China: 闲置土地协议有偿收回的规则与实践

Last Updated: 2 April 2019
Article by Xing Long
Most Read Contributor in China, March 2019

闲置土地收回分为无偿收回和有偿收回两种方式。关于有偿收回,目前具有可操作性的部门规章仅有原国土资源部发布的 《闲置土地处置办法》(国土资源部令第53号,下称"53号令")。53号令对协议有偿收回的方式进行了一定限制,但对闲置土地的闲置原因界定、不同处置方式的适用条件等方面的规定不够具体明确,实践中各地对协议有偿收回闲置土地的规定和操作差别较大,呈现出明显的地域性特点。本文将对闲置土地协议有偿收回的规则与实践进行梳理和分析,就有偿收回的条件、补偿和程序问题进行讨论。

一、53号令关于协议有偿收回条件的规定及其不足

53号令第十二条规定:"因本办法第八条规定情形造成土地闲置的,市、县国土资源主管部门应当与国有建设用地使用权人协商,选择下列方式处置:......(四)协议有偿收回国有建设用地使用权。"

53号令第八条规定:"有下列情形之一,属于政府、政府有关部门的行为造成动工开发延迟的,国有建设用地使用权人应当向市、县国土资源主管部门提供土地闲置原因说明材料,经审核属实的,依照本办法第十二条和第十三条规定处置:

(一)因未按照国有建设用地使用权有偿使用合同或者划拨决定书约定、规定的期限、条件将土地交付给国有建设用地使用权人,致使项目不具备动工开发条件的;

(二)因土地利用总体规划、城乡规划依法修改,造成国有建设用地使用权人不能按照国有建设用地使用权有偿使用合同或者划拨决定书约定、规定的用途、规划和建设条件开发的;

(三)因国家出台相关政策,需要对约定、规定的规划和建设条件进行修改的;

(四)因处置土地上相关群众信访事项等无法动工开发的;

(五)因军事管制、文物保护等无法动工开发的;

(六)政府、政府有关部门的其他行为。

因自然灾害等不可抗力导致土地闲置的,依照前款规定办理。"

综合上述第八条和第十二条的规定来看,53号令仅规定了因政府、政府有关部门的行为以及因不可抗力造成动工开发延迟而形成的闲置土地(为表述方便,以下简称"政府原因闲置土地",除此之外的简称"企业原因闲置土地"),可以协议有偿收回。但是,53号令对闲置土地的闲置原因界定、不同处置方式的适用条件等规定仍然不够具体明确,不少地方性规章及规范性文件的相关规定与53号令存在差异或者冲突。具体表现如下:

1.非单一原因闲置土地,政府能否协议有偿收回

实践中,造成土地闲置的原因比较复杂,往往是多因一果,其中以既有政府原因、又有企业自身原因即双重或者多重原因叠加造成土地闲置的情形最为典型。53号令对于非单一原因闲置土地能否协议有偿收回的问题没有明确规定。对此,有的地方规定,既有政府原因、又有企业自身原因造成闲置的,仍然可以协议有偿收回,但是在评估地价时,其土地使用年期应扣除因企业自身原因闲置的时间,例如深圳[1]。但是,笔者查阅各地出台的关于闲置土地的处置方案或相关规范性文件,大多数地方并没有对此类闲置土地的处置作出规定,可能给实践中处理部分闲置土地造成困难。

笔者认为,由于53号令对政府原因闲置土地明确规定可以有偿收回,故对于既有政府原因、又有企业自身原因造成土地闲置的,采取协议有偿收回的处置方式,可以理解为参照政府原因闲置土地协议有偿收回的规定。同时,在坚持有偿收回的基础上,在计算土地地价时将因企业自身原因导致闲置的时间予以扣除,较好地兼顾了政府与企业之间的利益平衡,具有积极意义。

2.企业原因闲置土地,政府能否协议有偿收回

根据53号令的规定,对于企业原因导致土地闲置的,适用无偿收回的规定。笔者查阅的大多数地方出台的规定与该规定保持一致,认为属于企业原因(有的表述为非政府原因)导致土地闲置的,应当无偿收回土地使用权。

实践中,由于受53号令的限制,对于尚未出台本地区闲置土地处置办法的地区来说,有偿收回企业原因闲置土地可能存在困难。不过,面对无偿收回执行难的现实,一些地方已经开始尝试突破。例如,原湖北省国土资源厅、原湖北省监察厅发布的《关于印发闲置和低效用地清理处置实施方案的通知》(鄂土资发〔2012〕41号)规定,"因企业原因造成土地闲置的,可按不高于1年期存款基准利率以复利测算土地增值收益确定回购价格"。根据该规定,因企业原因造成的闲置土地,也可以纳入政府协议有偿收回土地的范围。需要说明的是,鄂土资发〔2012〕41号文虽然在53号令对原《闲置土地处置办法》的修订之前出台,但目前仍然在湖北省得以执行。

3.闲置满一年但未满两年的,政府能否协议有偿收回

53号令第八条和第十二条规定,政府原因闲置土地可以协议有偿收回。根据 53号令第二条,满一年未开发即可认定为闲置土地。因此,从53号令的规定来看,对闲置满一年的政府原因闲置土地进行有偿收回是有法律依据的。但是,对于政府及不可抗力原因以外导致土地闲置满一年但未满两年的,如果进行有偿收回,目前尚无明确法律依据。

实践中,比较复杂的是对53号令第二条第二款闲置土地的处理。53号令第二条第二款规定,已动工开发但开发建设用地面积占应动工开发建设用地总面积不足三分之一或者已投资额占总投资额不足百分之二十五,中止开发建设满一年的国有建设用地,也可以认定为闲置土地。对于此类闲置土地,各地处理方式不一,归纳起来有以下几种:

(1)按照政府原因闲置土地的相关规定进行处置。例如,青岛市人民政府办公厅《关于进一步做好闲置土地处置工作的意见》(青政办发〔2015〕21号)规定:已动工开发但开发建设用地面积不足应动工开发建设用地总面积1/3或者已投资额不足总投资额1/4,中止开发建设满1年的,按照因政府及其有关部门原因造成土地闲置的相关规定进行处置。

(2)协议有偿收回。例如,安徽省安庆市出台的《关于有偿收回闲置土地的指导意见》规定,除53号令第八条规定因政府原因造成土地闲置的可以有偿收回外,已动工开发但开发建设用地面积占应动工开发建设用地总面积不足三分之一或者已投资额占总投资额不足百分之二十五,中止开发建设满一年的闲置土地也可以有偿收回。

需要说明的是,上述两种规定的处置方式存在差异,按照政府原因闲置土地的相关规定进行处置,并不意味着一定会协议有偿收回,协议有偿收回只是处置政府原因闲置土地的方式之一,而第二种方式直接明确为协议有偿收回。

(3)原则上协议有偿收回,但在某些情形下,还可以无偿收回。例如,《珠海市闲置土地处置办法》规定,已动工开发但开发建设用地面积占应动工开发建设用地总面积不足三分之一或者已投入资金占总投资额不足百分之二十五,中止开发建设满1年的国有建设用地,可以协议有偿收回。但发生以下情形的,无偿收回土地使用权:①土地使用权人未按照规定的期限提交闲置土地处置初步方案;②土地使用权人在提交闲置土地处置初步方案之日起30个工作日内,与国土部门无法达成闲置土地具体处置方案;③土地使用权人不执行达成的闲置土地具体处置方案。

二、闲置土地协议有偿收回的补偿标准

闲置土地有偿收回的补偿,涉及土地使用权的补偿,地块建筑物、构筑物及其他附着物的补偿,以及平整场地、编制规划等前期费用的补偿。本文仅讨论土地使用权的补偿标准问题。

关于政府原因闲置土地的补偿问题,2018年12月18日自然资源部办公厅向海南省自然资源和规划厅函复的《关于政府原因闲置土地协议有偿收回相关政策的函》(自然资办函〔2018〕1903号,下称〔2018〕1903号文)作出了原则性规定,即"有偿收回的补偿金额应不低于土地使用权人取得土地的成本,综合考虑其合理的直接损失,参考市场价格,由双方共同协商确定。"

对土地使用权人来说,其最关心的就是能否以市场价格回购其土地使用权的问题,上述规定对确定政府原因闲置土地的补偿将起到重要的指导作用。在此之前,各地对于政府原因闲置土地的土地使用权补偿标准并不统一。有的以土地市场评估价确定补偿金额,例如深圳、青岛[2]等地;有的以土地出让价款和前期合理投入及其贷款利率计算,并规定按照上述计算确定的收回土地使用权价格如果高于市场评估价格的,按照市场评估价格确定补偿,例如海南[3]。笔者认为,对于政府原因闲置土地的补偿,以市场价为参考确定补偿金额比较合理。

而对于企业原因闲置土地的补偿问题,有的地方规定按不高于1年期存款基准利率以复利测算土地增值收益确定回购价格,例如上文提到的湖北鄂土资发〔2012〕41号文。有学者提出,此类闲置土地的收回补偿款应以原土地出让价款为最高限值,并根据闲置时间长短扣罚不同比例的罚金。笔者认为,为促进土地资源有效开发,遏制企业特别是工业企业圈地的问题,土地闲置属企业原因的,在补偿时以原土地出让价款为限并根据闲置时间长短扣罚不同比例的罚金的做法更为合理。如前文所述,由于企业原因闲置土地的协议有偿收回受到53号令的限制,地方出台此种处置方式的规范性文件并不多见,此种情形下的补偿问题有赖于各个地方开展积极探索。

另外,土地性质对土地使用权的补偿金额也存在一定影响。有的地方对不同性质的土地规定了不同的补偿标准,一般来说,收回商业、住宅等经营性用地补偿金额比收回工业用地补偿金额更高。

三、闲置土地协议有偿收回的程序

关于政府原因闲置土地协议有偿收回的问题,〔2018〕1903号文指出:"需要协议收回闲置土地使用权的,应当遵循协商一致和合理补偿的原则。市、县自然资源主管部门应当按照《闲置土地处置办法》的规定,在调查认定的基础上,及时告知土地使用权人有偿收回相关事宜,与当事人就收回范围、补偿标准、收回方式等进行协商。有偿收回的补偿金额应不低于土地使用权人取得土地的成本,综合考虑其合理的直接损失,参考市场价格,由双方共同协商确定。经协商达成一致的,市、县自然资源主管部门拟定闲置土地处置方案,报本级人民政府批准后,正式签订有偿收回协议并执行。"

关于企业原因闲置土地协议有偿收回的问题,因53号令没有规定,故自然资源部也未就相关程序问题作出规定或说明。但是,由于部分地方出台规定允许企业原因闲置土地可以有偿收回,在缺乏上位法律依据的情况下,一些地方处置闲置土地操作程序的合法性与合理性均有待斟酌。笔者曾遇过这样一个案例:湖北某市国土局经过闲置土地调查、组织听证、闲置土地认定(企业原因)等程序后,向土地使用权人作出《关于协议有偿收回国有建设用地使用权的通知》,后在双方就补偿问题一直未达成一致的情况下,该市国土局直接向土地使用权人作出《收回国有建设用地使用权决定书》,并附闲置土地处置方案。该市国土局的理由是:根据上文提到的鄂土资发〔2012〕41号文,《闲置土地认定通知书》下达后,由国土资源部门与土地相关权益人协商(土地使用者、抵押权人、司法机关等),共同拟订闲置土地处置方案。处置方案经两次协商无法达成一致的,由国土资源部门综合相关权益人意见后直接拟定。

笔者认为,上述案例存在程序违法的问题。第一,未经双方协商一致同意,不得直接拟定闲置土地处置方案。〔2018〕1903号文虽然规定的是政府原因闲置土地协议有偿收回的情形,但如果一些地方对于企业原因闲置土地也采取有偿收回的政策,同样也应当遵循该函复所明确的程序和原则。根据〔2018〕1903号文的规定和精神,只有双方共同协商确定补偿金额,经协商达成一致的,才能拟定闲置土地处置方案。因此,一些地方规定经两次协商无法达成一致的直接拟定闲置土地处置方案的做法,违反协商一致的原则。况且,补偿问题未协商一致就径直拟定处置方案,对土地使用权人的权益保护非常不利,极易引发政企纠纷和行政诉讼。第二,协商未达成一致时,市国土局直接向土地使用权人作出《收回国有建设用地使用权决定书》,违反53号令的规定。根据53号令,只有无偿收回闲置土地的,才应向土地使用权人作出《收回国有建设用地使用权决定书》。另外,根据原国土资源部印发的《闲置土地处置法律文书示范文本》(国土资厅发〔2013〕16号),《收回建设用地使用权决定书》也仅适用于无偿收回闲置土地使用权的情形。

笔者认为,对于协议有偿收回闲置土地的,应当在闲置土地调查认定的基础上,对补偿金额进行协商后,由双方签订有偿收回协议。在补偿金额未协商一致时,不得向土地使用权人作出《收回国有建设用地使用权决定书》。该案例中,市国土局在双方协商尚未达成一致的情况下,直接向土地使用权人作出《收回国有建设用地使用权决定书》并附闲置土地处置方案的做法,属于程序违法。

四、结语

闲置土地的无偿收回或者有偿收回,实质上关乎政府与土地使用权人之间的利益平衡。无论是无偿收回,还是补偿标准不公平、不合理的有偿收回,都极易引发土地使用权人与政府之间的纠纷,导致行政诉讼。近年来,社会各界批评53号令的无偿收回制度违反比例原则,并建议调整无偿收回闲置土地为有偿收回的声音越来越多。笔者认为,应当重视各地在协议有偿收回闲置土地方面的积极探索与实践并总结好的经验,这有利于今后统一闲置土地协议有偿收回的条件、范围、补偿标准以及程序问题,维护土地使用权人的合法正当利益,真正让土地使用权人吃下"定心丸"。

(实习生赵恒瑾对本文亦有贡献)

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In your use of the Website and/or Services you shall: comply with all applicable laws, regulations, directives and legislations which apply to your Use of the Website and/or Services in whatever country you are physically located including without limitation any and all consumer law, export control laws and regulations; provide to us true, correct and accurate information and promptly inform us in the event that any information that you have provided to us changes or becomes inaccurate; notify Mondaq immediately of any circumstances where you have reason to believe that any Intellectual Property Rights or any other rights of any third party may have been infringed; co-operate with reasonable security or other checks or requests for information made by Mondaq from time to time; and at all times be fully liable for the breach of any of these Terms by a third party using your login details to access the Website and/or Services

however, you shall not: do anything likely to impair, interfere with or damage or cause harm or distress to any persons, or the network; do anything that will infringe any Intellectual Property Rights or other rights of Mondaq or any third party; or use the Website, Services and/or Content otherwise than in accordance with these Terms; use any trade marks or service marks of Mondaq or the Contributors, or do anything which may be seen to take unfair advantage of the reputation and goodwill of Mondaq or the Contributors, or the Website, Services and/or Content.

Mondaq reserves the right, in its sole discretion, to take any action that it deems necessary and appropriate in the event it considers that there is a breach or threatened breach of the Terms.

Mondaq’s Rights and Obligations

Unless otherwise expressly set out to the contrary, nothing in these Terms shall serve to transfer from Mondaq to you, any Intellectual Property Rights owned by and/or licensed to Mondaq and all rights, title and interest in and to such Intellectual Property Rights will remain exclusively with Mondaq and/or its licensors.

Mondaq shall use its reasonable endeavours to make the Website and Services available to you at all times, but we cannot guarantee an uninterrupted and fault free service.

Mondaq reserves the right to make changes to the services and/or the Website or part thereof, from time to time, and we may add, remove, modify and/or vary any elements of features and functionalities of the Website or the services.

Mondaq also reserves the right from time to time to monitor your Use of the Website and/or services.

Disclaimer

The Content is general information only. It is not intended to constitute legal advice or seek to be the complete and comprehensive statement of the law, nor is it intended to address your specific requirements or provide advice on which reliance should be placed. Mondaq and/or its Contributors and other suppliers make no representations about the suitability of the information contained in the Content for any purpose. All Content provided "as is" without warranty of any kind. Mondaq and/or its Contributors and other suppliers hereby exclude and disclaim all representations, warranties or guarantees with regard to the Content, including all implied warranties and conditions of merchantability, fitness for a particular purpose, title and non-infringement. To the maximum extent permitted by law, Mondaq expressly excludes all representations, warranties, obligations, and liabilities arising out of or in connection with all Content. In no event shall Mondaq and/or its respective suppliers be liable for any special, indirect or consequential damages or any damages whatsoever resulting from loss of use, data or profits, whether in an action of contract, negligence or other tortious action, arising out of or in connection with the use of the Content or performance of Mondaq’s Services.

General

Mondaq may alter or amend these Terms by amending them on the Website. By continuing to Use the Services and/or the Website after such amendment, you will be deemed to have accepted any amendment to these Terms.

These Terms shall be governed by and construed in accordance with the laws of England and Wales and you irrevocably submit to the exclusive jurisdiction of the courts of England and Wales to settle any dispute which may arise out of or in connection with these Terms. If you live outside the United Kingdom, English law shall apply only to the extent that English law shall not deprive you of any legal protection accorded in accordance with the law of the place where you are habitually resident ("Local Law"). In the event English law deprives you of any legal protection which is accorded to you under Local Law, then these terms shall be governed by Local Law and any dispute or claim arising out of or in connection with these Terms shall be subject to the non-exclusive jurisdiction of the courts where you are habitually resident.

You may print and keep a copy of these Terms, which form the entire agreement between you and Mondaq and supersede any other communications or advertising in respect of the Service and/or the Website.

No delay in exercising or non-exercise by you and/or Mondaq of any of its rights under or in connection with these Terms shall operate as a waiver or release of each of your or Mondaq’s right. Rather, any such waiver or release must be specifically granted in writing signed by the party granting it.

If any part of these Terms is held unenforceable, that part shall be enforced to the maximum extent permissible so as to give effect to the intent of the parties, and the Terms shall continue in full force and effect.

Mondaq shall not incur any liability to you on account of any loss or damage resulting from any delay or failure to perform all or any part of these Terms if such delay or failure is caused, in whole or in part, by events, occurrences, or causes beyond the control of Mondaq. Such events, occurrences or causes will include, without limitation, acts of God, strikes, lockouts, server and network failure, riots, acts of war, earthquakes, fire and explosions.

By clicking Register you state you have read and agree to our Terms and Conditions