制度变迁视角下集体林权制度改革与现代林业发展研究
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摘要
20世纪80年代之初,中国农村广泛推行家庭联产承包责任制替代生产队体制的改革,带来了我国农业与农村经济的巨大变化。受农村改革政策的影响,国家对集体林的改革也采取了与农业改革基本相同的思路。然而,在南方集体林区广泛推行的“分林到户”改革,并没有出现象农地制度变迁那样令人鼓舞的现象,相反,在许多地方还出现了大面积的乱砍滥伐。是什么原因使得同样思路的改革在农业和林业内出现这么大的反差呢?这除了林业行业有自身的特殊性外,一个根本性的问题,就是集体林业的产权制度安排不能很好适应林业发展的需要,仍然存在产权主体不明晰、经营主体不落实、林权流转不规范、配套政策不完备、发展道路不清晰等重要问题,这些问题长期存在,并交叉作用,使得林权流动性大大降低,严重影响了集体林资源的配置效率。因此,进一步探索解决集体林业发展问题的制度化方案和政策体系,就成为本研究选题的基本初衷和学理背景。
本研究在综合国内外已有研究成果的基础上,借鉴新制度经济学、社会人类学、林业经济学等理论和方法,选择制度变迁的分析视角,按照“提出问题→分析问题→解决问题→研究总结”的思路来整体设计研究框架。论文安排4个部分10个章节,通过剖析集体林权制度改革的历史进程和现状问题,从微观、中观和宏观三个层面,对影响集体林业发展的产权制度结构、经营组织选择、社区管理制度、配套政策改革、发展道路模式等五个重要方面予以深入的分析和客观的判断,并就此提出自己的观点和策略。在整个研究过程中,力图贯穿一种批判的视野和创新的精神。这项研究的主要目的是,尽可能为完善集体林权制度改革的政策体系和促进现代林业的可持续发展提供较为系统的理论支持和制度化分析手段。论文的主要研究内容和主要研究结论如下:
第一,我国集体林权制度变迁经历了五个重要历史阶段,均呈现出以政府为主导的强制性变迁特点。研究提出,集体林权制度变迁的历史进程,按照林地和林木所有权与使用权的分离程度,以时间为序,可以划分为五个重要的历史阶段。研究认为,我国集体林权调整多变,使得本来就不够清晰的林业权属变得更加模糊,林农经营林业的积极性不断受挫,而且每一次林权制度的重大变革,主要是由各级政府通过命令、指示、决定、法规等强制性手段来主导,林农的经营决策行为在很大程度上受制于政府的政策指向。
第二,从理论层面上较为完整地提出了集体林权制度改革与变迁的一般路径和总体思路。研究认为,集体林权制度改革是一个制度变迁与制度创新的过程,它遵循制度变迁的一般路径。即整个改革由第一行动集团—政府—为主导,以第二行动集团—农户—为主体,通过明晰产权、落实经营主体、规范林权流转、完善配套改革等重要环节,共同努力,以实现林权制度改革与现代林业的发展目标。
第三,以湖北集体林权制度改革的实践为例,运用多元回归模型对湖北林业经济增长的影响因素进行了定量估计。湖北林权制度改革的实践证明,林业家庭经营积极性、林农收入有显著增长。林业生产结构变动的实证结果表明,营林、加工和采伐对林业经济发展均有显著影响,但目前营林和采伐的贡献率较高,而林产加工的贡献率较低,这说明湖北林业经济的增长仍然属于粗放型增长,同时也表明,集体林权制度改革可以通过优化林业生产结构来实现林业的可持续发展。
第四,建立了集体林权制度结构的理论分析框架和数理分析模型,揭示了影响集体林权制度变迁路径和效率的主要因素。借助制度功能的分析方法,把现代林业产权制度结构分为外在制度和内在制度。外在制度完成林业产权的初始配置,以公平、稳定为目标,以政府为主导,实行强制性制度变迁。论文引入强制性制度因子“θ”,得到了一个描述集体林权外在制度强制性变迁的指数函数方程。内在制度实现林业产权的次生配置,以效率、激励为目标,以林农为主导,实行诱致性制度变迁。论文引入诱致性制度因子“φ”,推导出集体林权内在制度变迁是当地村组或社区人均社会资本变化的幂函数方程。二者有机结合共同建构集体林权制度结构的理论分析框架和数理模型,从而找到了影响集体林权制度变迁路径和效率的主要因素。这一研究结论,对完善集体林权制度改革的政策体系提供了重要的制度化分析手段,因而具有重要的决策价值和理论创新意义。
第五,把社会资本变量纳入林农确权决策的因素分析之中,建构了林农确权决策的数理分析模型,得到了林农最优确权决策的约束条件。研究认为,“确权”的过程是林农自主决策的过程,但不同村组或社区的社会经济条件和社会资本存在差异,其决策的影响变量及其影响程度也是有差异的。论文引入社会资本变量,建立了林农确权决策的数理模型,得到了人均社会资本的变化率与强制性制度因子“θ”和诱致性制度因子“φ”的数理关系,从而拓展了制度分析模型的解释边界,进一步阐释了社会资本变动与集体林权制度变迁路径的关系。这一分析方法和研究视角,在目前国内同类研究中较为少见,因而具有重要的方法论意义和学术价值。
第六,社区林业是集体林资源经营管理的有效组织管理制度。研究认为,社区林业作为森林资源可持续经营和改善生态环境的一种制度安排,能够把生物科学技术措施与社会经济手段在社区层面上实现很好结合,以降低技术实施的制度成本,提高自然资源和社会资源的配置效率。村民参与社区林业的方式,因受到自身经济条件、参与成本等因素的影响而呈现出多样化的发展趋势。
第七,林业配套政策的改革与完善是集体林权制度改革成功的必要条件。研究发现,由于配套政策不完备,新的林权制度安排会与其他制度发生摩擦,降低了制度创新的效率。论文提出了与集体林权制度改革密切相关的森林采伐限额制度、林业税费制度、生态效益补偿制度、林地管理制度、林业经营管理的服务体系建设等重要配套政策改革和完善的建议措施。这些措施对于完善集体林权制度改革的政策体系具有十分积极的现实意义。
第八,生态林业发展模式是现代林业可持续发展的基本道路。研究认为,集体林权制度改革的最终目标是要促进现代林业的可持续发展,其实现的基本途径就是生态林业发展模式,推动生态林业可持续发展的内在动力是林业生态经济生产力。论文从林业生态经济生产力各要素组合的角度,描述了林业生态经济生产力的作用机理和生态林业的生态经济工程运行模式,提出了实现生态林业可持续发展的“四大政策路径”,这是对现行林业“三大体系”政策框架的有益拓展。
In the early 1980s, China began a widespread reform that practiced the household contract responsibility system replacing the production team system in rural areas. This reform has made our country's agriculture and the rural economy changed dramatically. Affected by the rural reform policy, the government took the same measures on the reform of collective forestry. However, the institutional change that allocated the forest to the family in the southern collective forestry areas did not appear the same encouraging situation as agricultural land reform did. In contrast, many regions still appeared large areas of deforestation. Why the similar reforms led to the different results utterly? Apart from the forestry own specificity, a fundamental issue is that the property rights institution of forestry is not suitable for the forestry development, such as ambiguous subjects of property rights, abstract operating entities, irregular transfer of forestry property rights, incompleted matching policies, vague path of development and so on. The lasting and interactive effects of these problems greatly reduced the mobility of forestry property rights, and affected the allocation efficiency of collective forest resources seriously. Thus, exploring the further institutionalized programs and policies to resolve the problem of collective forestry development is the basic background and subject of this research.
This paper, based on the results of the study at home and abroad, takes full advantage of the theories and methods in the new institutional economics, social anthropology, forestry economics, and design the frame which is set up like this: the first section is to put forward questions, the second is to analyze questions, the third is to solve problems, and the last is to make clear conclusion and discussion, from the perspective of institutional change. The thesis includes 4 parts for 10 chapters. This paper, through analyzing the historical process and current situation of the institutional reform for collective forestry property rights, analyzed and judged the following five important fields: the system structure of collective forestry property rights, the choice of operating organizations, community management system, the reform of supporting policy, and the pattern of development, and put forward my own opinions and strategies, from the micro, meso and macro levels. In this process, a kind of critical perspective and innovative spirit are insisted. In order to provide a systematic theoretical support and institutional analysis means for improving the institutional reform of collective forestry property rights and promoting the sustainable development of modern forestry. The main research contents and conclusions are as follows:
Firstly, the collective forestry rights system change was a mandatory government-driven change. According to the degree of separation between the ownership and the right to use of woodland and forest , the historical process of the collective forestry rights system is divided into five important historical phase. The study found that China's collective forestry rights was changeable, and it made the forestry ownership become more blurred. Foresters' enthusiasm continues to reduce. Each major change of forestry rights system was implemented by the governments' orders, directives, decisions, laws and regulations etc. such mandatory means and foresters' operating decision-making was affected by the government policy to some degree.
Secondly, the paper suggests a general path and idea for the collective forestry rights reform and institutional changes. The Study suggests that the reform of collective forestry rights institution is a process of institutional change and innovation, and follows the general path of institutional change. The First Action Group (Government) led institutional change and institutional innovation process. The Second Action Group (Farmers) are actors that through clarifying property rights, implementing management entities, regulating the transfer of forestry property rights, improving important aspect of reform such as matching polices, achieve the objectives of property rights reform and forestry development.
Thirdly, the paper taking Hubei Province as an example, using multiple regression model, quantitatively estimates the factors that affecting forestry economic growth in Hubei. Evidences show that the breeding of forest, forest products processing industries and logging affect evidently the development of forestry industry, but the contribution of forest products processing industry is the lowest. The results showed that the collective forestry property rights institutional reform is an important measure to optimize the structure of forestry production, so as to achieve the sustainable development of forestry.
Fourthly, the paper set up the theoretical analysis framework and mathematical analysis model for the institutional structure of collective forestry property rights, and put the factor of institutional change into math model, which reveals the main impact factors affecting the path and efficiency of collective forestry property rights institutional changes. According to the institutional function analysis, modern forestry property rights system can be divided into the internal system and external system. The study found that external system led by government, take equity and stability as its goal and implements the initial allocation of forestry property rights. Thesis draws into a mandatory institutional factor "θ", and gets an exponential function equation to describe the mandatory change of external institution of collective forestry rights. Internal system achieves the secondary allocation of forestry property rights, and takes the efficiency and incentive as its objective. It promoted by farmers and belongs to the induced institutional change. Thesis pulls into system-induced factor "φ", and inferred that the internal system of collective forestry rights changes with local social average capital just in per capita power function equation. The combination of two types of institutional change constitutes the theoretical analytical frameworks and builds a dynamic mathematical model for the collective forestry rights institution, which found the main factors affecting the path and efficiency of collective forestry rights institutional changes. This conclusion provides an important institutional analysis method for improving the policy systems of the collective forestry rights institutional reform, which is critical for decision-making and theory innovations.
Fifthly, the paper put social capital variables into the farmers' decision-making analysis model, and found the conditions of the optimal decision-making. The processes of "dividing the forestry property rights to the family" are autonomous decision-making, but the decision-making impact variables are different because of the difference of economic and social conditions and social capitals. Thesis sets up the mathematical model of farmers' decision-making, and describes the mathematical relations between the per social capital change rate and the mandatory regime factor "θ" and the system-induced factor "φ", which extends the explained border of institutional analysis model, and further expounds the relationships between social capital and the institution change paths of collective forestry property rights. The analysis methods and perspectives are rare in the present domestic researches, therefore, it is valuable and innovative.
Sixthly, the community forestry is an effective management institution for the collective forestry resource management. In order to reduce system costs of the technical implementation and improve the allocation efficiency of natural resources and social resources, the paper suggests that as a system arrangement—community forestry that use the forest resources sustainable and improve the ecological environment can make a good combination between technical measures of biological and socio-economic means. The participating approach of villagers involved in community forestry shows various trends, because of the impact of their different economic conditions and costs.
Seventhly, the reform and improvement of forestry policies are essential conditions of the collective forestry property rights institution reform. The study found because of defective forestry policies, the new forestry property rights institution will be conflict with other systems, reducing the efficiency of the institutional innovation. This paper suggests some important reform and improving measures, which is related to collective forestry property rights institutional reform, such as forest harvesting quota system, forestry tax and fee system, eco-efficient compensation system, woodland management, forestry management and other essential service system. These measures can effectually improve the policy system of the collective forestry property rights institutional reform.
Eighthly, the eco-forestry model can be the way of sustainable development of modern forestry. The paper insists that the ultimate goal in the reform of collective forestry property rights institution is to promote the sustainable development of modern forestry. The eco-forestry development model is the way to achieve this goal and the inherent power of eco-forestry sustainable development is the eco-economic productivity. From the point of combination of productivity factors, the paper describes the mechanism of eco-economic productivity, the operation model of the eco-economic project and proposes "four-policy-path", which greatly expands the current "three-system" forestry policy frameworks.
本研究在综合国内外已有研究成果的基础上,借鉴新制度经济学、社会人类学、林业经济学等理论和方法,选择制度变迁的分析视角,按照“提出问题→分析问题→解决问题→研究总结”的思路来整体设计研究框架。论文安排4个部分10个章节,通过剖析集体林权制度改革的历史进程和现状问题,从微观、中观和宏观三个层面,对影响集体林业发展的产权制度结构、经营组织选择、社区管理制度、配套政策改革、发展道路模式等五个重要方面予以深入的分析和客观的判断,并就此提出自己的观点和策略。在整个研究过程中,力图贯穿一种批判的视野和创新的精神。这项研究的主要目的是,尽可能为完善集体林权制度改革的政策体系和促进现代林业的可持续发展提供较为系统的理论支持和制度化分析手段。论文的主要研究内容和主要研究结论如下:
第一,我国集体林权制度变迁经历了五个重要历史阶段,均呈现出以政府为主导的强制性变迁特点。研究提出,集体林权制度变迁的历史进程,按照林地和林木所有权与使用权的分离程度,以时间为序,可以划分为五个重要的历史阶段。研究认为,我国集体林权调整多变,使得本来就不够清晰的林业权属变得更加模糊,林农经营林业的积极性不断受挫,而且每一次林权制度的重大变革,主要是由各级政府通过命令、指示、决定、法规等强制性手段来主导,林农的经营决策行为在很大程度上受制于政府的政策指向。
第二,从理论层面上较为完整地提出了集体林权制度改革与变迁的一般路径和总体思路。研究认为,集体林权制度改革是一个制度变迁与制度创新的过程,它遵循制度变迁的一般路径。即整个改革由第一行动集团—政府—为主导,以第二行动集团—农户—为主体,通过明晰产权、落实经营主体、规范林权流转、完善配套改革等重要环节,共同努力,以实现林权制度改革与现代林业的发展目标。
第三,以湖北集体林权制度改革的实践为例,运用多元回归模型对湖北林业经济增长的影响因素进行了定量估计。湖北林权制度改革的实践证明,林业家庭经营积极性、林农收入有显著增长。林业生产结构变动的实证结果表明,营林、加工和采伐对林业经济发展均有显著影响,但目前营林和采伐的贡献率较高,而林产加工的贡献率较低,这说明湖北林业经济的增长仍然属于粗放型增长,同时也表明,集体林权制度改革可以通过优化林业生产结构来实现林业的可持续发展。
第四,建立了集体林权制度结构的理论分析框架和数理分析模型,揭示了影响集体林权制度变迁路径和效率的主要因素。借助制度功能的分析方法,把现代林业产权制度结构分为外在制度和内在制度。外在制度完成林业产权的初始配置,以公平、稳定为目标,以政府为主导,实行强制性制度变迁。论文引入强制性制度因子“θ”,得到了一个描述集体林权外在制度强制性变迁的指数函数方程。内在制度实现林业产权的次生配置,以效率、激励为目标,以林农为主导,实行诱致性制度变迁。论文引入诱致性制度因子“φ”,推导出集体林权内在制度变迁是当地村组或社区人均社会资本变化的幂函数方程。二者有机结合共同建构集体林权制度结构的理论分析框架和数理模型,从而找到了影响集体林权制度变迁路径和效率的主要因素。这一研究结论,对完善集体林权制度改革的政策体系提供了重要的制度化分析手段,因而具有重要的决策价值和理论创新意义。
第五,把社会资本变量纳入林农确权决策的因素分析之中,建构了林农确权决策的数理分析模型,得到了林农最优确权决策的约束条件。研究认为,“确权”的过程是林农自主决策的过程,但不同村组或社区的社会经济条件和社会资本存在差异,其决策的影响变量及其影响程度也是有差异的。论文引入社会资本变量,建立了林农确权决策的数理模型,得到了人均社会资本的变化率与强制性制度因子“θ”和诱致性制度因子“φ”的数理关系,从而拓展了制度分析模型的解释边界,进一步阐释了社会资本变动与集体林权制度变迁路径的关系。这一分析方法和研究视角,在目前国内同类研究中较为少见,因而具有重要的方法论意义和学术价值。
第六,社区林业是集体林资源经营管理的有效组织管理制度。研究认为,社区林业作为森林资源可持续经营和改善生态环境的一种制度安排,能够把生物科学技术措施与社会经济手段在社区层面上实现很好结合,以降低技术实施的制度成本,提高自然资源和社会资源的配置效率。村民参与社区林业的方式,因受到自身经济条件、参与成本等因素的影响而呈现出多样化的发展趋势。
第七,林业配套政策的改革与完善是集体林权制度改革成功的必要条件。研究发现,由于配套政策不完备,新的林权制度安排会与其他制度发生摩擦,降低了制度创新的效率。论文提出了与集体林权制度改革密切相关的森林采伐限额制度、林业税费制度、生态效益补偿制度、林地管理制度、林业经营管理的服务体系建设等重要配套政策改革和完善的建议措施。这些措施对于完善集体林权制度改革的政策体系具有十分积极的现实意义。
第八,生态林业发展模式是现代林业可持续发展的基本道路。研究认为,集体林权制度改革的最终目标是要促进现代林业的可持续发展,其实现的基本途径就是生态林业发展模式,推动生态林业可持续发展的内在动力是林业生态经济生产力。论文从林业生态经济生产力各要素组合的角度,描述了林业生态经济生产力的作用机理和生态林业的生态经济工程运行模式,提出了实现生态林业可持续发展的“四大政策路径”,这是对现行林业“三大体系”政策框架的有益拓展。
In the early 1980s, China began a widespread reform that practiced the household contract responsibility system replacing the production team system in rural areas. This reform has made our country's agriculture and the rural economy changed dramatically. Affected by the rural reform policy, the government took the same measures on the reform of collective forestry. However, the institutional change that allocated the forest to the family in the southern collective forestry areas did not appear the same encouraging situation as agricultural land reform did. In contrast, many regions still appeared large areas of deforestation. Why the similar reforms led to the different results utterly? Apart from the forestry own specificity, a fundamental issue is that the property rights institution of forestry is not suitable for the forestry development, such as ambiguous subjects of property rights, abstract operating entities, irregular transfer of forestry property rights, incompleted matching policies, vague path of development and so on. The lasting and interactive effects of these problems greatly reduced the mobility of forestry property rights, and affected the allocation efficiency of collective forest resources seriously. Thus, exploring the further institutionalized programs and policies to resolve the problem of collective forestry development is the basic background and subject of this research.
This paper, based on the results of the study at home and abroad, takes full advantage of the theories and methods in the new institutional economics, social anthropology, forestry economics, and design the frame which is set up like this: the first section is to put forward questions, the second is to analyze questions, the third is to solve problems, and the last is to make clear conclusion and discussion, from the perspective of institutional change. The thesis includes 4 parts for 10 chapters. This paper, through analyzing the historical process and current situation of the institutional reform for collective forestry property rights, analyzed and judged the following five important fields: the system structure of collective forestry property rights, the choice of operating organizations, community management system, the reform of supporting policy, and the pattern of development, and put forward my own opinions and strategies, from the micro, meso and macro levels. In this process, a kind of critical perspective and innovative spirit are insisted. In order to provide a systematic theoretical support and institutional analysis means for improving the institutional reform of collective forestry property rights and promoting the sustainable development of modern forestry. The main research contents and conclusions are as follows:
Firstly, the collective forestry rights system change was a mandatory government-driven change. According to the degree of separation between the ownership and the right to use of woodland and forest , the historical process of the collective forestry rights system is divided into five important historical phase. The study found that China's collective forestry rights was changeable, and it made the forestry ownership become more blurred. Foresters' enthusiasm continues to reduce. Each major change of forestry rights system was implemented by the governments' orders, directives, decisions, laws and regulations etc. such mandatory means and foresters' operating decision-making was affected by the government policy to some degree.
Secondly, the paper suggests a general path and idea for the collective forestry rights reform and institutional changes. The Study suggests that the reform of collective forestry rights institution is a process of institutional change and innovation, and follows the general path of institutional change. The First Action Group (Government) led institutional change and institutional innovation process. The Second Action Group (Farmers) are actors that through clarifying property rights, implementing management entities, regulating the transfer of forestry property rights, improving important aspect of reform such as matching polices, achieve the objectives of property rights reform and forestry development.
Thirdly, the paper taking Hubei Province as an example, using multiple regression model, quantitatively estimates the factors that affecting forestry economic growth in Hubei. Evidences show that the breeding of forest, forest products processing industries and logging affect evidently the development of forestry industry, but the contribution of forest products processing industry is the lowest. The results showed that the collective forestry property rights institutional reform is an important measure to optimize the structure of forestry production, so as to achieve the sustainable development of forestry.
Fourthly, the paper set up the theoretical analysis framework and mathematical analysis model for the institutional structure of collective forestry property rights, and put the factor of institutional change into math model, which reveals the main impact factors affecting the path and efficiency of collective forestry property rights institutional changes. According to the institutional function analysis, modern forestry property rights system can be divided into the internal system and external system. The study found that external system led by government, take equity and stability as its goal and implements the initial allocation of forestry property rights. Thesis draws into a mandatory institutional factor "θ", and gets an exponential function equation to describe the mandatory change of external institution of collective forestry rights. Internal system achieves the secondary allocation of forestry property rights, and takes the efficiency and incentive as its objective. It promoted by farmers and belongs to the induced institutional change. Thesis pulls into system-induced factor "φ", and inferred that the internal system of collective forestry rights changes with local social average capital just in per capita power function equation. The combination of two types of institutional change constitutes the theoretical analytical frameworks and builds a dynamic mathematical model for the collective forestry rights institution, which found the main factors affecting the path and efficiency of collective forestry rights institutional changes. This conclusion provides an important institutional analysis method for improving the policy systems of the collective forestry rights institutional reform, which is critical for decision-making and theory innovations.
Fifthly, the paper put social capital variables into the farmers' decision-making analysis model, and found the conditions of the optimal decision-making. The processes of "dividing the forestry property rights to the family" are autonomous decision-making, but the decision-making impact variables are different because of the difference of economic and social conditions and social capitals. Thesis sets up the mathematical model of farmers' decision-making, and describes the mathematical relations between the per social capital change rate and the mandatory regime factor "θ" and the system-induced factor "φ", which extends the explained border of institutional analysis model, and further expounds the relationships between social capital and the institution change paths of collective forestry property rights. The analysis methods and perspectives are rare in the present domestic researches, therefore, it is valuable and innovative.
Sixthly, the community forestry is an effective management institution for the collective forestry resource management. In order to reduce system costs of the technical implementation and improve the allocation efficiency of natural resources and social resources, the paper suggests that as a system arrangement—community forestry that use the forest resources sustainable and improve the ecological environment can make a good combination between technical measures of biological and socio-economic means. The participating approach of villagers involved in community forestry shows various trends, because of the impact of their different economic conditions and costs.
Seventhly, the reform and improvement of forestry policies are essential conditions of the collective forestry property rights institution reform. The study found because of defective forestry policies, the new forestry property rights institution will be conflict with other systems, reducing the efficiency of the institutional innovation. This paper suggests some important reform and improving measures, which is related to collective forestry property rights institutional reform, such as forest harvesting quota system, forestry tax and fee system, eco-efficient compensation system, woodland management, forestry management and other essential service system. These measures can effectually improve the policy system of the collective forestry property rights institutional reform.
Eighthly, the eco-forestry model can be the way of sustainable development of modern forestry. The paper insists that the ultimate goal in the reform of collective forestry property rights institution is to promote the sustainable development of modern forestry. The eco-forestry development model is the way to achieve this goal and the inherent power of eco-forestry sustainable development is the eco-economic productivity. From the point of combination of productivity factors, the paper describes the mechanism of eco-economic productivity, the operation model of the eco-economic project and proposes "four-policy-path", which greatly expands the current "three-system" forestry policy frameworks.
引文
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