建设项目用地预审的研究
摘要
从建设项目用地预审(以下简称预审)概念的提出到现在,虽然只有10年的时间,但经历了三个阶段,即概念提出阶段、实践认识阶段和深化创新阶段。论文以1998年新土地管理法出台为起点,结合建设项目供地中出现的种种现象,详细分析研究了建设项目用地预审制度在不同阶段呈现的特点,研究了建设项目用地预审制度执行过程中所取得的效果和存在的问题。由于预审制度是一项新的土地行政制度,其学术研究还十分薄弱,本文对已发表的论文和调查报告学术进行了详细的分析,为本文的研究提供了许多很好的素材,如预审是土地供应的第一道闸门等。在预审历程和学术研究分析的基础上,并结合调研成果,论文详细阐述了建设项目用地预审制度及其在执行过程中所存在的问题和原因,其主要问题为对预审的作用机制认识不清、预审的深度和广度把握不到位、预审的时机把握不准、预审的权限及其分类混乱、建设项目实施规划影响评价报告不规范、预审缺乏从理论到实践的系统性阐述等,并认为缺乏系统研究和相应的操作规程是预审的规范化程度不高的主要原因。
论文从预审历程、基本建设程序、国家投资体制改革等层面,分析研究认为宏观调控理论、可持续发展理论、公共政策理论和公共行政理论构成了本研究的理论基础。在简要阐述这些理论的基础上,详细分析和阐述了理论基础与建设项目用地预审的关系,认为预审是土地供应宏观调控的手段,其目的是保障土地的可持续利用。
以《建设项目用地预审管理办法》(国土7号令)为基础,结合相关的土地攻策,论文对建设项目用地预审的含义、分类、作用、指导思想、原则、权限阳内容等理论问题进行了深入研究。本研究显化了预审的含义,认为预审是土地供应审批的前置程序,预审过程是建设项目用地预先安排的合理性和适宜性审查,是土地供应的第一道“闸门”。论文全面研究了预审的作用,认为在目的层面,预审旨在理顺人与土地的关系,在用地管理层面,预审制度可以变被动旨理为主动管理、可以有力地促进规划的实施、可以促进了存量土地的使用和共地方式的改革,在社会经济发展层面,预审是实现土地宏观调控、促进土地可持续利用的有效手段。在对预审指导思想分析的基础上,对预审的原则进行了全面的理论论证,并提出了6条新的预审原则,包括依法的原则、规划控制的原则、强制与申请的原则、实质审查的原则、公共利益的原则、准入的原则。鉴于原有的预审制度对“建设项目批准权”和“建设项目用地批准权”的差异、预审权限与规划修改调整权限的关系没有显化的阐述,本文分析阐述了它们的差异及其关系,并详细规定了国家级、省级、市级、县级国土资源部门的预审权限。在预审的内容方面,通过分析研究认为,不但要预审建设项目占用的地块的土地利用事项,还要审查对建设项目对周围的用地的影响；不但要审查建设项目占用的地块的地表的状况,还要审查建设项目占用的地块的地下或地上的状况。论文以土地的特性和土地供应的含义为基础,以“供地”为关键词,采用“5W1H”方法对预审的内容进行了详细的阐述,即应不应该供地why、供地给谁who、供地的位置是否合理where、应该供多少地what、怎样供地how、什么时候供地when。
通过对预审方法的性质特征的分析,认为预审方法的研究落脚于预审程序的研究。论文在简要分析预审程序的现状和概略介绍工作流技术的基础上,提出了建设项目用地预审程序构架,并对程序框架中的各个环节采用工作流技术进行了详细的研究,为预审程序的信息化打下了坚实的基础。论文还针对预审程序中的两个重要复杂的环节“选址实地踏勘与占用基本农田的论证”和“建设项目用地对土地利用规划实施的影响评价”进行了深入研究。分析研究了实地踏勘和论证的目的、意义、内容及其范围；分析研究了建设项目用地对土地利用规划实施影响评价的前提、内容、程序、论证、机构,并编制了比较规范化的评价报告范本。
在建设项目用地预审理论和方法研究的基础上,本文分析了编制建设项目用地预审规程的必要性和内容,编制了《建设项目用地预审规程》。
This study divided the institution of preliminary examination on the construction land into the phase of presenting conception, understanding by practicing and creation to explore from1998when the new law of land management was proclaimed. By referencing related research and investigation reports, this study found that the main problems of operating the institution are the misunderstanding of function of the institution, wrong timing and range of operating preliminary examination, unclear demarcation of preliminary examination right holding by authorities, the lack of research about the institution influence, and the lack of discussion about theories and operation of the institution. Besides, the lack of research about operation rule is the main reason of confusing the institution.
From the aspects of procedure for preliminary examination and land construction, and the structural reforms of national investment, the basic theories of the institution are macroeconomics, sustainable development, public policy and administration. After exploring these theories, this study thought that preliminary examination is the means of managing land supply from macro aspect and its purpose is to ensure sustainable development of land use.
According to "the management method of preliminary examination on the construction land" and related land policy, this study presented that preliminary examination is the first procedure of land supply. Further, this study divided preliminary examination into aspect of purpose which can coordinate the relationship between human and land, aspect of land management which can manage, plan and use land rationally and revolute the institution of land supply, the aspect of social economy development which can realize the purpose of regulating and managing land by macro point of view and stimulate the sustainable use of land.
Through the theories above, this study presented six principles including principle of according to law, planning and control, compulsion and application, essential examination, public welfare and access. Because of the separation of preliminary examination on construction items from land and the lack of discussion of the relationship between preliminary examination right and planning and revise right, this study discussed the institution further by different segments of national, provincial, city, county land authorities. Focus of the content of the preliminary examination rule, this study presented that the content of preliminary examination should include the use of land occupying by new applying construction, the influence toward neighbor environment, the surface and the bottom of the land. From the concept of land characteristic and supply, this study discussed the land supply by asking why, who, where, what, how and when.
To sum up, the research on the methods of preliminary examination should be focused on the program of preliminary examination. By which, this study presented the program of pre-examining construction items and the technique of every segment of it. This study also focused on the discussion about "a site choice and an occupation of fertile farm" and "the influence of construction land to practice of land use planning".
On the basis of the theories of construction land and research methods, the study presented the necessity and content of preliminary examination on the construction land and designed "the rules of preliminary examination on the construction land".
论文从预审历程、基本建设程序、国家投资体制改革等层面,分析研究认为宏观调控理论、可持续发展理论、公共政策理论和公共行政理论构成了本研究的理论基础。在简要阐述这些理论的基础上,详细分析和阐述了理论基础与建设项目用地预审的关系,认为预审是土地供应宏观调控的手段,其目的是保障土地的可持续利用。
以《建设项目用地预审管理办法》(国土7号令)为基础,结合相关的土地攻策,论文对建设项目用地预审的含义、分类、作用、指导思想、原则、权限阳内容等理论问题进行了深入研究。本研究显化了预审的含义,认为预审是土地供应审批的前置程序,预审过程是建设项目用地预先安排的合理性和适宜性审查,是土地供应的第一道“闸门”。论文全面研究了预审的作用,认为在目的层面,预审旨在理顺人与土地的关系,在用地管理层面,预审制度可以变被动旨理为主动管理、可以有力地促进规划的实施、可以促进了存量土地的使用和共地方式的改革,在社会经济发展层面,预审是实现土地宏观调控、促进土地可持续利用的有效手段。在对预审指导思想分析的基础上,对预审的原则进行了全面的理论论证,并提出了6条新的预审原则,包括依法的原则、规划控制的原则、强制与申请的原则、实质审查的原则、公共利益的原则、准入的原则。鉴于原有的预审制度对“建设项目批准权”和“建设项目用地批准权”的差异、预审权限与规划修改调整权限的关系没有显化的阐述,本文分析阐述了它们的差异及其关系,并详细规定了国家级、省级、市级、县级国土资源部门的预审权限。在预审的内容方面,通过分析研究认为,不但要预审建设项目占用的地块的土地利用事项,还要审查对建设项目对周围的用地的影响；不但要审查建设项目占用的地块的地表的状况,还要审查建设项目占用的地块的地下或地上的状况。论文以土地的特性和土地供应的含义为基础,以“供地”为关键词,采用“5W1H”方法对预审的内容进行了详细的阐述,即应不应该供地why、供地给谁who、供地的位置是否合理where、应该供多少地what、怎样供地how、什么时候供地when。
通过对预审方法的性质特征的分析,认为预审方法的研究落脚于预审程序的研究。论文在简要分析预审程序的现状和概略介绍工作流技术的基础上,提出了建设项目用地预审程序构架,并对程序框架中的各个环节采用工作流技术进行了详细的研究,为预审程序的信息化打下了坚实的基础。论文还针对预审程序中的两个重要复杂的环节“选址实地踏勘与占用基本农田的论证”和“建设项目用地对土地利用规划实施的影响评价”进行了深入研究。分析研究了实地踏勘和论证的目的、意义、内容及其范围；分析研究了建设项目用地对土地利用规划实施影响评价的前提、内容、程序、论证、机构,并编制了比较规范化的评价报告范本。
在建设项目用地预审理论和方法研究的基础上,本文分析了编制建设项目用地预审规程的必要性和内容,编制了《建设项目用地预审规程》。
This study divided the institution of preliminary examination on the construction land into the phase of presenting conception, understanding by practicing and creation to explore from1998when the new law of land management was proclaimed. By referencing related research and investigation reports, this study found that the main problems of operating the institution are the misunderstanding of function of the institution, wrong timing and range of operating preliminary examination, unclear demarcation of preliminary examination right holding by authorities, the lack of research about the institution influence, and the lack of discussion about theories and operation of the institution. Besides, the lack of research about operation rule is the main reason of confusing the institution.
From the aspects of procedure for preliminary examination and land construction, and the structural reforms of national investment, the basic theories of the institution are macroeconomics, sustainable development, public policy and administration. After exploring these theories, this study thought that preliminary examination is the means of managing land supply from macro aspect and its purpose is to ensure sustainable development of land use.
According to "the management method of preliminary examination on the construction land" and related land policy, this study presented that preliminary examination is the first procedure of land supply. Further, this study divided preliminary examination into aspect of purpose which can coordinate the relationship between human and land, aspect of land management which can manage, plan and use land rationally and revolute the institution of land supply, the aspect of social economy development which can realize the purpose of regulating and managing land by macro point of view and stimulate the sustainable use of land.
Through the theories above, this study presented six principles including principle of according to law, planning and control, compulsion and application, essential examination, public welfare and access. Because of the separation of preliminary examination on construction items from land and the lack of discussion of the relationship between preliminary examination right and planning and revise right, this study discussed the institution further by different segments of national, provincial, city, county land authorities. Focus of the content of the preliminary examination rule, this study presented that the content of preliminary examination should include the use of land occupying by new applying construction, the influence toward neighbor environment, the surface and the bottom of the land. From the concept of land characteristic and supply, this study discussed the land supply by asking why, who, where, what, how and when.
To sum up, the research on the methods of preliminary examination should be focused on the program of preliminary examination. By which, this study presented the program of pre-examining construction items and the technique of every segment of it. This study also focused on the discussion about "a site choice and an occupation of fertile farm" and "the influence of construction land to practice of land use planning".
On the basis of the theories of construction land and research methods, the study presented the necessity and content of preliminary examination on the construction land and designed "the rules of preliminary examination on the construction land".
引文
[1]叶正波.可持续发展评估理论及实践仁[M].北京：中国环境科学出版社,2002
[2]中国科学院可持续发展研究组.2003中国可持续发展战略报告(R).北京：科学出版社,2003
[3]公共行政的主题与课题党建研究,2005,(2)
[4]公共行政的范围、原则与作用.党建研究,2005,(3)
[5]王传宏,李燕凌.公共政策行为[M].北京：中国国际广播出版社.2002.321-328.
[6]曲福田.土地行政管理学.北京：中国农业出版社.2002年
[7]黄贤金等.土地政策学.徐州：中国矿业大学出版社.1998年
[8]曲福田.可持续发展的理论与政策选择.北京：中国经济出版社.2000年
[9]田健蓉.改善建设项目用地预审促进建设项目有效实施.国土经济,2003.1
[10]叶剑平,资亮.从被动供地到主动供地.中国土地,2005.1
[11]李孟然.预审——让存量土地利用不再无序.中国土地,2005.4
[12]杨树凌.新旧《建设项目用地预审管理办法》对比解析.中国土地,2005.4
[13]顾圣亮,朱明均.加强项目用地预审的六点建议.中国土地,2005.6
[14]王克源,单金海.走出建设用地预审的“两难”.中国土地,2006.06
[15]杨树凌.建设项目用地预审应明确四个问题.中国土地,2006.07
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[18]詹长根.建设项目用地预审的作用机制与原则研究.中国国土资源经济,2008.4
[19]田网.预审不可废.中国国土资源报,2001.4.24
[20]叶红玲.预审保障合理用地.中国国土资源报,2001.8.13
[21]罗铁军.湖南强化新增建设用地预审管理涉及四大方面强调实地勘察.中国国土资源报,2003.08.12
[22]郁洪刚.启东预审建设项目用地核减土地200多亩.中国国土资源报2004.10.15
[23]中华工商时报.建设项目用地不预审不行.2004-11-9
[24]田春华；让预审不再可有可无中国国土资源报,2004-11-09
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[27]张继军.严格建设用地预审关滁州堵住两个选址不当项目.中国国土资源报2005.03.28
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[29]魏东.城镇规划用地预审制度的探索.中国房地产报,2006-12-11
[30]田春华.我国用地预审关口把得更紧了.中国土资源报,2007-01-16
[31]秋实.把用地预审制度坚持到底.中国土资源报,2007-01-16
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[33]贾海峰.预审“卡”地41%国土部博弈地方用地冲动.21世纪经济报道,2009-06-24
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[3]公共行政的主题与课题党建研究,2005,(2)
[4]公共行政的范围、原则与作用.党建研究,2005,(3)
[5]王传宏,李燕凌.公共政策行为[M].北京：中国国际广播出版社.2002.321-328.
[6]曲福田.土地行政管理学.北京：中国农业出版社.2002年
[7]黄贤金等.土地政策学.徐州：中国矿业大学出版社.1998年
[8]曲福田.可持续发展的理论与政策选择.北京：中国经济出版社.2000年
[9]田健蓉.改善建设项目用地预审促进建设项目有效实施.国土经济,2003.1
[10]叶剑平,资亮.从被动供地到主动供地.中国土地,2005.1
[11]李孟然.预审——让存量土地利用不再无序.中国土地,2005.4
[12]杨树凌.新旧《建设项目用地预审管理办法》对比解析.中国土地,2005.4
[13]顾圣亮,朱明均.加强项目用地预审的六点建议.中国土地,2005.6
[14]王克源,单金海.走出建设用地预审的“两难”.中国土地,2006.06
[15]杨树凌.建设项目用地预审应明确四个问题.中国土地,2006.07
[16]李坚,李琪,赵湃.建设项目用地预审在国家宏观调控中的作用,国土资源.2007.11
[17]田健蓉.建设项目用地预审如何体现科学发展观.资源与人居环境,2007.23
[18]詹长根.建设项目用地预审的作用机制与原则研究.中国国土资源经济,2008.4
[19]田网.预审不可废.中国国土资源报,2001.4.24
[20]叶红玲.预审保障合理用地.中国国土资源报,2001.8.13
[21]罗铁军.湖南强化新增建设用地预审管理涉及四大方面强调实地勘察.中国国土资源报,2003.08.12
[22]郁洪刚.启东预审建设项目用地核减土地200多亩.中国国土资源报2004.10.15
[23]中华工商时报.建设项目用地不预审不行.2004-11-9
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