of fair efficiency, the principle of equity balance and the principle of due process, and the three is to perfect the procedure system of the market transaction of the construction land, including the transaction administration of the index. License system, examination and approval system, hearing system, real estate evaluation system, etc.; four is the system of supervision and breach of contract for the construction land index; five is the supporting system to guarantee the transaction of the construction land index. At the same time, the system of compensation for the index transaction is added to the local sample of the construction land index market, and the mode of payment is transferred through the financial transfer. The resource space guiding policies and environmental protection policies to compensate the index V, support index out of economic development, promote the coordinated development of regional economy.
【学位授予单位】：辽宁大学
【学位级别】：博士
【学位授予年份】：2017
【分类号】：D922.3

【参考文献】