【作者】 孙雪峰；

【导师】 陈利根；

【作者基本信息】 南京农业大学 ， 土地资源管理， 2016， 博士

【摘要】 中国现行宅基地制度建立于计划经济时期,带有身份性和福利性,对于维护农村社会的长期稳定发挥了积极作用。然而,随着时代的变迁,社会经济形态转型,乡村人口大规模向城镇转移,这种带有身份性和福利性的宅基地制度已经暴露出明显的滞后性。由于法律严格限制农村宅基地自由流转,许多外出农民没有将其所使用的宅基地退出,致使农村区域呈现出大量的闲置用地,导致了许多区域的农村宅基地用地缩减情况并没有与实际的农村人口转移相关联。而在今后的发展中,为了实现高水平的城镇化,农村人口还将不断流入城市并定居下来;在当前耕地保护和生态环境日趋严峻的情况下,通过大量侵占农用地来补充城镇用地已非常有限。鉴于此,本研究提出,完善的“农村宅基地退出机制”是协调宅基地闲置浪费与城市用地供给不足的有效途径。如果农村宅基地退出制度一旦制定并予以实施,对于退出宅基地的那部分进城农民而言,他们闲置的资产得以盘活,并获得财产性收益,为解决其进城后的居住问题提供部分资金;而对于国家而言,这部分退出的宅基地可以进行复耕,从而增加耕地面积,也可以将其收归国有,转化为城市建设用地,缓解城市用地紧张局面,保障经济社会的可持续发展。因此,研究农村宅基地退出机制,构建完善的农村宅基地退出机制已经成为一个日益紧迫的重要课题。本文通过对我国农村宅基地制度演变过程、农村宅基地退出的地方实践、主要模式、影响因素、补偿机制和退出程序的分析,从而构建完善的农村宅基地退出机制,为农村宅基地制度创新和政策改革提供科学依据。首先,科学总结我国农村宅基地制度演变过程,准确把握我国宅基地制度现状及存在的问题;其次,总结各地进行农村宅基地退出的实践情况,归纳农村宅基地退出的主要模式,同时,以南京和盐城为例,比较分析了不同农村宅基地退出模式实施策略与政策供给;再次,分析农村宅基地退出的影响因素,揭示了农村宅基地退出的动力因素,同时,选取经济发展水平不同的苏南的南京、苏北的盐城进行对比分析,揭示不同经济发展水平下农村宅基地退出机理及农户宅基地退出意愿的影响因素;最后,探讨如何建立合理的农村宅基地退出补偿机制,设计有效农村宅基地退出程序,从而提出农村宅基地退出的相关政策改革;主要研究发现及结论如下:第一,科学总结我国农村宅基地制度调整历程,准确把握我国宅基地制度现状及存在的问题,对于探索我国宅基地制度演化所蕴含的规律和趋势,准确把握未来我国农村宅基地制度改革方向具有较大的启发和帮助。纵观建国后我国农村宅基地制度调整的曲折历程,我们可以发现,不同时期的宅基地制度安排有着深刻的政治、经济、社会和历史限制。第二,制度经济学告诉我们,土地要素相对价格的变化(宅基地资产属性的显现)是土地制度变迁(宅基地制度)的主要原因。在城乡统筹发展过程,宅基地要素相对价格将发生较大变化,现有的宅基地制度均衡被逐渐打破,赋予宅基地资产属性将是重构制度均衡的重要途径;另一方面,城乡统筹发展不仅要求土地要素在城乡间自由流动,而且要求城乡人口能够自由流动。第三,通过对比分析嘉兴“两分两换”、天津“宅基地换房”、重庆“地票交易”、苏州“三集中”、成都“土地综合整治”模式以及常州农村宅基地改革试点经验在资源禀赋、经济发展、政府偏好、农民参与度以及退出效果方面的异同,可以发现,由于不同模式所处地区的经济发展水平不同,土地资源禀赋有所差异,地方政府在宅基地退出改革中的偏好、动力和行为取向迥异,这影响着农户的参与积极性与参与程度,最终表现出了不同的宅基地退出改革效果。另外,这些主要的地方实践又可总结归纳为统筹城乡发展的宅基地置换模式和农村土地综合整治的宅基地退出模式。统筹城乡发展的宅基地置换模式是在现有法律框架内的制度创新,因此并没有较大程度地改变现有的收益分配格局;但是不可否认的是,这个制度创新过程改善了农民的居住条件,让你们分享了部分土地增值收益分配。农村土地综合整治的宅基地退出模式由于是农民自主治理,因此拥有集体建设用地权的农民个体或是集体可以结合实际情况来选择参不参与建房行为,以及怎样筹资建设,按劳分配权益等内容,从而较大程度地享有土地增值收益。第四,借鉴现代推拉理论,从“推力”和“拉力”两个方面构建农村宅基地退出的驱动机理。具体而言:社会转型期统筹城乡发展、户籍制度的松动以及社会保障制度的完善推动退出农村宅基地;土地生存保障功能的不断弱化,农村土地资本属性不断突显拉动着农村宅基地的退出。在驱动机理分析的基础上进一步细化农村宅基地退出的影响因素,又可分为宏观层面的地区经济发展水平、中观层面的地方政府行为偏好以及微观层面的农户行为偏好。第五,论文以江苏为例,选取经济发展水平不同的苏南的南京、苏北的盐城进行对比分析,揭示不同经济发展水平下农村宅基地退出机理及农户宅基地退出意愿的影响因素,从而验证本文的理论研究。Logistic回归结果显示:户主年龄、户主受教育程度、家庭参保人数、非农收入、人均宅基地面积、人均住房面积、对政府行为的评价等因素都在不同程度上左右了农户宅基地退出意愿。农户宅基地退出意愿的地域差异,结果显示,相对于南京农户组,盐城农户组中的“户主受教育程度”、“非农收入”和“人均宅基地面积”三个因素对农户宅基地退出意愿的影响不显著。这说明:(1)在经济欠发达地区农户的非农就业机会相对较少、非农收入较低,农业生产成为他们主要的就业选择,土地成为了他们的安居乐业的保障,因此较少的非农收入不足以影响他们的宅基地退出决策;(2)在经济欠发达地区,很多农户家庭宅基地面积相对较大,前有院子后有菜地的格局大大提升了其居住环境品质,即使再增大宅基地面积也会产生资源配置的边际递减效应,因此较大的人均宅基地面积不足以影响他们的宅基地退出决策。第六,农村宅基地退出是推进统筹城乡发展,破除城乡二元结构,加快新农村建设的重要举措。农村宅基地退出机制的构建应当以科学发展观为统领,遵循规划引导、自愿参与、多元补偿、统筹兼顾和用途管制等原则,以“农地重整、村镇重建、要素重组”为基本路径,实现农村土地的节约利用、农民土地权利的财产化显现与农村社会的稳定和谐等基本目标。(1)退出平台:农村宅基地的退出工作需要借助农村土地综合整治项目为平台,按规划、有计划的展开。即以土地综合整治项目为主要平台推进农民土地的整体性退出,以政策引导农民自愿申请鼓励农民土地的个别性退出。(2)退出方式:农村宅基地的退出方式,以政府主导置换为主的完全性退出,以市场引导流转为补充的部分式退出。(3)补偿政策设计:农村居民自愿退出全部宅基地及建构附着物的一次性补偿费用由农村住房补偿费、宅基地范围内构(附)着物补偿费、宅基地使用权补偿费和购房补助等四项组成。(4)补偿标准:农村住房及构(附)着物的补偿面积按农村房屋所有权证登记的面积计算,补偿标准分地区类别,具体由各地颁布实施;宅基地使用权补偿分地区类别按现场清理丈量确定的面积计算,分地区类别的补偿标准具体由各地颁布实施;安置补助费参照本地区征地拆迁补偿标准执行。(5)退出程序:农村宅基地的退出程序可以分为宣传准备、退出补偿、整治利用与检查监管等四个阶段。(6)退出机制:农村宅基地退出工作是集规划管制、农民意愿、多方参与、政府引导、合理公平补偿、土地及时整理复垦、纠纷解决等内容于一体的系统工程,应当基于城乡统筹发展、农民权利保护、土地集约节约利用的基本理念,从项目实施、资金准备、土地利用、组织保障以及配套设施等多方面进行机制构建。(7)配套改革:将城乡统一建设用地市场建设作为农村宅基地退出改革的重要配套改革措施,具体包括完善农村建设用地权能、做好城乡建设用地确权登记、维护农民宅基地用益物权、建立兼顾多方的土地增值收益分配机制、严格对城乡统一建设用地市场的管控。更多还原

【Abstract】 China’s current homestead system with identity and welfare was established in the planned economy period,which played a positive role in maintaining the long-term stability of rural society.However,with the change of the times,the transformation of the social economy and the large-scale transfer of the rural population to the cities and towns,the identity and welfare homestead system has exposed the obvious defects.Because laws strictly limit the free transfer of rural land,many peasants did not exit its homestead,the rural area shows a large number of idle lands,resulted in the reduction of rural land use in many areas,and is not associated with the actual transfer of rural population.In the future development,in order to achieve a high level of urbanization,the rural population will continue to flow into the city and settle down;In the current situation of cultivated land protection and ecological environment is becoming more and more serious,it is very limited to supplement the urban land through the large number of occupation of agricultural land.Given this,the study proposes that a well-established rural housing land exiting mechanism is an effective way of dealing with the idleness of homestead and shortage of urban land.To farmers who enter the city after handing over their homestead,once the rural housing land exiting mechanism is established and implemented,they can get corresponding assets income.Turning homestead asset into cash can help farmers deal with housing,financial and other problems after entering the city.From the standpoint of the country,exiting from the homestead system can help the expansion and reclamation of farmland area.The transformation from homestead to lands for city construction can help reduce the shortage of regional land resources and provide strong supporting for economic and social development.Therefore,studying and constructing an effective exiting mechanism for rural housing land are becoming an important and pressing task.In order to establish an effective exiting mechanism for rural housing land and provide scientific evidence for the innovation and policy reform of rural homestead system,the dissertation analyzes the evolvement of China ’s rural homestead system,and the indigenous practice,main mode,influencing factor,compensating mechanism and procedure of rural housing land exiting mechanism.Initially,the dissertation summarizes the evolvement process of China’s rural homestead system and grasps the present situation and problems of homestead system in China.Then,through the review of the practice situations of rural housing land exiting all over the country,the dissertation concludes the main mode of rural housing land exiting mechanism.At the same time,this paper taked Nanjing and Yancheng as an example to analyze the implementation strategy and policy supply of different rural residential land exit mode.Furthermore,the dissertation analyzes the influencing factors of rural housing land exiting mechanism and reveals its dynamic factor.Taking Jiangsu for example,the dissertation makes a comparison between two cities which located in southern and northern Jiangsu province at different economic development levels——Nanjing and Yancheng.The comparison is to reveal the rural housing land exiting mechanism at different economic development level and the influencing factors of farmer’s will of quitting homestead system.In the end,the establishment of reasonable compensating mechanism and the procedure of rural housing land exiting mechanism are discussed to put forward relevant policy reform.The main findings and conclusions are as follows:Firstly,a scientific summary of the evolvement process of China’s rural homestead system and the present situation and problems of homestead system in China can really inspire the exploration of rules and tends of the evolvement process of homestead system and help to grasp the reform orientation of rural homestead system in China in the years to come.Throughout the twists and turns of the adjustment of the rural homestead system after the founding of the People’s Republic of China,we can find that the arrangement of homestead system in different periods contains profound political,economic,social and historical constraints.Secondly,what institutional economics tells us is that changes in the relative price of land elements(the presentation of property attributes of homestead)is the main reason for the evolution of rural land system(homestead system).In the process of the integrated development of the urban and rural areas,great changes will take place in the relative price of homestead element and the current balance of homestead system,so assigning homestead with asset attributes will be an important way to rebuild the balance.On the other hand,the urban-rural integration development requires not only the free flows of land elements between urban and rural areas,but also the free flows of urban and rural population.Thirdly,the comparative analysis of the differences in resources endowment,economic development,government preference,farmers’ participation and exiting effects of different modes,such as "Two-for-Two" in Jiaxing,"homestead for apartment" in Tianjin,"Indicators Trading" in Chongqing,"three concentrate" in Suzhou,"Comprehensive land improvement" in Chengdu and rural homestead reform experience in Changzhou.It can be found that,the differences in the economic development level,land resources endowment,as well as local government’s preferences,impetus and behavior orientation in the reform of homestead exiting have made an influence on farmer’s participation,which finally results in the different effects of the reform.In addition,these main local practices can be concluded as two modes which are homestead replacement mode and comprehensive improvement mode of rural land.The homestead replacement mode is an institutional innovation within the present legal system,so it does not change the existing income distribution to a greater extent.But it is also worth acknowledging that this institutional innovation has improved the farmer’s living conditions and their benefits from the increment distribution of some land value.In comprehensive improvement mode of rural land,farmer’s independent governance makes it possible that the individual or collective farmers with the rights of using collective construction land can choose to participate in building behavior according to the practical situation,including the way of financing and constructing,along with the equity of distribution according to work,etc.Thereby,they can enjoy the land increment income to a greater degree.Fourthly,making use of modern push-pull theory,the dissertation constructs driving mechanism of rural homestead exiting from two aspects:"push" and "pull".Specifically,in transitional period,the overall development of urban and rural regions,the flexibility of household registration system and the perfection of social security system could push the exiting of rural housing land.The attribute of rural land capital is sticking out while the subsistence and security functions of land keep weakening,which promotes rural housing land exiting mechanism.Based on the analysis of driving mechanism,the dissertation further refines the influencing factors of rural housing land exiting,which can be divided into three levels:macro level——regional economy development level,medium level——regional government’s behavioral preference and micro level—farmer’s behavioral preference.Fifthly,taking Jiangsu for example,the dissertation makes a comparison between two cities located in southern and northern Jiangsu province at different economic development level——Nanjing and Yancheng.The comparison is to reveal the rural housing land exiting mechanism at different economic development level and the influencing factors of farmer’s will of quitting homestead system,and then to verify the theoretical research of this dissertation.Regression results from Logistic show that several factors influence farmer’s will of rural housing land exiting to a variable extent.These factors include age and educational background of householders,the number of insured in the family,non-agricultural income,average homestead area,average housing area,evaluation of government actions,etc.In terms of regional differences in farmer’s will of rural housing land exiting,the results indicate that "educational background of householders","non-agricultural income" and "average homestead area",these three factors have no significant influence on farmer’s will in Yancheng,compared to Nanjing household groups.This suggests:(1)Peasant households in economic less-developed areas have relatively less job opportunities and lower non-agricultural income.Agricultural production has become their main career option,and land is almost the only guarantee for them.So,lower non-agricultural income has not affected their decision of housing land exiting.(2)Many peasant households in economic less-developed regions have comparatively larger land area.With courtyard in front and vegetable plot at back,the pattern greatly improves the quality of their living environment.Even increasing land area will also cause marginal diminishing effect of resource allocation.Consequently,People with relatively large average land area will not change their decision to exit their housing land.Finally,rural housing land exiting mechanism is an important measure to promote urban and rural development,eliminate the urban-rural dual structure and accelerate the construction of new rural communities.The establishment of rural housing land exiting mechanism should take scientific development concept as the guidance,follow the principles of planning guidance,voluntary participation,diversified compensation,overall consideration,and use regulation etc.With "land reorganization,village reconstruction,element recombination" as the basic path,the mechanism intends to realize economical utilization of land,propertilization of farmer’ s land rights and harmony and stability of rural society.(1)Platform:With comprehensive governance project of rural land as a platform,work of rural housing land exiting needs to be done according to the plan.In other words,taking comprehensive improvement project as a platform to promote the complete exiting of rural housing land,and using the policy to guide the farmers to exit their land voluntarily and individually.(2)Approach:Complete exiting based on government-oriented replacement and partial exiting with market-oriented as supplement.(3)Design of Compensation Policy:The one-time compensation fees for rural resident’ s voluntary exiting of all homestead and constructed attachments consist of rural housing compensation,compensation for attachments within homestead,compensation for land use right and house-purchase subsidy.(4)Compensation Standard:Compensation areas of rural housing attachments are calculated according to the register size on rural house ownership certificate.Compensation standards are classified by region and the specific standards are formulated and promulgated locally.Compensation for land use right is calculated according to the area measured on the spot.Compensation standards that are classified by region are formulated and promulgated locally.House-purchase subsidy shall be implemented by reference to the compensation standard of land expropriation and housing removal in the region.(5)Exiting Procedure:Exiting procedure of rural homestead can be divided into four stages:promotion and preparation,exiting compensation,renovation and utilization,inspection and supervision.(6)Exiting Mechanism:Rural housing land exiting operation is a system engineering which combines planning control,farmer’s will,multiple participants,government guidance,fair and reasonable compensation,timely land arrangement and reclamation and dispute resolution.The operation should be based on the basic concept of coordinating urban and rural development,protection of farmer’s rights,economical and intensive use of land.The mechanism should be established from multiple aspects,such as project implementation,capital reserve,land utilization,organizational guarantee and supporting facilities.(7)Supporting Reform:As an important supporting reform measure to rural housing land exiting reform,the establishment of integrated construction land market between urban and suburban regions includes perfection of powers and functions of rural construction land,registration of urban-rural construction land,protection of rural homestead usufructuary right,establishment of land increment income distribution mechanism covering multiple parties,strictly control over the integrated construction land market.更多还原