【作者】 刘洋；

【导师】 郭洁；

【作者基本信息】 辽宁大学 ， 经济法学， 2024， 博士

【摘要】 耕地保护是“国之大者”,是关系国计民生的战略问题。党的十八大以来,党中央将耕地保护作为国家战略,形成了耕地“数量+质量+生态”三位一体的系统性政策体系,提出了一系列新理念、新战略、新方法,推动了传统耕地保护法律模式向更有效率的制度模式转型,为全面推进乡村振兴、保障经济和社会可持续发展、端牢中国人自己的饭碗奠定坚实的制度基础。从世界范围来看,行政管控和激励性保护是耕地保护中的两种类型。总体来看,我国目前的耕地保护制度具有明显的行政管控特征,是一种公法保护制度。在我国,耕地保护行政管控居于主导地位,使得耕地保护制度出现管制失灵:(1)一体管制导致管制僵化:耕地保护行政管控模式下,对耕地用途的转换(包括“非农化”“非粮化”)以及种植结构的管控规则设定不清晰,一味强调通过行政管控的方式来保护耕地,使得管制缺乏适当性和灵活性,通过公权管制保护耕地是必要的,但也要协调耕地保护与经济发展需求间的关系,并兼顾个体利益和公共利益。(2)耕地保护补偿不完善未能形成有效激励:脱胎于计划经济体制的耕地保护行政管控模式很难实现耕地保护目标。依托于激励机制,建立行为人的内部自觉,这是保障管制有效实现的重要前提。但目前的耕地保护补偿尚未形成完整的制度设计,不能对耕地保护主体形成有效激励。(3)静态指标管控引致市场机制不足:我国耕地保护行政管控法律模式的核心工具为基于指标的量化管理。用地指标刚性、无偿配置,引发两大难题:一是指标刚性分配缺乏预见性,限制并制约经济快速发展地区的用地需求;二是指标无偿分配则会诱使经济发展较慢的地区在出让土地时,不考虑市场规律及自身实际,出现低价或零地价情形,不仅降低土地资源的利用效率也有悖于耕地资源保护的初衷。在现代法治社会,耕地保护模式转型是公权力合理退出,私权利不断显化的过程。要解决我国耕地保护行政管控所产生的问题,需要通过耕地保护公法管制与私法自治相结合的路径,以实现耕地保护行政管控向激励性保护转变。构建激励性耕地保护模式的关键不在于去管制,而是要改进管制,即通过公法管制和私法自治的有效协同达到耕地保护的目标。为了实现耕地保护目标,耕地保护行政管控模式下,计划指标和用途管制成为主要的耕地保护手段,而对于耕地权利主体的激励措施则显不足和乏力,如此,势必会增加不同主体在耕地保护目标上的冲突。即便是为了满足公共利益的需求,对耕地权利主体的限制也并不是当然的、无偿的。想要改变农民和各类耕地利用主体在耕地保护中被动受管控者的处境,并提高其参与耕地保护的主动性、积极性。亟需厘清我国耕地保护法律模式转型的必要性、可行性,并最终通过制度设计来落实激励性耕地保护。进入新时代,我国耕地保护法律模式应当进行转型。在厘清激励性耕地保护模式内涵的基础上,通过公法与私法相结合的路径来实现耕地保护法律模式的转型。耕地保护法律模式的转型,实质上是要实现耕地保护过程中公法与私法结合的制度构成,不是要消灭管制,而是在行政管控的基础上引入激励机制,从而实现公权与私权关系的平衡、明确政府与市场的权力(利)边界,最终实现耕地保护目标。构建激励性耕地保护的法理基础包括土地所有权的社会性理论、土地发展权理论、激励性管制理论及外部性理论。耕地保护法律模式转型的必要性体现在:耕地的多功能理念彰显耕地的空间利益、公私结合的治理关系促成底线保护与弹性保护协同、“三权分置”改革转变耕地权利人的义务主体地位、市场机制转变行政权力主导的刚性管控模式等方面。以指标和用途管制为主要手段的耕地保护模式,具有严格的公法管控特征,其在耕地保护过程中发挥了不可替代的重要作用,但仍存在局限和不足,难以实现对耕地资源的有效保护。通过耕地保护公法与私法制度的结合来实现耕地保护模式转型,以提升耕地保护主体保护耕地的积极性。对于激励性耕地保护模式的实现,制度层面主要进行如下设计:一是完善差异性管制制度。耕地用作何种用途以及不同用途的耕地如何管理,都需要科学合理的标准作为依据,耕地保护差异性管制需要根据管制对象的不同设置宽严相济的管制措施,以体现管制的适当性;二是完善耕地保护补偿制度。耕地保护补偿可以统筹实现粮食安全和耕地权利主体增收,既保证耕地权利主体的收益,也能够调动其耕地保护的积极性;三是完善补充耕地指标交易制度。跨省域补充耕地指标交易的完善,既可以解决耕地零散分布的问题,实现农业生产的现代化、规模化,同时也有助于化解不同区域在经济发展用地需求和耕地保护间的矛盾。更多还原

【Abstract】 The protection of cultivated land is a strategic issue related to the national economy and people’s livelihood.Since the 18th National Congress of the CPC,the CPC Central Committee has taken the protection of cultivated land as a national strategy,formed a systematic policy system of"quantity+quality+ecology"of cultivated land,put forward a series of new ideas,new strategies and new methods,and promoted the transformation of the traditional legal model of cultivated land protection to a more efficient institutional model.It lays a solid institutional foundation for comprehensively promoting rural revitalization,ensuring sustainable economic and social development,and securing Chinese people’s own rice bowls.From the perspective of the world,administrative control and incentive protection are two types of cultivated land protection.On the whole,China’s current cultivated land protection system has obvious characteristics of administrative control and is a public law protection system.In China,the administrative control of cultivated land protection is in the dominant position,resulting in the control failure of cultivated land protection system:(1)Integrated control leads to rigid control:Under the administrative control mode of cultivated land protection,the conversion of cultivated land use(including"non-agricultural"and"non-grain")and the control rules of planting structure are not clearly set,and the emphasis on protecting cultivated land through administrative control makes the control lack of appropriateness and flexibility.It is necessary to protect cultivated land through public right control,but the relationship between cultivated land protection and economic development needs should also be coordinated.And take into account individual interests and public interests.(2)Imperfect compensation for cultivated land protection fails to form effective incentives:the cultivated land protection administrative control model born out of the planned economy system is difficult to achieve the cultivated land protection goal.Relying on the incentive mechanism,establishing the internal consciousness of the actor is an important premise to ensure the effective realization of control.However,the current cultivated land protection compensation system has not yet formed a complete design,which can not form an effective incentive for the main body of cultivated land protection.(3)Lack of market mechanism caused by static index control:The core tool of the legal model of administrative control of cultivated land protection in China is quantitative management based on index.The rigid and free allocation of land use index leads to two problems:one is the lack of predictability of the rigid allocation of land use index,which limits and restricts the demand for land use in areas with rapid economic development;Second,the free allocation of indicators will induce regions with slower economic development to sell land without considering the market law and their own reality,resulting in low or zero land prices,which will not only reduce the efficiency of land resource utilization but also run counter to the original intention of cultivated land resource protection.In the modern society ruled by law,the transformation of cultivated land protection mode is a process of rational withdrawal of public power and continuous manifestation of private rights.In order to solve the problems caused by the administrative control of cultivated land protection in our country,it is urgent to combine the public law control of cultivated land protection with the autonomy of private law,so as to realize the transformation of administrative control of cultivated land protection into incentive protection.The key to construct the model of incentive cultivated land protection is not to control,but to improve the control,that is,to achieve the goal of cultivated land protection through the effective coordination of public law control and private law autonomy.In order to achieve the goal of cultivated land protection,under the mode of administrative control of cultivated land protection,planning index and use control have become the main means of cultivated land protection,while the incentive measures for the main body of cultivated land rights are insufficient and weak,which is bound to increase the conflicts between different subjects on the goal of cultivated land protection.Even in order to meet the needs of public interests,the restriction on the subject of cultivated land rights is not natural and free.It wants to change the situation of farmers and all kinds of cultivated land utilization subjects who are passively controlled in cultivated land protection,and improve their initiative and enthusiasm to participate in cultivated land protection.It is urgent to clarify the necessity and feasibility of the transformation of the legal model of cultivated land protection in China,and finally implement the incentive cultivated land protection through the system design.Entering the new era,the legal model of cultivated land protection in our country should be transformed.On the basis of clarifying the connotation of the incentive cultivated land protection mode,the transformation of the legal mode of cultivated land protection is realized through the combination of public law and private law.The transformation of the legal model for cultivated land protection essentially aims to achieve a system composition that combines public law and private law in the process of cultivated land protection.It does not mean to eliminate regulation but to introduce incentive mechanisms on the basis of administrative control,thereby achieving a balance between public and private rights,clarifying the boundaries of power(interests)between the government and the market,and ultimately achieving the goal of cultivated land protection.The legal basis of constructing incentive cultivated land protection includes the social theory of land ownership,the theory of land development right,the theory of incentive control and the theory of externality.The necessity of the transformation of the legal mode of cultivated land protection is reflected in the following aspects:the multi-functional concept of cultivated land reveals the spatial interests of cultivated land,the governance relationship combining public and private promotes the coordination of bottom line protection and flexible protection,the reform of"three rights separation"transforms the obligatory subject status of cultivated land right holders,and the market mechanism transforms the rigid management and control mode dominated by administrative power.The cultivated land protection model that mainly uses indicators and use control as its means has the characteristics of strict public law regulation and control.It has played an irreplaceable and important role in the process of cultivated land protection,but there are still limitations and deficiencies,making it difficult to effectively protect cultivated land resources.The transformation of the cultivated land protection model can be achieved by combining the public law and private law systems for cultivated land protection,so as to enhance the enthusiasm of the main bodies of cultivated land protection to protect cultivated land.Regarding the realization of the incentive cultivated land protection model,the following are the main designs at the institutional level.:first,improve the differential control system.The use of cultivated land and the management of different uses of cultivated land need to be based on scientific and reasonable standards,and the differential control of cultivated land protection should be set up according to the different control objects,so as to reflect the appropriateness of control.Second,we will improve the compensation system for cultivated land protection.The compensation of cultivated land protection can realize food security and increase the income of the subjects of cultivated land rights,ensure the income of the subjects of cultivated land rights,and mobilize their enthusiasm for cultivated land protection.Third,improve the index trading system of supplementary cultivated land.The improvement of cross-province supplementary arable land index transaction can not only solve the problem of scattered distribution of cultivated land,realize the modernization and scale of agricultural production,but also help resolve the contradiction between the demand for economic development land and the protection of cultivated land in different regions.更多还原