农地确权中的证书作用:机制、条件及实证检验
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摘要
研究目的:分析农地确权颁证的作用机制和条件,探讨已有文献中证书作用研究结论差异的原因。研究方法:文献分析。研究结果:(1)尽管学界对土地证书作用仍存较大争议,但认为"有效"的文献比例(67%)显著高于"无影响"和"负影响"的比例(27%和6%);研究分歧主要是由于研究地区、作用机制以及研究方法的差异所致。(2)证书作用机制中的经济效应大于社会效应,经济机制中的投资效应大于流转和信贷效应;一个重要原因是不同机制涉及的相关条件越多,证书发挥积极作用也就越困难。(3)无论是描述统计还是计量分析,肯定证书积极作用的比例(79%和75%)显著高于定性研究(56%);考虑内生性并进行稳健性检验等更严谨的计量分析中,认为证书有效的比例更大。研究结论:构建包含国家治理及其他相关条件的证书作用机制模型,探索证书作用的地区差异和国际比较是未来的重要研究方向。
The purpose of this paper is to analyze the effect of land certificates, and to figure out the reasons behind various outcomes of the existing literature. Documentation analysis method is employed. The results show that: 1)though there still exist vigorous arguments over certificate effect, the proportion of papers holding "positive effect" opinion(67%) is significantly higher than that of "no effect" and "negative effect"(27% and 6% respectively). This gap may be originated from study area, influence mechanism or research methods. 2)The social effect of land certificate is smaller than the economic effect, and the effect on investment is larger than that on transfers and credit. One crucial reason is that the more relevant conditions the mechanism involve, the harder the certificate works. 3)The support ratio among quantitative studies is larger than qualitative studies(56%), no matter it chooses statistics description or econometric model(79% and 75%). In comparison, more rigorous quantitative analysis, which considers endogenous and test the robustness, tends to verify the effectiveness of the certificate. The researches in future could focus on the topics including the relation between certificate and relevant conditions, the construction and test of a unified mathematical model of influence mechanisms, the regional difference and international comparative analysis of certificate effect and the impact of national governance.
The purpose of this paper is to analyze the effect of land certificates, and to figure out the reasons behind various outcomes of the existing literature. Documentation analysis method is employed. The results show that: 1)though there still exist vigorous arguments over certificate effect, the proportion of papers holding "positive effect" opinion(67%) is significantly higher than that of "no effect" and "negative effect"(27% and 6% respectively). This gap may be originated from study area, influence mechanism or research methods. 2)The social effect of land certificate is smaller than the economic effect, and the effect on investment is larger than that on transfers and credit. One crucial reason is that the more relevant conditions the mechanism involve, the harder the certificate works. 3)The support ratio among quantitative studies is larger than qualitative studies(56%), no matter it chooses statistics description or econometric model(79% and 75%). In comparison, more rigorous quantitative analysis, which considers endogenous and test the robustness, tends to verify the effectiveness of the certificate. The researches in future could focus on the topics including the relation between certificate and relevant conditions, the construction and test of a unified mathematical model of influence mechanisms, the regional difference and international comparative analysis of certificate effect and the impact of national governance.
引文
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[6] EGE S. Land tenure insecurity in post-certification Amhara,Ethiopia[J]. Land Use Policy, 2017, 64:56-63.
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[27] DE JANVRY A, EMERICK K, GONZALEZ-NAVARRO M,et al. Delinking land rights from land use:certification and migration in Mexico[J]. American Economic Review, 2015,105(10):3125-3149.
[28] MA X, HEERINK N, FENG S, et al. Farmland tenure in China:comparing legal, actual and perceived security[J].Land Use Policy, 2015, 42:293-306.
[29] HOLDEN S T, BEZU S. Joint land certification and intrahousehold decision-making:towards empowerment of wives?[R]. Oslo:Norwegian University of Life Sciences(UMB), 2013:1-38.
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[31] GRIFFITH-CHARLES C. The impact of land titling on land transaction activity and registration system sustainability:a case study of St. Lucia[D]. Gainesville:University of Florida,2004:1-212.
[32]仇童伟.土地确权如何影响农民的产权安全感知?——基于土地产权历史情景的分析[J].南京农业大学学报(社会科学版),2017,17(4):95-109,158.
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[34] DEININGER K, ALI D A, ALEMU T. Impacts of land certification on tenure security, investment, and land market participation:evidence from Ethiopia[J]. Land Economics,2011, 87(2):312-334.
[35] HOLDEN S T, DEININGER K, GHEBRU H. Tenure insecurity, gender, low-cost land certification and land rental market participation in Ethiopia[J]. The Journal of Development Studies, 2011, 47(1):31-47.
[36] PIZA C, DE MOURA M J S B. The effect of a land titling programme on households’ access to credit[J]. Journal of Development Effectiveness, 2016, 8(1):129-155.
[37] HOLDEN S T, OTSUKA K. The roles of land tenure reforms and land markets in the context of population growth and land use intensification in Africa[J]. Food Policy, 2014, 48:88-97.
[38] KEMPER N, KLUMP R, SCHUMACHER H. Representation of property rights and credit market outcomes:evidence from a land reform in Vietnam[R]. Mannheim:University of Mannheim, 2011:1-53.
[39] CARTER M R, YAO Y. Specialization without Regrettransfer Rights, Agricultural Productivity, and Investment in An Industrializing Economy[M]. Washington DC:The World Bank, 1999:1-50.
[40] BROMLEY D W. Formalising property relations in the developing world:the wrong prescription for the wrong malady[J]. Land Use Policy, 2009, 26(1):20-27.
[41] BRASSELLE A S, GASPART F, PLATTEAU J P, et al. Land tenure security and investment incentives:puzzling evidence from Burkina Faso[J]. Journal of Development Economics,2002, 67(2):373-418.
[42] COTULA L, POLACK E. Land tenure and agricultural investment investing in local tenure security for inclusive and sustainable development[R]. Boston:International Institute for Environment and Development, 2012:8-34.
[43] HOLDEN S T, DEININGER K, GHEBRU H H. Impact of land certification on land rental market participation in Tigray region, Northern Ethiopia[C]//Washington DC:The World Bank, 2007:1-30.
[44] HUANG Z, DU X. Farmers’ attitudes toward land titling and its potential effects on rural development in China[J]. China Agricultural Economic Review, 2018, 10(3):425-442.
[45] YAMI M, SNYDER K A. After all, land belongs to the state:examining the benefits of land registration for smallholders in ethiopia[J]. Land Degradation&Development, 2016, 27(3):465-478.
[46] SALIFU F W. Innovative approaches to land tenure documentation in Ghana:an institutional perspective[D].Enschede:University of Twente, 2018:1-71.
[47] HUNTINGTON H, SHENOY A. Untenable hypothesis:does insecure tenure deter investment?[R]. Working Paper,University of California,2018:1-35.
[48] KASSA W. Land titling and investment in tanzania:an empirical investigation[J]. Mpra Paper, 2014(57987):19.
[49]林文声,秦明,苏毅清,等.新一轮农地确权何以影响农地流转?——来自中国健康与养老追踪调查的证据[J].中国农村经济,2017(7):31-45.
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(1)不动产登记簿是指记载不动产上的权利状况并备存于特定机关的簿册。根据中国《物权法》第16条规定,不动产登记簿是物权归属和内容的根据。政府在摘录官方簿册中的主要信息后向居民颁发土地产权证书,起到方便交易、提升效率、保障权益的作用。
(2)世界上有三种主要的登记制度,各国的登记制度大都从这三者中衍生出来,一是权利登记制,二是托伦斯登记制,三是契约登记制度,只有托伦斯登记制颁发证书(这里特别感谢一位匿名审稿人指出这一点)。需要说明的是,本文所要研究的不是登记制度的作用,而是财产权利法律凭证(证书)的作用;同时,本文所探讨的土地证书是经过登记机构统一注册颁发的、具有法律效力的财产权利凭证,兼具了登记机构的不动产登记簿和由产权人持有的财产权凭证的职能。
(3)本文建立的文献数据库包含的主要是以证书(land certificate)作为关键变量的论文,同时包含了“land registration”或“land titling”,因此,本文探讨的证书(land certificate)是经过登记机构正式注册的、涵盖了不动产登记薄(land register)的职能。
[2] DE SOTO H. The Mystery of Capital:Why Capitalism Triumphs in the West and Fails Everywhere Else[M]. New York:Basic Books, 2000:1-192.
[3] SJAASTAD E, COUSINS S B. Formalisation of land rights in the south:an overview[J]. Land Use Policy, 2009, 26(1):1-9.
[4] DEININGER K, JIN S, XIA F, et al. Moving off the farm:land institutions to facilitate structural transformation and agricultural productivity growth in China[J]. World Development, 2014, 59(c):505-520.
[5]丰雷,蒋妍,叶剑平.诱致性制度变迁还是强制性制度变迁?——中国农村土地调整的制度演进及地区差异研究[J].经济研究,2013,48(6):4-18,57.
[6] EGE S. Land tenure insecurity in post-certification Amhara,Ethiopia[J]. Land Use Policy, 2017, 64:56-63.
[7] LAWRY S, SAMII C, HALL R, et al. The impact of land property rights interventions on investment and agricultural productivity in developing countries:a systematic review[J].Journal of Development Effectiveness, 2017, 9(1):61-81.
[8] BESLEY T. Property rights and investment incentives:theory and evidence from Ghana[J]. Journal of Political Economy,1995, 103(5):903-937.
[9] TOWNSEND R. FUTURE of FOOD:Maximizing Finance for Development in Agricultural Value Chains[M]. Washington DC:World Bank Group, 2018:1-44.
[10] HUNTINGTON H, HAFLETT A, EWING E E N. The Impact of Interventions to Promote Climate Change Adaptation:Does Stronger Tenure Security Increase Farmer Investment in Sustainable Agroforestry?[C]//2018 World Bank Conference on Land and Poverty, 2018:1-42.
[11] FOLTZ J, LARSON B A, LOPEZ R. Land tenure, investment,and agricultural production in Nicaragua[C]//Boston:Harvard Institute for International Development, 2000:1-31.
[12] GALIANI S, SCHARGRODSKY E. Property rights for the poor:effects of land titling[J]. Journal of Public Economics,2010, 94(9-10):700-729.
[13] DO Q T, IYER L. Land titling and rural transition in Vietnam[J]. Economic Development and Cultural Change, 2008,56(3):531-579.
[14] BENJAMINSEN T A, HOLDEN S, LUND C, et al.Formalisation of land rights:some empirical evidence from Mali, Niger and South Africa[J]. Land Use Policy, 2009,26(1):28-35.
[15] DEININGER K, FEDER G. Land registration, governance,and development:evidence and implications for policy[J].The World Bank Research Observer, 2009, 24(2):233-266.
[16] MIN S, WAIBEL H, HUANG J. Smallholder participation in the land rental market in a mountainous region of Southern China:impact of population aging, land tenure security and ethnicity[J]. Land Use Policy, 2017, 68:625-637.
[17] WANG Y, LI X, LI W, et al. Land titling program and farmland rental market participation in China:evidence from pilot provinces[J]. Land Use Policy, 2018, 74:281-290.
[18] XU Y, HUANG X, BAO H X H, et al. Rural land rights reform and agro-environmental sustainability:empirical evidence from China[J]. Land Use Policy, 2018, 74:73-87.
[19]黄季焜,冀县卿.农地使用权确权与农户对农地的长期投资[J].管理世界,2012(9):76-81.
[20] ZHOU Y, CHAND S. Regression and matching estimates of the effects of the land certification program on rural household income in China[J]. Academic Journal of Interdisciplinary Studies, 2013, 2(8):350-359.
[21] FEDER G, NISHIO A. The benefits of land registration and titling:economic and social perspectives[J]. Land Use Policy, 1998, 15(1):25-43.
[22] HIGGINS D, BALINT T, LIVERSAGE H, et al. Investigating the impacts of increased rural land tenure security:a systematic review of the evidence[J]. Journal of Rural Studies, 2018, 61:34-62.
[23] DEININGER K, BINSWANGER H. The evolution of the world bank’s land policy:principles, experience, and future challenges[R]. London:World Bank Research Observer,1999:247-276.
[24] PLATTEAU J P. The evolutionary theory of land rights as applied to Sub-Saharan Africa:a critical assessment[J].Development and Change, 1996, 27(1):29-86.
[25] ALI D A, DEININGER K, GOLDSTEIN M. Environmental and gender impacts of land tenure regularization in Africa:pilot evidence from Rwanda[J]. Journal of Development Economics, 2014, 110(12):262-275.
[26] ROBINSON B E, MASUDA Y J, KELLY A, et al. Incorporating land tenure security into conservation[J]. Conservation Letters,2018, 11(2):1-12.
[27] DE JANVRY A, EMERICK K, GONZALEZ-NAVARRO M,et al. Delinking land rights from land use:certification and migration in Mexico[J]. American Economic Review, 2015,105(10):3125-3149.
[28] MA X, HEERINK N, FENG S, et al. Farmland tenure in China:comparing legal, actual and perceived security[J].Land Use Policy, 2015, 42:293-306.
[29] HOLDEN S T, BEZU S. Joint land certification and intrahousehold decision-making:towards empowerment of wives?[R]. Oslo:Norwegian University of Life Sciences(UMB), 2013:1-38.
[30] MELESSE M B, DABISSA A B, BULTE E. Joint land certification programs and women’s empowerment:evidence from Ethiopia[C]//Washington DC:World Bank Conference on Land and Poverty, 2015:1-48.
[31] GRIFFITH-CHARLES C. The impact of land titling on land transaction activity and registration system sustainability:a case study of St. Lucia[D]. Gainesville:University of Florida,2004:1-212.
[32]仇童伟.土地确权如何影响农民的产权安全感知?——基于土地产权历史情景的分析[J].南京农业大学学报(社会科学版),2017,17(4):95-109,158.
[33] VAN GELDER J L. Feeling and thinking:quantifying the relationship between perceived tenure security and housing improvement in an informal neighbourhood in Buenos Aires[J]. Habitat International, 2007, 31(2):219-231.
[34] DEININGER K, ALI D A, ALEMU T. Impacts of land certification on tenure security, investment, and land market participation:evidence from Ethiopia[J]. Land Economics,2011, 87(2):312-334.
[35] HOLDEN S T, DEININGER K, GHEBRU H. Tenure insecurity, gender, low-cost land certification and land rental market participation in Ethiopia[J]. The Journal of Development Studies, 2011, 47(1):31-47.
[36] PIZA C, DE MOURA M J S B. The effect of a land titling programme on households’ access to credit[J]. Journal of Development Effectiveness, 2016, 8(1):129-155.
[37] HOLDEN S T, OTSUKA K. The roles of land tenure reforms and land markets in the context of population growth and land use intensification in Africa[J]. Food Policy, 2014, 48:88-97.
[38] KEMPER N, KLUMP R, SCHUMACHER H. Representation of property rights and credit market outcomes:evidence from a land reform in Vietnam[R]. Mannheim:University of Mannheim, 2011:1-53.
[39] CARTER M R, YAO Y. Specialization without Regrettransfer Rights, Agricultural Productivity, and Investment in An Industrializing Economy[M]. Washington DC:The World Bank, 1999:1-50.
[40] BROMLEY D W. Formalising property relations in the developing world:the wrong prescription for the wrong malady[J]. Land Use Policy, 2009, 26(1):20-27.
[41] BRASSELLE A S, GASPART F, PLATTEAU J P, et al. Land tenure security and investment incentives:puzzling evidence from Burkina Faso[J]. Journal of Development Economics,2002, 67(2):373-418.
[42] COTULA L, POLACK E. Land tenure and agricultural investment investing in local tenure security for inclusive and sustainable development[R]. Boston:International Institute for Environment and Development, 2012:8-34.
[43] HOLDEN S T, DEININGER K, GHEBRU H H. Impact of land certification on land rental market participation in Tigray region, Northern Ethiopia[C]//Washington DC:The World Bank, 2007:1-30.
[44] HUANG Z, DU X. Farmers’ attitudes toward land titling and its potential effects on rural development in China[J]. China Agricultural Economic Review, 2018, 10(3):425-442.
[45] YAMI M, SNYDER K A. After all, land belongs to the state:examining the benefits of land registration for smallholders in ethiopia[J]. Land Degradation&Development, 2016, 27(3):465-478.
[46] SALIFU F W. Innovative approaches to land tenure documentation in Ghana:an institutional perspective[D].Enschede:University of Twente, 2018:1-71.
[47] HUNTINGTON H, SHENOY A. Untenable hypothesis:does insecure tenure deter investment?[R]. Working Paper,University of California,2018:1-35.
[48] KASSA W. Land titling and investment in tanzania:an empirical investigation[J]. Mpra Paper, 2014(57987):19.
[49]林文声,秦明,苏毅清,等.新一轮农地确权何以影响农地流转?——来自中国健康与养老追踪调查的证据[J].中国农村经济,2017(7):31-45.
[50] AIKAELI J, MARKUSSEN T. The effects of land titling in Tanzania[R]. Helsinki:World Institute for Development Economic Research(UNU-WIDER), 2017:1-23.
[51] ABDULAI R T. Is land title registration the answer to insecure and uncertain property rights in Sub-Saharan Africa?[J]. Rics, 2006, 6(6):1-29.
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(1)不动产登记簿是指记载不动产上的权利状况并备存于特定机关的簿册。根据中国《物权法》第16条规定,不动产登记簿是物权归属和内容的根据。政府在摘录官方簿册中的主要信息后向居民颁发土地产权证书,起到方便交易、提升效率、保障权益的作用。
(2)世界上有三种主要的登记制度,各国的登记制度大都从这三者中衍生出来,一是权利登记制,二是托伦斯登记制,三是契约登记制度,只有托伦斯登记制颁发证书(这里特别感谢一位匿名审稿人指出这一点)。需要说明的是,本文所要研究的不是登记制度的作用,而是财产权利法律凭证(证书)的作用;同时,本文所探讨的土地证书是经过登记机构统一注册颁发的、具有法律效力的财产权利凭证,兼具了登记机构的不动产登记簿和由产权人持有的财产权凭证的职能。
(3)本文建立的文献数据库包含的主要是以证书(land certificate)作为关键变量的论文,同时包含了“land registration”或“land titling”,因此,本文探讨的证书(land certificate)是经过登记机构正式注册的、涵盖了不动产登记薄(land register)的职能。