Dynamics in property rights 产权动态

Presentation on theme: "Dynamics in property rights 产权动态"— Presentation transcript:

1 Dynamics in property rights 产权动态
Some U.S. examples 一些美国案例

2 Land as Property in the US 美国的土地作为财产
Some background 一些背景 Grew out of Europe’s urban transformation 源于欧洲的城市转型 Middle ages -> renaissance (1300 – 1700) 中世纪->文艺复兴时期（ ） Church and Roman law provided a model 教会和罗马法提供了模式 Magna Carta and Anglo-American legal tradition 大宪章和英美法律传统 French Revolution and civil law tradition 法国大革命和民法传统

3 A concept of Private Property in land 土地作为私产的概念
A reasonably well developed tradition before US independence 一个在美国独立前业已得到良好发展的传统 A person’s home is their castle 一个人的家就是他的城堡 Property extends from the center of the earth to the stars 财产从地球中心延伸到天空 Protection of owner’s rights in law. 法律中对所有者权利的保护 A prime responsibility of political and legal institutions 政治和法律制度的一个最主要责任 Police power of the state 国家的警察权力 Courts 法院 Public services: fire, roads, etc. 公共服务：救火、修路，等等

4 Exclusivity of rights 权利的排他性
Due to the peculiar history of Europe, the emphasis was on “exclusive” and “individual” rights. 由于欧洲的特殊历史，重点强调的是“排他的”和“个人的”权利。 No one could willfully negate your legitimate property rights 没有人能够任意忽视你的合法产权 Nobles贵族 Soldiers士兵 Officials 官员 This made many externalities inevitable 这使得很多外部性难以避免 Both positive and negative 有积极的和消极的

5 Positive and Negative 积极的和消极的外部性
Externalities 外部性 Positive and Negative 积极的和消极的外部性

6 Positive externalities 积极的外部性
The incentive to improve your property 改善你财产的动力 The increased value is yours, all yours 增加的价值是你的，而且全部是你的 The more I increase the value of my property, the property of my neighbors should also increase. 我对自己财产的价值增加得越多，我邻居财产的价值也会升值。 Some examples: 一些例子： Organic farming -> better ecology 有机农业->更好的生态环境 Bee keeping -> better pollination 养蜂->更好的授粉 Rehabilitation of a “Brownfield” raises everybody’s property values. “棕地”的无害化处理使所有人的财产升值。

7 Catawbe River Walk South Carolina
Catwabe河走廊 南卡罗来纳州

8 New uses 新用途

9 Negative externalities 消极的外部性
Much more common: 更普遍的是： My farm practices contaminate water sources 我的农场耕作污染了水源 Air pollution from my business 我的生意污染了空气 US legal tradition has supported capital 美国的法律传统支持资本 Early court cases involved water rights and mills 早期设计水权和磨坊的法院判例 Investment 投资

10 Gulf of Mexico nutrient runoff plume
墨西哥湾富有营养的径流 Lake Eirie Eirie湖 Source: New York State Dept. of Conservation Source: AlleghenyFront.org

11 Negative Externalities 消极的外部性
Coase Theorem: 科斯定律 Under perfect competition, once government has assigned clearly defined property rights in contested resources and as long as transactions costs are negligible, private parties that generate or are affected by externalities will negotiate voluntary agreements that lead to the socially optimal resource allocation and output mix regardless of how the property rights are assigned" (Ronald H. Coase, "The Problem of Social Cost," The Journal of Law and Economics, October 1960). 在完全竞争下，一旦政府对有竞争性的资源尽早地确定产权，且只要交易成本是可以忽略不计的，那么无论产权如何确立，产生外部性或受外部性影响的私人就会就能够带来社会最优化资源配置或产权组合的自愿协议进行谈判。（罗纳德·科斯“社会成本问题”）

12 Limits and Regulations 限制和管制
Property rights are becoming less exclusionary 产权正在变得越来越不那么具有排他性

13 Zoning and Planning 分区和规划
Zoning laws/ordinances as a way to mitigate this 分区法/条例作为一种缓解方式 1916 in New York City 纽约1916年颁布的法令 Local government decisions 地方政府决定 Town and country planning 城镇和乡村的规划 Very long history, but fairly recent influence in the US: US Housing act, 1937 非常悠久的历史，但相当新近的对美国的影响：美国的住房法案，1937年 U.S. Department of Housing and Urban Dev. (HUD): 1965 美国房屋与城市发展部(HUD):1965年 Master Plan Communities 总规划社区 Fast growing segment of the real estate market 房地产市场的快速增长

14 Donna Olympia and San Martino di Cimino (1645)

15

16 Building codes and restrictions City of Edina, Minnesota 建筑规范和限制 Edina市，明尼苏达州
Building permit 建筑许可 Commercial商用 Residential民用 Demolition/Moving permit拆除/搬迁许可 Energy compliance电力合规 Grading/Landscaping评级/景观 Mechanical Permit机械许可 Plumbing Permit砍伐许可 Sewer and Water Permit下水道和用水许可 Structure Testing结构测试 Ventilation Inspection排气系统检查 Noise permits噪音许可 Party permits派对许可 Alternative Design Permit改变设计许可 ETC, ETC., ETC.等等等

17 Expropriation and the Taking Clause 征用和侵占条款
Eminent Domain 征用权 Expropriation and the Taking Clause 征用和侵占条款

18 Role of the Constitution 宪法的角色
Our “tribal” charter 1789年，我们的“部落”宪章 Particularly important to our discussion today is the so called “takings clause”. 对我们今天的讨论尤其重要的是所谓的“侵占条款” Bill of Rights. First 10 Amendments 权利法案。宪法中的前10条修正案 Fifth Amendment states: 第五修正案： “nor shall private property be taken for public use, without just compensation” “ 没有合理的补偿，不得侵占私产用作公用，” Thus, from the beginning a recognition that there was a seniority of tenure. 因此，从一开始就有对土地使用权的确立。

19 Eminent Domain 征用权 Concepts: 概念： Who decides a public use? 谁决定是否公共用途？
Just compensation合理赔偿 Who decides a public use? 谁决定是否公共用途？ Public Use公共用途 Public Welfare公益 Public Interest公共利益 Does it fit within a recognized function/power/role of Government是否符合人们认可的政府的功能/权力/角色

20 Eminent Domain (2) 征用权（2）
Level of Government: 政府的层级： National: Initially most common. Roads, post offices, ports, etc. 联邦政府：起初最为普遍。道路、邮局、口岸等。 State: Westward expansion 州政府：西进运动 Local: Increasing role of local governments 地方政府：地方政府角色的扩展

21 Eminent Domain (3) 征用权（3）
Just compensation合理补偿 Generally this has been taken to mean the fair market value 通常这一点被人们认为是合理的市场价值 What it would cost to buy it under normal circumstances. I.e., not a forced sale 在正常条件购买所需的成本，比如，不是强迫的买卖条件 Generally it does not recognize speculation value 通常不认可投机价值 Does it meet the “fairness” test? 是否符合“公平”的检验？ Neither the owner nor the public is cheated. 所有者和公众都不被欺骗 Some jurisdictions add a little extra in special cases 一些特别案例中的裁决增加了另外一些 Historical attachment 历史附属 No firm rule 无严格规则 Problems of holdouts. Role of appraisers and courts 抵制的问题。鉴定官和法院的角色

22 Eminent Domain (4) 征用权（4）
The importance of the Kelo v. City of New London (Connecticut) (23 June 2005) Kelo和新伦敦市（康涅狄格州）（2005年6月23日） Source: whitedsepluchure.blog Source: worldpress.org

23 Kelo v. City of New London Kelo和新伦敦市
Changing view in how we define “public” 我们定义“公共”看法的改变 The land was to be given to a private development company 土地本用于给私营开发公司 Fort Trumbull Before Development 开发前的Fort Trumbull Source: City of New London, Connecticut

24 The most hated tax 最令人痛恨的税
Property Taxation 财产税 The most hated tax 最令人痛恨的税

25 Property and Taxation 财产和税收
One of the original forms of taxation税收的一种原始形式 Hard to hide难以隐藏 Ownership and privilege所有权和特权 Early US, only property owners could vote, etc. 早期美国，只有财产所有者可以投票，等等 In the US, it is always a local tax 在美国，财产税从来都只是地方税 Appraisal and assessment of value 价值的评估和鉴定 County Assessor县鉴定官 County Auditor县审计员 Assessment of your share of local cost on the basis of the value of your property基于你财产的价值，对你对本地成本的份额加以鉴定 Schools学校 Roads, etc道路，等

26 Multiple taxing authorities and districts, State of Minnesota 多个税务部门和分区，明尼苏达州
Taxing Authorities (property taxes)税收部门（财产税） Statutory:法定的： Counties县 Cities市 Towns镇 School districts学校区域 Special taxing districts特别纳税区 The boundaries of taxing authorities and taxing districts are not necessarily the same税收部门和税收分区的界限并不总是相同的 Ex: cities may lie in parts of two or more counties 比如：一些城市可能地处两个多个县境内

27 Special Taxing Districts特别纳税区

28 根据税局委员会规定，所有明尼苏达州有权由县审计员采取和证明财产税征收的政治附属，除县、学校区域、市和镇之外。

29 What’s in No. 26 第26条中有什么

30 The “most hated” tax “最遭人恨的”税
You are taxed on the assessed value, not your ability to pay as in income tax根据评估的价值你被征税，而非像所得税那样根据你的能力征税 Widows and orphans孤儿寡妇 Special assessments. E.g., street Improvements.特殊评估，比如，街道改善。 Tax revolts避税 California’s Proposition 13加利福尼亚13号提案 Special Levy特别征税 Must be voted into force必须经投票才有效力 Tax Notices: the County Auditor must send out an estimate of your taxes a year in advance. 税收注意：县审计员必须提前一年向你寄出对你应付税金的评估 You are free to contest your assessment你有权质疑评估结果 Lots of people do很多人都会这样做

31 Another example 另一个例子 2008年财产税分解-2009年应付
Source: City of Belvidere, Illinois

32 Who Collects? 谁来收税？ Keeping it local 地方来收 2007年德国税收分解
Minor importance in an urbanized world城市化世界中无足轻重 Cost of collection收税的成本 One to three percent rule1%-3% 规则 Experience经验 counties 县 Municipalities 市 towns or townships镇 school districts. 学校区域 Special districts 特别区域 water, irrigation, 水域，灌溉 drainage, 排水系统 roads, 道路 parks, 公园 libraries, 图书馆 Fire protection, 防火区域 health services, 健康设施 other services其他服务设施 2007年德国税收分解 Source: Winrich VOSS, 2009 (FIG)

33 Property Law in Context 语境中的财产法
America’s Indigenous Population 美国的原住民

34 American Indians and Land 美国的印第安人和土地
Two major stains on the American experience: 美国历史上的两个污点： Slavery奴隶制 Inability to articulate with Amerindian culture无法清楚地为美国印第安文化发声 Other than a few place names, 除了知道一些地名 We learned almost nothing我们几乎一无所知 Many like Thomas Jefferson tried很多人向托马斯·杰弗逊那样尝试过 Overwhelmed by a cultural tradition that saw land as an end in itself – the beginning of this lecture被一种视土地为目的的文化传统所压垮（本讲开始即提到） Thus, cultural knowledge that had been built up over a period between 13 and 30 thousand years was ignored因而，建立于13,000到30,000年之间的文化知识被忽视 Maize (corn), potatoes, peanuts, manioc (cassava), beans, tomatoes, sunflowers, yams, vanilla, chocolate. 玉米，土豆，花生，木薯，豆类，番茄，向日葵，山药，香草和巧克力

35 The devil in the details 细节中的魔鬼
The relationship between people who identify themselves as American Indians and the land is anything but simple.那些自认为是美国印第安人的人们和土地之间的关系一点都不简单。 Tremendous variety and constantly in a state of dynamic readjustment. 十分多样，且总在一种东代的适应调整过程中 Amalgamation, followed by fragmentation 结合，继之以碎片化

36 Population Centers like Cahokia 像Cahokia这样的人口中心
Small cities小城市 Agriculture农业 Coordinated politics协调的政治 And ceremonies以及仪式 Source: Newberry.Org

37 Intensive <-> extractive food economies 密集的<-> 农业经济
These populations disbanded long before Europeans arrived 这些人在欧洲人到达美洲前就解体了 Intensive <-> extractive food economies 密集的<-> 农业经济 A process that apparently repeated itself many times一个明显自我重复了多次的过程 In an extractive phase when Europeans arrived.在一个天然生产时期，欧洲人来了。 Mandan Sioux speakers Paintings by George Caitlin, 1830s

38 What do we mean by property? 我们说的财产是什么？
Therefore, it was the resources that were contested, not land boundaries, per se. 因此，可以说不是土地的边界，而是资源受到了竞争。 Resource tenure systems: Usus & Fructus in Roman law资源所有权体系： Usus & Fructus 罗马法 Fuzzy boundaries不明确的边界 Quite common, but not an important part of Anglo-American legal tradition很普遍，但并不是英美法律传统的重要部分

39 Importance of disease and dislocation 疾病和混乱的重要性
Disease and health issues greatly decimated indigenous populations. 疾病和健康问题造成原住民大量死亡。 Two big demographic declines两次大的人口衰减 About the time of the collapse of places like Cahokia 大约在像Cahokia这样的地方崩溃之时 Following the arrival of Europeans欧洲人到达之后 Many groups 50-75%很多族群死了50%-75% Our fear of pandemics today我们当下对流行病的恐惧 Many groups today reside far from where their traditional homes were located.今天很多族群生活在他们的传统的家园所在的地方 Ojibwa c lived in New York State Cherokee (1838) forced from Georgia to Oklahoma Also, rapid demographic growth in Europe post 1600

40 Today 今天 Somewhat more than 5.2 million (US Census)大约有超过520万人（美国统计局）
Recent population recovery最近的人口回复 Around 2% of US population约占美国人口的2% US Government recognizes 566 tribes 美国政府承认的有566个部落 Some 200 more on a waiting list 还有大约200个以上在等待名单中

41 Reservations 保留地 US government recognizes 325 美国政府承认的325个
Additional areas: off-reservation trust lands, Oklahoma tribal statistical areas, tribal designated statistical areas, state American Indian reservations, and state designated American Indian statistical areas. 额外的区域：保留区外的托管土地，俄克拉荷马州部落统计领域，部落指定统计区域，联邦美国印第安人保留地，以及联邦制定的美国印第安人统计区域 Only 22% of self-declared American Indians live in these areas.只有22%自认为是美国印第安人的人们生活在这些区域。 Largest: Navajo 6.4 m ha. Smallest 0.5 ha. Pitt River, CA 最大的：Navajo640万居民， 最小的：0.5个居民，Pitt River，CA 54% own their homes54% 拥有自己的房子 Average family income c. 69% of US Average平均家庭收入占美国平均值的69% American Indians: Census Facts | Infoplease.com

42 Political position 政治地位
Independent of the jurisdiction of the state in which they are located.独立于他们所在州的司法裁决之外。 All those casinos. 所有那些赌场。 Evolving criminal jurisdiction 演进中的刑事司法裁决权 Self-governing entities 自治团体 US citizens (1924): Vote, own property, etc. 美国公民（1924年）：投票，自己的财产，等。

43 Land Tenure 土地使用权 Treaty and removal: 1778 – 1881 条约和消除：1778 – 1881
Indian Reorganization Act: 1934 印第安人重组法案：1934年 Indian Self Determination Act: 1975 印第安人自决法案：1975年 Tribal Self Governance Act: 1994 部落自治法案：1994年 Mixture of private and common land 私有和共有土地的混合 Hunting, fishing and gathering rights 狩猎，捕鱼和采集的权利 Source: Indian Affairs.gov

44 Example: Mille Lacs Reservation, Minnesota 举例： Mille Lacs 保留地，明尼苏达州
Ojibwe (Anishinabe) Population of around 4500 人口大约4500人 Many attempts to instill individual tenure 很多试图灌输个人所有权的思想 Largely disastrous大多很糟糕 A mixture of private and shared tenure seems to work best.似乎私有和共有所有权最有效

45

46 Continuing land issues 继续土地问题
The Ojibwa were asked to give up 1855 reservation for another piece of land plus monetary compensation. Ojibwa人被要求放弃他们1855年保留地，并获得另一块地和金钱上的补偿 Most agreed大多数同意 Small Band refused and hung on小部分人拒绝并坚守 Recognition in 年获得承认 Restored small fragments重建了小的保留地部分 More importantly, they regained the recognition of their hunting fishing and gathering rights 更重要的是，他们重新获得他们渔猎和采集的权利

47 Trying to regain 试图再次获得
The Mille Lac Band is using Casino earnings to buy land as it comes on the market. Mille Lac Band人用赌场的收入购买市场上的土地 Held as a tribal trust用作部落信托基金 Reaction by non-Indians非印第安人的反映 PERM (Proper Economic Resource Management) 适当经济资源管理 Mille Lacs Tea Party Mille Lacs 茶党 Not as simple as it seems on the surface不像表面看去那么简单 Taxation issues税收问题 Conservation issues保留地问题 Business (tourism), fishing商业（旅游），和捕鱼

48 What have we learned 我们学到了什么
Individual property rights not always the best answer 个人权利并不总是最佳答案 American Indians and resource rights美国印第安人和资源权 An essential property held by all一个由所有人持有的重要财产 Urban dwellers and condominium rights城市居民和共有权利 Leading edge business and IT rights 前沿商业和信息技术权利 Proprietary v. open source专利vs开源 Essential role of contract law and institutions合同法和制度的重要角色 Perhaps as fundamental as property 或许像财产一样基础 All Others Mac OS Windows Android Source: Wall Street J.