农地城市流转中失地农民多维福利影响因素和测度研究
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摘要
农地城市流转是人类社会发展过程中,土地资源竞争配置的结果,也是城市化进程的必经之路。一方面,农地城市流转在满足城市土地需求的同时,促进了经济的发展和社会的进步。另一方面,无序的流转也带来了一系列不可逆转的生态和社会问题。由于土地用途改变而产生的巨额利益的再分配问题,引发了流转中不同利益群体福利状态的剧烈变化。其中,在农地城市流转中处于弱势地位的失地农民群体,其福利损失十分突出。因此,针对农地城市流转中失地农民福利的问题进行研究显得尤为必要。在我国城市化不断加速发展的前提下,可以肯定在未来的较长的一段时间内失地农民群体的数量将会急剧增加。若我们不对其福利的状态进行一个全面、规范和科学的测度分析,不提供有效的福利补偿的制度和政策保障,那么失地农民与非失地农民,失地农民与市民之间,以及其他流转主体之间的福利水平将会继续产生巨大的差异和隔阂,由此产生的不公平的问题,也将危及社会的稳定和发展。
在国外规范的福利研究分析是制定公共政策机制和检验改革效果的基础。对于机制改革而言,好的机制设计追求的是达到社会的帕累托最优,其改进的难点不是在于如何去完成这个制度,而是如何去确认主体的偏好。结合本研究,如何根据我国特定区域的经济社会发展水平,对失地农民群体的不同福利偏好,进行科学的分析和测度研究,对探索机制的优化方向有着积极的现实意义。鉴于此,本研究主要尝试回答下列问题：①如何以福利经济学、公平正义为基础,联系我国农地城市流转中失地农民多维福利现状,构建一个科学的失地农民多维福利分析的框架和理论模型；②如何通过实证研究,验证和测度福利以及各个影响因素之间的相互关系；③探寻农地城市流转相关福利问题,制度改进和政策优化的方向。
为了实现上述目标,全文主要从以下四个部分进行研究：
论文的第一部分包含1-3章,是本文的理论基础。首先对本文涉及的福利经济学、公平正义理论、以及农地城市流转的相关理论进行梳理和讨论。然后,在实地问卷调查和相关部门资料收集的基础上,获取大量实地农民相关的一手数据,从纵向和横向两个方面对失地农民多维福利状态的进行比较分析,较为全面的对失地农民的福利现状有一个全面和清晰的认知。通过文献的阅读分析,选择森的可行性能力理论作为本研究的理论分析主体框架。结合调查认知,研究认为健康状态、居住状态、社会参与支持、工作状态、以及补偿公平是影响失地农民多维福利状态的五个主要因素。随后,针对影响因素与福利之间,因素与因素之间的相关影响关系和路径的提出假设,从而构建了系统而完整的失地农民多维福利影响因素的理论分析模型。
第二部分包括4-5章节,是文章的实证环节。根据理论模型所要解决的问题,进行针对性的问卷设计,从问卷的内容、问卷的措辞、问题的顺序、选项的方式等方面进行考虑。此外,还对调查的目标群体、调查方式、抽样方式、样本量等问题进行实证设计。在大规模的调查之前,进行小规模预调查,发现并修改在问卷设计和调查考虑中没有考虑周全的地方,最后展开大规模调查获取原始调查数据。在获取原始数据之后,对原始数据和问卷进行数学上的处理包括：剔除无效样本、构建更有代表性的新样本、重新定义变量、变量提纯处理、调查问卷的信度和效度分析以及样本正态分析等。最终得到精简的且具有较高可信度和效度的失地农民多维福利影响因素调查问卷,为后续其他区域的实证调查研究打下良好的基础。随后,将数据代入到AMOS7.0中进行运算,经过2次模型修正,得到模型的最终结果。模型的结果显示：不考虑间接因素的影响各因素对于福利的影响大小依次为：补偿公平(0.50)、工作状态(0.47)、居住状态(0.11)、健康状态(0.03)、社会参与支持(0.00)。考虑间接和直接因素后的排序为：工作状态效果(0.705),补偿公平(0.50),居住状态(0.185)、社会参与支持(0.08)和健康状态(0.03)。
论文的第三部分是第6章,在此章节中笔者在对现行机制分析的基础上,结合实证研究的结果,提出有针对性的补偿机制改革建议,特别是建议要根据失地农民的偏好拓展补偿的形式,强调进行公平的补偿是提高农民福利的有效途径。在论文的后部,对农地城市流转中的一些行为和优化政策进行模拟、解释和求解,通过数学和经济学分析的手段,证明所提出的政策改进的有效性和可行性。
最后第四部分是第7章,即研究的结论、不足与展望。
'Rural-urban Land conversion is the result of land resources competitive allocation in the process of human social and economic development, it is the only way of urbanization. On the one hand, Rural-urban land conversion meet the demand for urbanization, and also Promoted the economic and social development.On the other hand, disordered conversion also brings a series of irreversible ecological and social problems. It is causing dramatic welfare state changes in different interest groups, because of the enormous benefits of redistribution in Rural-urban land conversion, especially the disadvantaged groups of landless peasants. So is very necessary for us to study the welfare of landless peasants in Rural-urban Land conversion. And, have no doubt that the number of landless peasants will be increased dramatically in the future, under the background of the accelerated development of urbanization in China. It would be a huge difference and estrangement between the landless peasants, farmers,citizens, and any other subjects in Rural-urban Land conversion, if we do not conduct a comprehensive, standardized, scientific analysis measurement in welfare, do not provide effective protection of systems and policies in compensation, and of the resulting unfairness, will also demage the social devolpment and stability.
In foreign countries, the build of public policy and Reformatory effect were bases on the standardized study of welfare. The pursuit of a good system design is to achieve social Pareto optimality; the key point is not how to accomplish, but how to identify the main preferences.In our reaserch, under the specific region's economic and social development, to carry out scientific analysis and measurement about landless peasants'different welfare,played a great practical significance role in real word.Thus,the purpose of this thesis is attempt to answer the following questions:1) how to use welfare economics, equity and justice thesis and contact of the welfare status of landless peasants in rural-urban land, to build a suitable analysis and theoretical models framework for landless peasants'Multidimensional Welfare; 2) how to use empirical research to validate and measure welfare and the various relationships between factors; 3) seeking the direction of policy improvement and optimization of rural-urban land-related issues.
In order to fulfill the purposes, the dissertation is composed by four parts:
The first part of the dissertation (including chaptersl,2,3), is the theoretical basis. First of all, the related concepts of efficiency are revisited and discussed. And then basing upon the field survey and collecting data in the relevant departments,we got a large number of first-hand data about landless peasants'Multidimensional Welfare, and then from both vertical and horizontal aspects to comparative analysis thier welfare state to have a clear understanding about them. Choose Sen's Capability approach as the main framework of the theoretical analysis in study, through a lot of literatures review. Studies suggest that health status, living status, social participation support, job status, and fair compensation of landless peasants are five main factors of the Multidimensional Welfare state. And then, proposed the path hypothesis between the welfare and the factors, and also the way between factors, in order to build a complete theoretical analysis model of landless peasants'Multidimensional Welfare.
The Second part of the dissertation (including chapters4,5), it is empirical research part. According to the theoretical model, we have a targeted questionnaire design, from the content, words, order, options and other aspects. In addition, we also consider the target group for investigation, survey methods, sampling methods, sample size and other empirical design. Before large-scale survey carried out small-scale pilot study to identify and modify the not well-considered place in questionnaire design, at the end take a large-scale survey, to obtain the original survey data. After the survey, we have a treatment including original data and the questionnaire:invalid samples removed, building a more representative sample, re-define the variable, the variable processing and refining the questionnaire reliability and validity analysis, and normal sample analysis.Finally, get lean and have high reliability and validity questionnaire, and lay a good groundwork for the subsequent empirical research in other regions. Subsequently, the data were substituted into the AMOS7.0 in operation, after the 2nd amendment, get the final result. The results show that without considered the indirect impact, the factors for the well-being in the order:fair compensation (0.50), work status (0.47), living status (0.11), health (0.03), and social participation support (0.00). Consider the indirect and direct factors the order is: work status effect (0.705), fair compensation (0.50), living status (0.185), social participation support (0.08) and health (0.03).
The third part of the dissertation i.e., chapters 6, the author proposed a targeted Reform recommendations, base on analyzes the existing mechanisms and combination empirical research findings. It emphasizing fair compensation is an effective way to improve farmers'welfare, especially proposals to expand the form of compensation under the preferences of landless peasants. In the end of the dissertation, we simulate, interpret and solute, some of the behavior and optimization policies in the Rural-urban land conversation. To testify the effectiveness and feasibility of the proposed policy we mentioned above, by use of mathematical and economic way.
The last part of the dissertation i.e., chapters7, is the conclusion and discussion.
在国外规范的福利研究分析是制定公共政策机制和检验改革效果的基础。对于机制改革而言,好的机制设计追求的是达到社会的帕累托最优,其改进的难点不是在于如何去完成这个制度,而是如何去确认主体的偏好。结合本研究,如何根据我国特定区域的经济社会发展水平,对失地农民群体的不同福利偏好,进行科学的分析和测度研究,对探索机制的优化方向有着积极的现实意义。鉴于此,本研究主要尝试回答下列问题：①如何以福利经济学、公平正义为基础,联系我国农地城市流转中失地农民多维福利现状,构建一个科学的失地农民多维福利分析的框架和理论模型；②如何通过实证研究,验证和测度福利以及各个影响因素之间的相互关系；③探寻农地城市流转相关福利问题,制度改进和政策优化的方向。
为了实现上述目标,全文主要从以下四个部分进行研究：
论文的第一部分包含1-3章,是本文的理论基础。首先对本文涉及的福利经济学、公平正义理论、以及农地城市流转的相关理论进行梳理和讨论。然后,在实地问卷调查和相关部门资料收集的基础上,获取大量实地农民相关的一手数据,从纵向和横向两个方面对失地农民多维福利状态的进行比较分析,较为全面的对失地农民的福利现状有一个全面和清晰的认知。通过文献的阅读分析,选择森的可行性能力理论作为本研究的理论分析主体框架。结合调查认知,研究认为健康状态、居住状态、社会参与支持、工作状态、以及补偿公平是影响失地农民多维福利状态的五个主要因素。随后,针对影响因素与福利之间,因素与因素之间的相关影响关系和路径的提出假设,从而构建了系统而完整的失地农民多维福利影响因素的理论分析模型。
第二部分包括4-5章节,是文章的实证环节。根据理论模型所要解决的问题,进行针对性的问卷设计,从问卷的内容、问卷的措辞、问题的顺序、选项的方式等方面进行考虑。此外,还对调查的目标群体、调查方式、抽样方式、样本量等问题进行实证设计。在大规模的调查之前,进行小规模预调查,发现并修改在问卷设计和调查考虑中没有考虑周全的地方,最后展开大规模调查获取原始调查数据。在获取原始数据之后,对原始数据和问卷进行数学上的处理包括：剔除无效样本、构建更有代表性的新样本、重新定义变量、变量提纯处理、调查问卷的信度和效度分析以及样本正态分析等。最终得到精简的且具有较高可信度和效度的失地农民多维福利影响因素调查问卷,为后续其他区域的实证调查研究打下良好的基础。随后,将数据代入到AMOS7.0中进行运算,经过2次模型修正,得到模型的最终结果。模型的结果显示：不考虑间接因素的影响各因素对于福利的影响大小依次为：补偿公平(0.50)、工作状态(0.47)、居住状态(0.11)、健康状态(0.03)、社会参与支持(0.00)。考虑间接和直接因素后的排序为：工作状态效果(0.705),补偿公平(0.50),居住状态(0.185)、社会参与支持(0.08)和健康状态(0.03)。
论文的第三部分是第6章,在此章节中笔者在对现行机制分析的基础上,结合实证研究的结果,提出有针对性的补偿机制改革建议,特别是建议要根据失地农民的偏好拓展补偿的形式,强调进行公平的补偿是提高农民福利的有效途径。在论文的后部,对农地城市流转中的一些行为和优化政策进行模拟、解释和求解,通过数学和经济学分析的手段,证明所提出的政策改进的有效性和可行性。
最后第四部分是第7章,即研究的结论、不足与展望。
'Rural-urban Land conversion is the result of land resources competitive allocation in the process of human social and economic development, it is the only way of urbanization. On the one hand, Rural-urban land conversion meet the demand for urbanization, and also Promoted the economic and social development.On the other hand, disordered conversion also brings a series of irreversible ecological and social problems. It is causing dramatic welfare state changes in different interest groups, because of the enormous benefits of redistribution in Rural-urban land conversion, especially the disadvantaged groups of landless peasants. So is very necessary for us to study the welfare of landless peasants in Rural-urban Land conversion. And, have no doubt that the number of landless peasants will be increased dramatically in the future, under the background of the accelerated development of urbanization in China. It would be a huge difference and estrangement between the landless peasants, farmers,citizens, and any other subjects in Rural-urban Land conversion, if we do not conduct a comprehensive, standardized, scientific analysis measurement in welfare, do not provide effective protection of systems and policies in compensation, and of the resulting unfairness, will also demage the social devolpment and stability.
In foreign countries, the build of public policy and Reformatory effect were bases on the standardized study of welfare. The pursuit of a good system design is to achieve social Pareto optimality; the key point is not how to accomplish, but how to identify the main preferences.In our reaserch, under the specific region's economic and social development, to carry out scientific analysis and measurement about landless peasants'different welfare,played a great practical significance role in real word.Thus,the purpose of this thesis is attempt to answer the following questions:1) how to use welfare economics, equity and justice thesis and contact of the welfare status of landless peasants in rural-urban land, to build a suitable analysis and theoretical models framework for landless peasants'Multidimensional Welfare; 2) how to use empirical research to validate and measure welfare and the various relationships between factors; 3) seeking the direction of policy improvement and optimization of rural-urban land-related issues.
In order to fulfill the purposes, the dissertation is composed by four parts:
The first part of the dissertation (including chaptersl,2,3), is the theoretical basis. First of all, the related concepts of efficiency are revisited and discussed. And then basing upon the field survey and collecting data in the relevant departments,we got a large number of first-hand data about landless peasants'Multidimensional Welfare, and then from both vertical and horizontal aspects to comparative analysis thier welfare state to have a clear understanding about them. Choose Sen's Capability approach as the main framework of the theoretical analysis in study, through a lot of literatures review. Studies suggest that health status, living status, social participation support, job status, and fair compensation of landless peasants are five main factors of the Multidimensional Welfare state. And then, proposed the path hypothesis between the welfare and the factors, and also the way between factors, in order to build a complete theoretical analysis model of landless peasants'Multidimensional Welfare.
The Second part of the dissertation (including chapters4,5), it is empirical research part. According to the theoretical model, we have a targeted questionnaire design, from the content, words, order, options and other aspects. In addition, we also consider the target group for investigation, survey methods, sampling methods, sample size and other empirical design. Before large-scale survey carried out small-scale pilot study to identify and modify the not well-considered place in questionnaire design, at the end take a large-scale survey, to obtain the original survey data. After the survey, we have a treatment including original data and the questionnaire:invalid samples removed, building a more representative sample, re-define the variable, the variable processing and refining the questionnaire reliability and validity analysis, and normal sample analysis.Finally, get lean and have high reliability and validity questionnaire, and lay a good groundwork for the subsequent empirical research in other regions. Subsequently, the data were substituted into the AMOS7.0 in operation, after the 2nd amendment, get the final result. The results show that without considered the indirect impact, the factors for the well-being in the order:fair compensation (0.50), work status (0.47), living status (0.11), health (0.03), and social participation support (0.00). Consider the indirect and direct factors the order is: work status effect (0.705), fair compensation (0.50), living status (0.185), social participation support (0.08) and health (0.03).
The third part of the dissertation i.e., chapters 6, the author proposed a targeted Reform recommendations, base on analyzes the existing mechanisms and combination empirical research findings. It emphasizing fair compensation is an effective way to improve farmers'welfare, especially proposals to expand the form of compensation under the preferences of landless peasants. In the end of the dissertation, we simulate, interpret and solute, some of the behavior and optimization policies in the Rural-urban land conversation. To testify the effectiveness and feasibility of the proposed policy we mentioned above, by use of mathematical and economic way.
The last part of the dissertation i.e., chapters7, is the conclusion and discussion.
引文
张德元,香港中文大学中国研究中心讨论稿,2004。
温铁军指出：现行农村土地产权改革的底线是不搞土地私有化。
在国外实行的较多的有土地发展权转移(TDRs)、土地发展权征购(PDRs)、乡村景观资助计划(CSS)、农业环境资助政策(AEPs)等等。这些机制为促进当地的生态保护、农田景观和栖息地以及农业的生产上起到了积极的作用。
市场价值测算方法：包括收益还原法,成本逼近法,土壤潜力估价法等
②公平市场价值可以被定义为：双方在无任何强迫下,经验丰富、信息灵通的买方愿意付给自愿出售其不动产(包括十地和建筑物等被认为是不动产一部分的其他附属物)的卖方的价格。
①Sehwarzwalder, B. "Compulsory Acquisition, in Legal Impediments to Effective Rural Land Relations in Eastern Europe and Centeral Asia." World bank technical paper 436.
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温铁军指出：现行农村土地产权改革的底线是不搞土地私有化。
在国外实行的较多的有土地发展权转移(TDRs)、土地发展权征购(PDRs)、乡村景观资助计划(CSS)、农业环境资助政策(AEPs)等等。这些机制为促进当地的生态保护、农田景观和栖息地以及农业的生产上起到了积极的作用。
市场价值测算方法：包括收益还原法,成本逼近法,土壤潜力估价法等
②公平市场价值可以被定义为：双方在无任何强迫下,经验丰富、信息灵通的买方愿意付给自愿出售其不动产(包括十地和建筑物等被认为是不动产一部分的其他附属物)的卖方的价格。
①Sehwarzwalder, B. "Compulsory Acquisition, in Legal Impediments to Effective Rural Land Relations in Eastern Europe and Centeral Asia." World bank technical paper 436.
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