毛地出让遗留项目中的征收和开发难题

作者：王同海

原创文章已供稿至《商法》

上世纪90年代，各地政府为降低土地出让的先期成本、减少政府财政压力，大量旧城改造项目采用了“毛地出让”的方式。由地方政府将毛地出让给房地产开发商，由其完成拆迁、补偿及安置工作。随着国有土地“招拍挂”模式的逐步成熟，近年新的“毛地出让”项目已经鲜见，但各地仍然遗留了相当部分因资金、收益、市场预期等原因被长期搁置的“毛地出让”项目。

In the 1990s, for a large number of urban renewal projects, governments everywhere adopted the “grant of uncleared land” method to reduce the preliminary land grant costs and lessen fiscal pressures, by granting the land uncleared to the real estate developer, who would be responsible for completing the demolition, relocation, compensation and resettlement work.  With the gradual maturity of the “bid invitation/auction/listing” model of granting state-owned land, new projects involving “uncleared land” have become rare in recent years.  However, many such projects that have long lain idle due to funding, returns, market forecast or other such reasons still remain in many places.

2011年国务院出台《国有土地上房屋征收与补偿条例》，废除了原《城市房屋拆迁管理条例》，取消了开发商的拆迁人资格，将征收和补偿主体确定为政府。因法律法规变更、征收成本上涨、资金需求巨大等原因，如何开发和利用这类地块，成了政府和开发商共同面临的难题。

本文拟以上海为例，结合地方政策和旧城改造的有关实际操作，为解决“毛地出让”地块的征收和开发难题提供一些有益的思路。

In 2011, the State Council issued the Regulations for the Requisitioning of, and Compensation for, Premises on State-Owned Land and repealed the then existing Administrative Regulations for the Demolition of Urban Premises and Relocation of Their Occupants, abolishing developers’ qualifications as demolition entities and designating the government as the entity responsible for requisitioning and compensation. Due to changes in regulations and increased requisitioning costs, huge demand for funds, etc., how to develop and use these types of lots became common problems for governments and developers.

This article takes Shanghai as an example and presents some beneficial approaches to resolve requisitioning and development difficulties relating to these lots that were granted uncleared, while taking into account local policies and relevant actual practice in urban renewal.

破解“毛地”后续开发利用的法律和政策困局。为了合理解决老问题，实现原“毛地出让”项目上新旧政策的衔接，上海市规划和土地资源管理局于2012年专门发布了《关于本市旧区改造中“毛地出让”地块处置若干政策口径的意见》（652号文）。

Resolving the legal and policy dilemmas relating to the subsequent development and utilization of “uncleared land”. To resolve the old issues and harmonizing the old and new policies for existing “uncleared land” projects, the Shanghai Municipal Planning and Land Resource Administration issued the Opinions on Several Policy Issues for Disposing of Lots Granted Uncleared for Urban Renewal in Shanghai (Document No. 652) in 2012.

       652号文根据不同情况，分别规定了五类办理口径，操作中则按照“一地一策”原则制定方案：对改造资金可以平衡的地块，督促开发企业尽早改造；开发企业实力不够的，由企业或政府牵线，引进有实力、有意愿的大企业接盘；对继续拖延的开发企业，则启动解除土地使用权出让合同程序，由政府实施改造。2015年12月上海又出台了《关于进一步加强本市旧区改造中“毛地出让”地块处置工作的补充通知》，确定了2018年12月31日未完成地块处置工作的，将解除原出让合同。两个文件破解了“毛地出让”项目在法律和政策上的困局，为各区县的旧城改造工作提供了非常有效的支持。

Depending on the circumstances, Document No. 652 specifies five handling methods, with the plans formulated based on the principle of “one policy per type of land”: for lots for which the renewal funds can be balanced, procure the renewal by the developer as soon as is possible; where the developer’s resources are insufficient, the enterprise or government is to take the lead in bringing in a large enterprise with the resources and the willingness to take over the project; and when a developer continues to procrastinate, start the procedure to terminate the land use rights grant contract and have the government take on the renewal.  In December 2015, Shanghai further issued the Supplementary Notice on Further Strengthening the Work Associated with the Disposal of Lots Granted Uncleared for Urban Renewal in Shanghai, determining that where the disposal of a lot is not completed by 31 December 2018, the existing grant contract will be terminated. The two documents break up the legal and policy logjam for “uncleared land” projects and provide very effective support for urban renewal in the districts and counties.

       变“拆迁”为“征收”，尊重合同约定，尊重最新规划，明确政府主导、开发商参与的模式。《国有土地上的房屋征收与补偿条例》出台后，“拆迁”作为法律概念已退出历史舞台。对已出让的“毛地”而言，征收主体虽变更为政府，但本着尊重合同约定的原则，房屋征收及补偿的资金仍应由开发商负责。为此，目前启动和推进的“毛地”处置项目中，采取了“政府主导、开发商配合”的模式。

Changing “demolition and relocation” to “requisitioning”, respecting contract provisions, respecting the most recent plans, and specifying the “government leading and developer participating” model.  With the issuance of the Regulations for the Requisitioning of, and Compensation for, Premises on State-Owned Land, “demolition and relocation” as a legal concept has faded from the pages of history. Despite the fact that the requisitioning entity for “uncleared land” that has already been granted is now the government, based on the principle of respecting contract provisions，the funding for the requisitioning of, and compensation for, premises, remain the responsibility of the developer. For this purpose, in projects for the disposal of “uncleared land” that have now started and are being pushed forward, the “government leading and developer cooperating” model has been adopted.

       区县级人民政府作出征收决定，由房屋征收部门（一般为区属房管局）负责组织征收和补偿，并决定安置房源的购买和使用。开发商作为项目投融资牵头方及征收费用的承担方，应预先提供并最终承担所有征收及补偿等一切费用。征收完成后，土地管理部门与开发商协商变更原土地出让合同，并以“净地”方式二次交付；开发商则向发改委、国土及规划等部门重新申办新建项目投资备案、用地规划、工程规划等手续；此后项目正式进入开发建设。

Once the district/county-level government renders a requisition decision, the premises requisitioning authority (usually the district premises administration) will arrange the requisitioning and compensation, and decide on the purchase and use of the source of resettlement premises. The developer, as the leading project investment/financing party and the party assuming the requisitioning expenses, is required to provide in advance and ultimately bear all of the related expenses. Once the requisitioning is complete, the land authority and the developer conduct negotiations to amend the existing land grant contract and deliver the land anew but “cleared”.  The developer then carries out anew the procedures for recordal for investment in a new project, land planning, project planning, etc. with such authorities as the development and reform authority, the land and planning authority, etc.  The project then formally proceeds to development and construction.

       引进金融机构，把控资金风险，解决征收和开发的资金问题。“毛地出让”后搁置开发的主要原因是拆迁难度大、补偿成本高。而随着社会发展及城市土地的数论增值，重启“毛地”征收和开发，所需费用较之前更是数倍甚至数十倍增加。外部金融机构的参与，成为“毛地出让”项目能否成功重启、旧城改造能否顺利进行的关键因素。因为政府主导征收补偿工作，所以金融机构参与旧城改造的意愿大大提高。

Bringing in financial institutions, controlling funding risks and resolving requisitioning and development funding issues. The main reasons for delaying development after the “grant of uncleared land” were the difficulties involved in demolition and relocation and the high compensation. And, with social development and increased urban land value, the funds required for restarting the requisitioning and development of “uncleared land” have increased several tens or even several hundred times. The participation of external financial institutions has become a key factor in whether the project can successfully restart and whether urban renewal can proceed smoothly. Because governments have taken the lead in the requisitioning and compensation work, the willingness of financial institutions to participate in urban renewal has greatly increased.

       笔者参与的上海某区旧改项目就采取了开发商自有资金投入和银团贷款并举的方式。在征收阶段，银行根据工作进度逐步发放征收项目贷款并进入政府征收专用账户，由政府统一使用、专款专用，银行实时监管。征收阶段结束“毛地”变“净地”交付开发商后，银行则按约发放开发项目贷款，并以项目在建工程及相应土地使用权办理抵押登记，以保障贷款资金安全。

In an urban renewal project in Shanghai in which the author was involved, financing was carried out with injection of the developer’s own funds and a syndicated loan. At the requisitioning stage, the banks progressively released the requisitioning project loan in line with the progress of the work and credited the proceeds to the government’s dedicated requisitioning account for centralized use and use for the purpose by the government. The banks carried out real time oversight. Once the requisition was completed, with “uncleared land” changed to “cleared land” and delivered to the developer, the banks released the development project loan as agreed and carried out mortgage registration on the strength of the project in construction and the corresponding land use rights, to ensure the security of the loan proceeds.

       “政府主导、开发商配合、银团支持”的合作推进模式，基本解决了旧城改造中毛地出让遗留项目关于征收和开发的难题，确保了征收工作的依法合规，解决了旧改区域的民生问题，也维护了开发商和金融机构的合法权益，对目前各地正在进行的旧城棚户区改造及城中村改造工作具有较强的借鉴作用。

The cooperation and progress model of “government leading, developer cooperating and bank syndicate supporting” fundamentally resolves the requisitioning and development difficulties associated with the urban renewal of leftover projects the land for which was granted uncleared, resolving the livelihood issues in areas undergoing urban renewal, while also safeguarding the lawful rights and interests of developers and financial institutions. It has a powerful reference function for the tenement renewal and urban village redevelopment work in various regions.