Transcript 产权动态：一些美国案例（James Riddell）

Dynamics in property rights
产权动态
Some U.S. examples
一些美国案例
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
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Middle ages -> renaissance (1300 – 1700)
中世纪->文艺复兴时期（1300-1700）
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
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
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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
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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
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
Externalities
外部性
Positive and Negative
积极的和消极的外部性
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：
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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。
Catawbe River Walk
South Carolina
Catwabe河走廊
南卡罗来纳州
New uses
新用途
Negative externalities
消极的外部性
• Much more common:
• 更普遍的是：
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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
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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
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
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”）
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
Zoning and Planning
分区和规划
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Zoning laws/ordinances as a way to mitigate this
分区法/条例作为一种缓解方式
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Town and country planning
城镇和乡村的规划
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1916 in New York City
纽约1916年颁布的法令
Local government decisions
地方政府决定
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
Donna Olympia and San Martino di
Cimino (1645)
Building codes and restrictions
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City of Edina, Minnesota
建筑规范和限制
Edina市，明尼苏达州
Building permit
• Sewer and Water Permit下
水道和用水许可
建筑许可
• Structure Testing结构测试
– Commercial商用
– Residential民用
• Ventilation Inspection排气
系统检查
Demolition/Moving permit
拆除/搬迁许可
• Noise permits噪音许可
Energy compliance电力合
• Party permits派对许可
规
• Alternative Design Permit改
Grading/Landscaping评级/
变设计许可
景观
• ETC, ETC., ETC.等等等
Mechanical Permit机械许
可
Plumbing Permit砍伐许可
Eminent Domain
征用权
Expropriation and the Taking Clause
征用和侵占条款
Role of the Constitution
宪法的角色
• Our “tribal” charter. 1789
• 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”
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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：
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“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。
Eminent Domain
征用权
• Concepts:
• 概念：
– Public use公共用途
– Just compensation合理赔偿
• Who decides a public use?
• 谁决定是否公共用途？
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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
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
Eminent Domain (3)
征用权（3）
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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
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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？
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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
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
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 Trumb
Source: City of New London, Connecticut
Property Taxation
财产税
The most hated tax
最令人痛恨的税
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
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：
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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
Special Taxing Districts特别纳税区
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。
What’s in No. 26
第26条中有什么
The “most hated” tax
“最遭人恨的”税
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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。
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Tax revolts避税
– California’s Proposition 13加利福尼亚13号提案
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Special Levy特别征税
– Must be voted into force必须经投票才有效力
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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
Another example
另一个例子
2008年财产税分解
-2009年应付
Source: City of Belvidere, Illinois
Who Collects?
谁来收税？
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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
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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
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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
Source: Winrich VOSS, 2009 (FIG)
Property Law in Context
语境中的财产法
America’s Indigenous Population
美国的原住民
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
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
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
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
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 AngloAmerican legal tradition很普遍，但并不是英美法律
传统的重要部分
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. 1500 lived in New York State
– Cherokee (1838) forced from Georgia to Oklahoma
– Also, rapid demographic growth in Europe post 1600
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
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%
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American Indians: Census Facts | Infoplease.com http://www.infoplease.com/spot/aihmcensus1.html#ixzz320cFKyBR
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。
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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。
Land Tenure
土地使用权
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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
Example:
Mille Lacs Reservation, Minnesota
举例： Mille Lacs 保留地，明尼苏达州
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Ojibwe (Anishinabe)
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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
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 1934. 1934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
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
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
All
Others
• 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
Mac
OS
Windows
Android
Source: Wall Street J.