中文题名: | 农地“三权分置”制度:制度由来、产权配置与实践路径研究 |
姓名: | |
学号: | 2016209025 |
保密级别: | 公开 |
论文语种: | chi |
学科代码: | 120405 |
学科名称: | 管理学 - 公共管理 - 土地资源管理 |
学生类型: | 博士 |
学位: | 管理学博士 |
学校: | 南京农业大学 |
院系: | |
专业: | |
研究方向: | 土地制度与土地政策 |
第一导师姓名: | |
第一导师单位: | |
完成日期: | 2021-03-16 |
答辩日期: | 2021-03-23 |
外文题名: | Study on the"Three Rights Separation" system of farmland: origin of the system, allocation of property rights and practice path |
中文关键词: | |
外文关键词: | Farmland Property Rights System ; Three Rights Separation ; Institutional Change ; Allocation of Property Rights ; Governance structure |
中文摘要: |
2018年底,随着新版《中华人民共和国农村土地承包法》的颁布实施,农地“三权分置”制度正式由政策上升为法律,实现了对传统“两权分离”的农地产权结构的重塑。在构建国内大循环和国内国际双循环新发展格局背景下,农地“三权分置”制度能否有效落实并取得预期的实施效果,直接影响着农业现代化的实现和农业生产国际竞争力的提升。但与通过明晰产权、赋予农民更多的土地权利便能实现资源有效配置的理论认识不同,实践中,单纯通过产权强化难以直接取得预期的政策效果。 具体来看,农地“三权分置”的重点内容——放活土地经营权——的实践在部分地区不仅未能达成制度目标,也表现出一定的实施困境。一方面,与土地流转规模持续扩大不同的是,虽然土地流转正式契约的签订情况在农地产权制度改革的推动下有所改善;但现实中受农村特定的人地关系影响,正式契约的签订率并不高,即使签订了正式契约也并不能完全规避和有效处置土地流转过程中可能发生的流转纠纷;另一方面,经过试点、推广的农地经营权抵押贷款业务近年来发展迅速,贷款余额显著增加,但通过调研访谈可知,目前大多地区金融机构开展此项业务,多受行政激励所致,具有“政策性贷款”性质。随着时间的推移,部分地区已出现贷款余额下降、抵押违约难处置的现象,个别地区甚至面临政策难以持续的现实困境,以致暂停该项业务。 值得注意的是,与此同时也有地方在农地“三权分置”制度产权实施实践中表现出有效化解困境、取得良好实施效果的特征,在权益保护、农地流转及农地经营权抵押贷款等方面获得显著的制度绩效。如何理解中央制度设计与地方实践之间的差异?又该如何将成功经验在理论层面一般化?成为进一步落实和完善农地“三权分置”制度必须要回答的现实问题。而为了充分解释这些问题并为解释的视角提供历史依据,在关注当前农地“三权分置”制度的实践现状的同时,还需要从历史的维度探究农地“三权分置”的制度由来。 基于此,本文借鉴了新制度经济学理论洞见,构建了包含中央政府、地方政府和村集体、普通农户等在内的多层次多主体治理结构分析框架,对农地“三权分置”制度的制度由来、产权配置及实践路径进行深入剖析。具体而言:首先,从农地产权制度出发,引入制度演化思想,以建国后农地产权制度变迁的历史资料为依托,总结并提炼出中国特色场域下农地产权制度的演变逻辑,厘清多层次多主体治理结构下农地“三权分置”制度的制度由来,并识别多层次多主体间的相互作用机制,为后续针对农地“三权分置”制度下的产权配置以及实践路径分析奠定基础;其次,在把握中央政府、地方政府、村集体及普通农户在内的多层次多主体相互作用机制的前提条件下,基于产权配置和产权公共域的视角,结合理论分析与已有的实践经验,探究在多层次多主体相互作用背景下农地“三权分置”的产权配置结构以及可能存在的实施困境;继而通过对农地“三权分置”的主要实践内容,即农地经营权流转和农地经营权抵押贷款典型案例的比较和分析,识别差别化农地“三权分置”实现形式的运行机制及绩效差异,并进行总结和提炼。最后,在此基础上,借助前述已探究的农地“三权分置”的制度由来,回答在当前区域间社会经济发展水平存在显著差异背景下,未来如何完善和推进农地“三权分置”有效落实的现实问题,并对进一步深化农村土地产权制度改革提供相应政策建议,由此作为全文的改革启示。 主要研究发现如下: (1)农地“三权分置”制度是“设计-演化”共同作用的结果。有别于传统社会主义国家单方面的中央宏观制度设计,建国后的中国社会制度变迁受中央政府、地方政府、村集体等多层次多主体的共同影响,其中既存在中央政府“自上而下”的制度设计,也伴随着地方基层“自下而上”的自发演化,具有典型的中国特色。受二者在“创新-选择-扩散”环节相互作用强度不同的影响,不同阶段的制度变迁绩效表现存在显著差异。总而言之,建国后中国农地产权制度变迁是沿着多层级多主体间“设计-演化”的统一逻辑循序展开。而“三权分置”制度的形成便是在这一逻辑主导下、多层次多主体相互作用的产物。 (2)受产权公共域的影响,农地“三权分置”制度实施面临着现实困境,阻碍“三权分置”制度的有效落实。在多层次多主体治理结构框架下,受中央层面法律法规模糊表达、地方政府层面产权再配置及权利主体层面契约规则的影响,实践中农地“三权分置”的产权配置结构存在着不同层次的产权公共域,这阻碍了“三权分置”制度的有效落实,致使其在实践中不仅可能难以兼顾包括所有权、承包权及经营权在内的各产权主体权益,也有可能制约农地流转。除此之外,在农地经营权抵押贷款中,不仅普通农户与新型经营主体围绕农地经营权抵押的经济价值争夺会增加实现抵押权能的交易费用。在抵押违约时,多个权利主体的争夺,也会影响农地经营权的再流转,使得农地经营权难以得到有效处置,限制农村金融市场的发育,最终阻碍“三权分置”制度的有效落实。 (3)外部治理环境优化能够促进农地“三权分置”的落实,但制度实施效果有限。理论分析及实证检验均表明,以中央层面的农地产权制度改革和地方政府的行政干预措施为主的外部治理环境优化,通过产权安全性和完整性的提升,能够有效促进农地“三权分置”的实施。这在农地流转市场发育中表现为流转数量的增加;而在农地经营权抵押贷款中则体现为抵押品交易价值、可保值性和排他性的提升。实践经验也表明,虽然农地流转数量显著增加,但在农地流转契约签订、执行以及监督与管理环节的交易费用仍较高;而由于抵押品易处置性并未得到显著改善,违约抵押品难以得到处置,农地经营权抵押权能仍存在难以实现的困境。概言之,农地“三权分置”的制度实施效果有限。 (4)内部治理结构设置中适度的公共干预行为能够降低农地“三权分置”实践的交易费用,提升制度实施效果。与仅依靠中央层面农地产权制度改革和地方政府层面行政干预不同的是,在有效开展农地“三权分置”实践的地区,内部治理结构设置中多引入了包括村集体和第三方平台的共同治理。其中,在农地流转市场领域,通过差别化的主体关系制度安排实现流转交易费用的降低和农地流转质量的提升;在农地经营权抵押贷款中,则通过多种形式的担保与反担保设置,实现对新型经营主体的机会主义行为的约束,并促进农地经营权抵押权能的有效实现。不仅提高了普通农户的信贷可得性,也同时解决了违约后的抵押物处置难题,使得在政府财力较弱、农地流转市场发育水平较低的地区,也存在实现农地权利资本化的可能。 鉴于此,在构建治理体系现代化背景下,为了完善和促进农地“三权分置”制度的落实,推动农村土地产权制度深化改革,本文提出政策建议如下: (1)协同外部治理环境与内部治理结构,促进“三权分置”有效落实。首先地方政府应构建公平交易的环境,以实现交易主体的公平竞争,减少因争夺产权公共域而造成的权益损耗;其次,各地应结合地方政府财力和治理水平,循着减少交易费用的路径,选择差别化的农地流转和农地经营权抵押贷款内部治理结构;并随着外部治理环境的变化灵活调整内部治理结构,以促进农地“三权分置”制度的有效落实。 (2)依托多层次多主体治理结构,丰富“三权分置”实现形式。随着中央层面农地“三权分置”法律体系的建立,地方政府及村集体应发挥更大作用。其中,地方政府在构建和完善交易平台的基础上,也可采取适当措施进行行政干预,例如建立流转风险和抵押贷款风险规避机制、新型经营主体的考核机制以及第三方的服务机制等。而村集体可以弥补以往“缺位”的不足,在内部治理结构当中充分发挥管理和服务权能,以差别化形式积极介入农地流转或农地经营权抵押贷款当中,由此丰富农地“三权分置”的实现形式。 (3)引导鼓励村集体层面制度创新,审慎推广地区经验。在对“三权分置”的制度由来和实践路径分析中可以发现,无论是历史证据还是现实经验均表明,在我国农村,村集体不仅是最小的行政组织,也是有效的演化单元。村集体自身的制度创新特性为中央和地方的制度设计创造了丰富的可选集。由此,现阶段应坚持农村土地集体所有制,并积极引导村集体创新;但同时,在制度创新和推广地区经验时也应保持审慎的态度,以自发创新和自主模仿为主,不宜采用强制推广的措施。 (4)借鉴农地产权制度实施经验,推动农村土地产权制度深化改革。随着农村土地产权制度改革的深入,除农地外的宅基地、林地等集体所有土地都面临着深化改革的需求。在这一过程中,除鼓励引导村集体层面积极开展制度创新外,也应强调完善多层次多主体治理结构的上下互动机制,制度设计与制度演化相结合,在发现问题时能够得到及时纠正,以有效推动农村土地产权制度深化改革。 |
外文摘要: |
At the end of 2018, with the promulgation and implementation of the new "Rural Land Contracting Law of the People’s Republic of China", the "three rights separation" of farmland was officially upgraded from policy to law, realizing the reshaping of the traditional "separation of two rights" farmland property rights structure. Under the background of building a new domestic and international dual-cycle development pattern, whether the "three rights separation" system of farmland can be effectively implemented and achieve the expected implementation effects directly affects the realization of agricultural modernization and the promotion of international competitiveness of agricultural production. However, unlike the theoretical understanding that effective allocation of resources can be achieved by clarifying property rights and granting farmers more land rights, in practice, it is difficult to directly achieve the expected policy effects simply by strengthening property rights. Specifically, in some areas, the practice of the key content of the "three rights separation" of farmland—releasing land management rights—has not only failed to achieve the system goals, but also showed certain implementation difficulties. On the one hand, unlike the continuous expansion of the scale of land transfer, although the signing of formal land transfer contracts has improved due to the reform of the farmland property rights system; in reality, the signing of formal contracts is affected by the specific human-land relationship in rural areas, the rate is not high. Even if a formal contract is signed, it cannot completely circumvent and effectively deal with the transfer disputes that may occur in the process of land transfer; The loan balance has increased significantly, but through surveys and interviews, it can be seen that financial institutions in most regions currently carry out this business, which is mostly caused by administrative incentives and has a "policy loan" nature. Over time, some areas have seen a decline in loan balances and difficulties in dealing with mortgage defaults. Some areas have even faced practical difficulties that the policy is difficult to sustain, and the business has been suspended. It is worth noting that at the same time, there are also some places that have effectively resolved the difficulties and achieved good implementation results in the implementation of the property rights of the "three rights separation" system of farmland. They are in the protection of rights and interests, the transfer of farmland, and the mortgage of farmland management rights. Obtained significant system performance in terms of loans. How to understand the differences between central system design and local practice? How to generalize successful experience at the theoretical level? It has become a realistic question that must be answered in the further implementation and improvement of the "three-rights separation" system for farmland. In order to fully explain these issues and provide a historical basis for the perspective of interpretation, while paying attention to the current status of the practice of the "three rights separation" system of farmland, it is also necessary to explore the origin of the "three rights separation" system from a historical perspective. Based on this, this article draws on the theoretical insights of the new institutional economics, constructs a multi-level and multi-agent governance structure analysis framework including the central government, local governments, village collectives, ordinary farmers, etc. To in-depth analysis of the origin of the system, the allocation of property rights and the path of practice. Specifically: First of all, starting from the farmland property rights system, introducing the thought of system evolution, relying on the historical data of the changes in the farmland property rights system after the founding of the People’s Republic of China, summarizing and extracting the evolution logic of the farmland property rights system in the field of Chinese characteristics, and clarifying the origin of the farmland "three-rights separation" system under the multi-level and multi-subject governance structure, and the identification of the interaction mechanism between multi-level and multi-subjects, for the subsequent allocation and practice of property rights under the "three rights separation" system path analysis lays the foundation; secondly, under the premise of grasping the multi-level and multi-subject interaction mechanism of the central government, local governments, village collectives and ordinary farmers, based on the perspective of property rights allocation and the public domain of property rights, combining theoretical analysis and existing some practical experience explores the property rights allocation structure and possible implementation dilemmas of the "three rights separation" of farmland in the context of multi-level and multi-subject interaction; then through the main practical content of the "three rights separation" of farmland, that is, the comparison and analysis of typical cases of farmland management rights transfer and farmland management rights mortgage loans, to identify the operating mechanism and performance differences of the realization form of differentiated farmland "three rights separation", and to summarize and refine. Finally, on this basis, with the help of the origin of the “three rights separation” of farmland has been explored, we will answer how to improve and promote the “three-rights separation” of farmland under the background of significant differences in the current level of social and economic development among regions. It is a practical issue for the effective implementation of “home” and provides corresponding policy suggestions for further deepening the reform of rural land property rights system, which serves as the reform inspiration of the full text. The main findings are as follows:(1) The "three rights separation" system of farmland is the result of the combined effect of "design-evolution". Different from the unilateral central macro-system design of traditional socialist countries, the changes in China’s social system after the founding of the People’s Republic of China were affected by the central government, local governments, village collectives and other multi-level and multi-subjects. Among them, the central government "top-down" design of the system is also accompanied by the spontaneous evolution of the local grassroots "bottom-up", with typical Chinese characteristics. Affected by the different intensity of the interaction between the two in the "innovation-choice-diffusion" link, there are significant differences in the performance of institutional changes at different stages. In a word, after the founding of the People's Republic of China, the changes of the Chinese farmland property rights system followed the unified logic of "design-evolution" among multiple levels and multiple subjects. The formation of the "three rights separation" system is the product of multi-level and multi-subject interaction under this logic. (2) Affected by the public domain of property rights, the implementation of the "three rights separation" system of farmland is facing a real dilemma, which hinders the effective implementation of the "three rights separation" system. Under the framework of a multi-level and multi-subject governance structure, affected by the vague expression of laws and regulations at the central level, the reallocation of property rights at the local government level, and contract rules at the level of the rights subject, in practice, the property rights allocation structure of the "three rights separation" of farmland has different levels. The public domain of property rights, which hinders the effective implementation of the "three-rights separation" system, makes it not only difficult to balance the rights and interests of various property rights including ownership, contracting and management rights, but also may restrict the circulation of farmland. In addition, in farmland management rights mortgage loans, not only ordinary farmers and new business entities competing for the economic value of farmland management rights mortgages will increase the transaction costs for realizing mortgage rights, the contention of multiple rights subjects will also affect the re-circulation of farmland management rights, making it difficult to effectively dispose of farmland management rights, restricting the development of rural financial markets, and ultimately hindering the effective implementation of the "three rights separation" system. (3) The optimization of the external governance environment can promote the implementation of the "three rights separation" of farmland, but the implementation effect of the system is limited.Theoretical analysis and empirical tests have shown that the optimization of the external governance environment based on the reform of the farmland property rights system at the central level and the administrative intervention measures of the local government can effectively promote the three rights of farmland through the improvement of the security and integrity of property rights.This is manifested in the development of the farmland transfer market as an increase in the number of transfers; while in the farmland management rights mortgage loan, it is reflected in the increase in the value of the collateral transaction, value preservation, and exclusivity. Practical experience has also shown that although the number of farmland transfers has increased significantly, the transaction costs in the signing, implementation, supervision and management of farmland transfer contracts are still relatively high; and because the disposition of collateral has not been significantly improved, the default collateral is difficult to be disposed, and the mortgage power of farmland management rights is still difficult to realize. In a nutshell, the implementation effect of the "three rights separation" system for farmland is limited. (4) Appropriate public intervention in the establishment of the internal governance structure can reduce the transaction costs of the practice of "three rights separation" in farmland and improve the effect of system implementation. Different from only relying on the reform of the farmland property rights system at the central level and administrative intervention at the local government level, in areas where the practice of " three rights separation" of farmland is effectively carried out, the internal governance structure has mostly introduced village collectives and third-party platforms.Among them, in the field of farmland transfer market, through differentiated subject relationship institutional arrangements, the transfer transaction cost is reduced and the quality of farmland transfer is improved; in the farmland management right mortgage loan, various forms of guarantees and counter-guarantees are used to set up to realize the constraints on the opportunistic behavior of new business entities and promote the effective realization of the mortgage power of farmland management rights. This not only improves the credit availability of ordinary farmers, but also solves the problem of collateral disposal after default. This makes it possible to realize the capitalization of farmland rights in areas with weak government financial resources and low development of farmland transfer markets. In summary, in the context of building a modern governance system, in order to improve the implementation of the "three-rights separation" system of farmland and promote the deepening reform of the rural land system, this article proposes policy recommendations as follows:(1) Collaborate with the external governance environment and internal governance structure to promote the effective implementation of the "three rights separation". First, local governments should build a fair trading environment to achieve fair competition among transaction subjects and reduce the loss of rights and interests caused by competing for the public domain of property rights; second, local governments should combine local government financial resources and governance levels to follow the path of reducing transaction costs. Choose a differentiated internal governance structure for farmland transfer and farmland management rights mortgage loans; and flexibly adjust the internal governance structure with changes in the external governance environment to promote the effective implementation of the "three rights separation" system of farmland. (2) Relying on a multi-level and multi-subject governance structure to enrich the realization of the "three rights separation". With the establishment of the legal system for the "three rights separation" of farmland at the central level, local governments and village collectives should play a greater role. Among them, on the basis of building and improving the trading platform, the local government can also take appropriate measures for administrative intervention, such as establishing a circulation risk and mortgage risk avoidance mechanism, an assessment mechanism for new business entities, and a third-party service mechanism. The village collective can make up for the “absence” in the past, give full play to management and service powers in the internal governance structure, and actively intervene in the transfer of farmland or mortgage loans for farmland management rights in a differentiated form, thereby enriching the the realization form of the "three rights separation" of farmland. (3) Guide and encourage system innovation at the village collective level, and prudently promote regional experience. In the analysis of the origin and practice path of the "three rights separation" system, it can be found that both historical evidence and practical experience show that in rural my country, the village collective is not only the smallest administrative organization, but also an effective evolutionary unit. The institutional innovation characteristics of the village collectives have created a rich set of options for the central and local institutional design. Therefore, at this stage, we should adhere to the collective ownership of rural land and actively guide village collective innovation; but at the same time, we should maintain a cautious attitude when innovating systems and promoting regional experience, focusing on spontaneous innovation and independent imitation, and compulsory promotion should not be adopted. (4) Drawing lessons from the implementation experience of the farmland property rights system, promote the deepening reform of the rural land property rights system. With the deepening of the reform of the rural land property rights system, collectively-owned land such as homesteads and forest land other than farmland are facing the need for deepening reforms. In this process, in addition to encouraging and guiding the village collective level to actively carry out system innovation, it should also emphasize the improvement of the interaction mechanism of the multi-level and multi-agent governance structure. The combination of system design and system evolution can be corrected in time when problems are discovered to effectively promote the deepening of the reform of the rural land property rights system. |
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中图分类号: | F30 |
开放日期: | 2021-06-04 |