水库移民安置区土地流转补偿研究
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摘要
兴修大中型水利水电工程不可避免地要征收大量农田,造成大量移民非自愿性搬迁。从新中国成立到现在的六十多年里,我国兴修水库产生的非自愿性移民达2500多万,水库移民问题已经成为影响水利水电工程建设的重要因素,移民是否能够得到妥善安置关系到工程的成败。我国经历了一个复杂曲折的过程,从单纯的安置性移民转变为开发性移民,开发性移民强调“以土地换土地”安置策略,让移民拥有一份属于自己的土地(施国庆等,2008),采取前期补偿、补助与后期扶持相结合的办法,保证移民生活水平达到或者超过原有水平。我国农地土地产权基本结构是集体享有土地所有权,农民享有物权性质的土地承包经营权,在所有权层面,法律禁止任何个人或组织买卖或者以其他形式非法转让土地,在承包经营权层面,农户获得的承包经营权受到法律保护,承包期内,发包方不得调整土地。在移民的承包地被淹没后,无论是后靠安置亦或是外迁安置,都涉及到占用安置区集体或者居民的土地问题。移民的到来意味着分享当地居民土地、水和其它资源,最明显的是造成安置区居民承包地数量减少和农业收入水平降低,这对安置区居民的福利造成了负面影响。根据“卡尔多—希克斯”社会福利改进标准,要实现安置区土地向移民转移过程的社会福利改进,就需要对利益受损的安置区集体和居民给予相应的补偿以弥补其福利损失。但是,现行法律政策对安置区居民的补偿问题鲜有考虑,更没有完善的补偿机制(张绍山,2007),忽视移民迁入对安置区居民政治、经济和文化方面的影响,是移民安置规划的一个重大失误。因此,在水库移民安置区土地流转补偿没有明确法律规定的背景下,界定安置区土地流转补偿的性质,在补偿性质清晰界定以及移民迁入对安置区集体和居民福利影响分析的基础上,研究对安置区集体和居民转出土地给予什么水平的补偿,才能使其福利水平不因移民的迁入而受到影响?在明确安置区土地流转补偿标准的前提下,如何构建水库移民安置区土地流转补偿机制?科学地界定补偿主体和受偿主体,明确安置区土地流转补偿的方式及资金来源,同时,在农村土地产权由集体和居民共享的格局下,如何在安置区集体和居民间以及安置区居民间分配补偿资金,才能兼顾安置区土地流转补偿的公平与效率?本文将围绕以上问题对水库移民安置区土地流转补偿进行系统的研究,主要内容包括七章,各章内容简介如下：
第一章：前言。提出水库移民安置区土地流转补偿研究这一课题的选题背景、研究目的和意义,对国内外研究现状进行评述,归纳出本文的研究思路、研究方法以及可能的创新。
第二章：水库移民安置区土地流转补偿及评述。对水库移民安置区土地流转的必要性、特点和安置区土地流转补偿的实质及现行补偿机理进行了理论分析。利用在紫坪铺水库、瀑布沟水电站、皂市水利枢纽工程、潘口水电站和南水北调中线工程移民区和安置区的调查问卷、访谈资料以及收集到的移民安置规划报告等资料,对水库移民安置区土地流转补偿标准和补偿资金分配的现状进行了阐述和评述。
第三章：水库移民安置区土地流转补偿性质的界定。运用理论分析法对国外水库移民安置区土地流转补偿性质是否适合我国实际进行了评述,同时,结合我国现行土地法律政策以及本文对集体和农户土地产权关系的界定,对学术界、政府及规划设计单位等认为安置区土地流转补偿性质属于土地征收和市场化土地流转两种观点进行了反驳。然后,本文通过引入土地产权边界的概念,分“土地产权边界内的移民安置”、“土地产权边界外的非成建制移民安置”和“土地产权边界外的成建制移民安置”三种情况,分别界定了水库移民安置区土地流转补偿的性质,并对安置区土地流转补偿的特殊性进行了分析。
第四章：水库移民安置区土地流转的福利影响及补偿与福利改进。在分析福利的概念及社会福利改进标准的基础上,运用实地调查资料,深入分析了安置区土地流转对安置区集体和居民、移民以及不同地方政府的福利影响。构建兴修水库淹没区土地征收和安置区土地流转两个阶段的社会福利模型,并通过假设条件有机地建立起两阶段之间内在联系,分析出水库移民安置区土地流转的社会福利改进标准。
第五章：水库移民安置区土地流转补偿定价及实证研究。通过对国内外农地价值评估方法的评述和对比分析,选择条件价值法(CVM)对安置区土地流转补偿定价进行实证研究。分别以四川省瀑布沟水电站、湖南省皂市水利枢纽工程、湖北省潘口水电站和南水北调中线工程四个水利水电工程移民安置区为例进行实证研究,测算出不同水库移民安置区土地流转补偿标准,并对土地流转补偿标准进行了价值分离。最后,对四个水利水电工程移民安置区土地流转补偿结果进行了对比分析,并根据测算出的补偿标准对水库移民安置区土地流转补偿执行标准进行了评价。
第六章：水库移民安置区土地流转补偿机制研究。明确水库移民安置区土地流转补偿机制的概念和构建原则,科学界定补偿主体和受偿主体,归纳出安置区土地流转补偿的可行方式和补偿资金来源。在此基础上,对安置区集体分得土地流转收益的比例问题进行了实证研究；基于公平和效率理论,分初次分配和再分配两阶段,阐述了不同土地流转方式下安置区居民之间的利益分配关系。
第七章：研究结论与讨论。总结全文,就如何进行水库移民安置区土地流转补偿提出相关政策和建议,探讨了水库移民安置土地流转过程中还需深入研究的有关重大问题,最后,对未来的水库移民安置模式进行了展望。
Not only do the construction of water conservancy and hydropower engineering inevitably lead to the inundation of farmlands, but also it will bring about the involuntary resettlement for lots of migrant. Since the foundation of People's Republic of China in 1949, the construction of water conservancy and hydropower engineering has brought about as many as 25 million involuntary migrants. Reservoir resettlement has become one of the important factors that influence water conservancy and hydropower engineering, thus, the migrants'resettlement status concerns success or failure of reservoir engineering. The arrangement of Chinese reservoir migration has experienced a changed process from the arrangement migration to development migration, the development migration mainly adopt the policy of "exchanging the land with the other one", in this way, each migrant will get one parcel of land, besides, it shall make the migrants'living level reach or exceed their former one by combining the early stage compensations and subsidies with follow-up support. Collective ownership is the basic structure of Chinese land property right, on the other hand, farmers enjoy the real right of land contracting management right, on the part of land ownership, the illegal land transference or transaction by anyone will be prohibited in the law. In terms of contracting management right, the contracting management right that farmers enjoyed will be protected by the law as well. During land contract period, the party giving out the contract shouldn't adjust land. After migrants'lands are inundated, whether "resettlement backward to new site" or "migration to some other places", it will touch on the collective's or local residents'land adjustment in resettlement area. The migrants'immigration means that local residents in resettlement area have to share resources which including land, water and some others with migrants, besides, immigration mainly causes farmland decrease and income diminution of local residents'. Given all that, immigration makes negative effect on local residents'welfare. When farmlands are being transferred from local residents to migrants, according to "Kaldor-Hicks" welfare criterion, in order to achieve welfare improvement, the compensation shall be made for the collective and local residents that suffer losses. However, current law and policy have never considered compensation for local residents' losses, more importantly, there is no perfect compensation mechanism as well. The inobservance of influence of migration on politics, economics and culture is a critical failure for resettlement planning. Therefore, the nature of land transference compensation in resettlement should be well defined under the condition that it is not stipulated by the law. On the basis of clear definition of compensation and the analysis of influence of migrants'immigration on collective's and local residents'welfare, this article try to analyze and determine a proper compensation for local residents'farmland transference so as not to reduce local residents'welfare? Under the condition that compensation criterion has been determined, how to establish the compensation mechanism of land transference in reservoir resettlement area? To scientifically define the subject and object of compensation and determine the compensation method、capital source is very important for resettlement. Meanwhile, under the condition that land property right is shared between collective and residents, how to allocate compensation funds between collective and local residents of resettlement area, or among these residents so as to give consideration to efficiency and fairness. In view of the problems mentioned above, this article conducts a systematic study on the land transference compensation of reservoir resettlement area. The main content is divided into seven part as following:
ChapterⅠ:Preface. In this chapter, topic background, research significance and target of this article are put forward first of all. Based on the summary of domestic and foreign research status, the research thought, method and possible innovation of this article are put forward.
ChapterⅡ:Introduction and comment of current status of land transference compensation in reservoir resettlement. This part mainly analyzes the necessity, characteristics of land transference in resettlement area, besides, the nature of land transference compensation and mechanism of current compensation are researched as well. On the basis of the interview data, resettlement plan and questionnaires for migrants and local residents from Zipingpu Reservoir, Pubugou, Zaoshi and Pankou Hydropower Station as well as Water Transfer Project from South to North(Middle Route), the current criterions on land transference compensation and allocation of compensation fund are elaborated.
ChapterⅢ:To define the nature of land transference compensation of reservoir resettlement area. Through applying theoretical analysis method, the problem of whether the nature of land transference compensation fit Chinese current condition is discussed. Currently, it is generally accepted by Chinese academic circle, government and planning & design research institute that the nature of land transference compensation are fall within land requisition and marketable land transference, in this article, combing current land law, the definition of land property right relation between collective and farmers, the thought mentioned above is refuted. And then, a definition about the boundary of land property right is established, what's more, the definition can be divided into three categories which including "Resettling the migrants in the original economic collective", "Resettling the migrants in the other economic collective, and no new collective are established", "Resettling the migrants in the other economic collective, and the migrant consist of a new collective", according to the characteristic of each category, the nature of land transference compensation is well defined, and the specialty of land transference compensation of resettlement area is analyzed too.
ChapterⅣ:The influence of land transference on welfare of different party in resettlement area, the compensation and welfare improvement of land transference. Based on the analysis about the definition of welfare as well as the criterion of social welfare improvement, combing the investigation data, this article researches into the influence of land transference on the migrants, economic collectives, local residents and local governments in each area. By establishing social welfare model at the stage of land requisition in inundation and land transference in resettlement area, and through establishing the internal relation between these two stages, this chapter analyzes the criterion of social welfare improvement in the process of land transference in reservoir resettlement area, in this way, it provides the theoretical premise for the empirical research of compensation determination of land transference in resettlement are.
ChapterⅤ:The compensation determination of land transference in resettlement area and its empirical research. Through comparing the domestic farmland valuation approach with the foreign one, this chapter conducts an empirical research about land transference compensation on the basis of CVM. Furthermore, taking the resettlement area of Pubugou, Zaoshi, Pankou Hydropower Station and Water Transfer Project from South to North (Middle Route) as example, it conducts the empirical research about the total value of land transference compensation in each resettlement area, and then it distinguishes the internal market value from non-market value on the basis of the total value. Finally, it compares the computing result of land compensation in these four resettlement areas with each other, besides, according to the computing result mentioned above, it evaluates the current criterion of land transference compensation.
ChapterⅥ:The mechanism of land transference compensation in reservoir resettlement area. In this chapter, the concept of land transference compensation mechanism in resettlement area and the principle for the mechanism establishment are defined first of all. And then, it scientifically defines the subjective and objective of land transference compensation and summarizes the feasible methods as well as fund source of land transference compensation in resettlement area. Based on these definition mentioned above, it makes a empirical study on the proportion of land transference compensation that collective of resettlement area gets. Based on the theory of efficiency and fairness, it elaborates the benefit allocation among local residents of resettlement area under different land transference approaches by two stages, which are primary allocation and reallocation.
ChapterⅦ:Conclusion and discussion. In this chapter, it mainly summarizes this article, furthermore, some suggestions and policies are put forward in terms of land transference compensation in reservoir resettlement area. And then, it discusses some other problems that need to be researched in the process of land transference. Finally, it gives the prospect about future reservoir resettlement model.
第一章：前言。提出水库移民安置区土地流转补偿研究这一课题的选题背景、研究目的和意义,对国内外研究现状进行评述,归纳出本文的研究思路、研究方法以及可能的创新。
第二章：水库移民安置区土地流转补偿及评述。对水库移民安置区土地流转的必要性、特点和安置区土地流转补偿的实质及现行补偿机理进行了理论分析。利用在紫坪铺水库、瀑布沟水电站、皂市水利枢纽工程、潘口水电站和南水北调中线工程移民区和安置区的调查问卷、访谈资料以及收集到的移民安置规划报告等资料,对水库移民安置区土地流转补偿标准和补偿资金分配的现状进行了阐述和评述。
第三章：水库移民安置区土地流转补偿性质的界定。运用理论分析法对国外水库移民安置区土地流转补偿性质是否适合我国实际进行了评述,同时,结合我国现行土地法律政策以及本文对集体和农户土地产权关系的界定,对学术界、政府及规划设计单位等认为安置区土地流转补偿性质属于土地征收和市场化土地流转两种观点进行了反驳。然后,本文通过引入土地产权边界的概念,分“土地产权边界内的移民安置”、“土地产权边界外的非成建制移民安置”和“土地产权边界外的成建制移民安置”三种情况,分别界定了水库移民安置区土地流转补偿的性质,并对安置区土地流转补偿的特殊性进行了分析。
第四章：水库移民安置区土地流转的福利影响及补偿与福利改进。在分析福利的概念及社会福利改进标准的基础上,运用实地调查资料,深入分析了安置区土地流转对安置区集体和居民、移民以及不同地方政府的福利影响。构建兴修水库淹没区土地征收和安置区土地流转两个阶段的社会福利模型,并通过假设条件有机地建立起两阶段之间内在联系,分析出水库移民安置区土地流转的社会福利改进标准。
第五章：水库移民安置区土地流转补偿定价及实证研究。通过对国内外农地价值评估方法的评述和对比分析,选择条件价值法(CVM)对安置区土地流转补偿定价进行实证研究。分别以四川省瀑布沟水电站、湖南省皂市水利枢纽工程、湖北省潘口水电站和南水北调中线工程四个水利水电工程移民安置区为例进行实证研究,测算出不同水库移民安置区土地流转补偿标准,并对土地流转补偿标准进行了价值分离。最后,对四个水利水电工程移民安置区土地流转补偿结果进行了对比分析,并根据测算出的补偿标准对水库移民安置区土地流转补偿执行标准进行了评价。
第六章：水库移民安置区土地流转补偿机制研究。明确水库移民安置区土地流转补偿机制的概念和构建原则,科学界定补偿主体和受偿主体,归纳出安置区土地流转补偿的可行方式和补偿资金来源。在此基础上,对安置区集体分得土地流转收益的比例问题进行了实证研究；基于公平和效率理论,分初次分配和再分配两阶段,阐述了不同土地流转方式下安置区居民之间的利益分配关系。
第七章：研究结论与讨论。总结全文,就如何进行水库移民安置区土地流转补偿提出相关政策和建议,探讨了水库移民安置土地流转过程中还需深入研究的有关重大问题,最后,对未来的水库移民安置模式进行了展望。
Not only do the construction of water conservancy and hydropower engineering inevitably lead to the inundation of farmlands, but also it will bring about the involuntary resettlement for lots of migrant. Since the foundation of People's Republic of China in 1949, the construction of water conservancy and hydropower engineering has brought about as many as 25 million involuntary migrants. Reservoir resettlement has become one of the important factors that influence water conservancy and hydropower engineering, thus, the migrants'resettlement status concerns success or failure of reservoir engineering. The arrangement of Chinese reservoir migration has experienced a changed process from the arrangement migration to development migration, the development migration mainly adopt the policy of "exchanging the land with the other one", in this way, each migrant will get one parcel of land, besides, it shall make the migrants'living level reach or exceed their former one by combining the early stage compensations and subsidies with follow-up support. Collective ownership is the basic structure of Chinese land property right, on the other hand, farmers enjoy the real right of land contracting management right, on the part of land ownership, the illegal land transference or transaction by anyone will be prohibited in the law. In terms of contracting management right, the contracting management right that farmers enjoyed will be protected by the law as well. During land contract period, the party giving out the contract shouldn't adjust land. After migrants'lands are inundated, whether "resettlement backward to new site" or "migration to some other places", it will touch on the collective's or local residents'land adjustment in resettlement area. The migrants'immigration means that local residents in resettlement area have to share resources which including land, water and some others with migrants, besides, immigration mainly causes farmland decrease and income diminution of local residents'. Given all that, immigration makes negative effect on local residents'welfare. When farmlands are being transferred from local residents to migrants, according to "Kaldor-Hicks" welfare criterion, in order to achieve welfare improvement, the compensation shall be made for the collective and local residents that suffer losses. However, current law and policy have never considered compensation for local residents' losses, more importantly, there is no perfect compensation mechanism as well. The inobservance of influence of migration on politics, economics and culture is a critical failure for resettlement planning. Therefore, the nature of land transference compensation in resettlement should be well defined under the condition that it is not stipulated by the law. On the basis of clear definition of compensation and the analysis of influence of migrants'immigration on collective's and local residents'welfare, this article try to analyze and determine a proper compensation for local residents'farmland transference so as not to reduce local residents'welfare? Under the condition that compensation criterion has been determined, how to establish the compensation mechanism of land transference in reservoir resettlement area? To scientifically define the subject and object of compensation and determine the compensation method、capital source is very important for resettlement. Meanwhile, under the condition that land property right is shared between collective and residents, how to allocate compensation funds between collective and local residents of resettlement area, or among these residents so as to give consideration to efficiency and fairness. In view of the problems mentioned above, this article conducts a systematic study on the land transference compensation of reservoir resettlement area. The main content is divided into seven part as following:
ChapterⅠ:Preface. In this chapter, topic background, research significance and target of this article are put forward first of all. Based on the summary of domestic and foreign research status, the research thought, method and possible innovation of this article are put forward.
ChapterⅡ:Introduction and comment of current status of land transference compensation in reservoir resettlement. This part mainly analyzes the necessity, characteristics of land transference in resettlement area, besides, the nature of land transference compensation and mechanism of current compensation are researched as well. On the basis of the interview data, resettlement plan and questionnaires for migrants and local residents from Zipingpu Reservoir, Pubugou, Zaoshi and Pankou Hydropower Station as well as Water Transfer Project from South to North(Middle Route), the current criterions on land transference compensation and allocation of compensation fund are elaborated.
ChapterⅢ:To define the nature of land transference compensation of reservoir resettlement area. Through applying theoretical analysis method, the problem of whether the nature of land transference compensation fit Chinese current condition is discussed. Currently, it is generally accepted by Chinese academic circle, government and planning & design research institute that the nature of land transference compensation are fall within land requisition and marketable land transference, in this article, combing current land law, the definition of land property right relation between collective and farmers, the thought mentioned above is refuted. And then, a definition about the boundary of land property right is established, what's more, the definition can be divided into three categories which including "Resettling the migrants in the original economic collective", "Resettling the migrants in the other economic collective, and no new collective are established", "Resettling the migrants in the other economic collective, and the migrant consist of a new collective", according to the characteristic of each category, the nature of land transference compensation is well defined, and the specialty of land transference compensation of resettlement area is analyzed too.
ChapterⅣ:The influence of land transference on welfare of different party in resettlement area, the compensation and welfare improvement of land transference. Based on the analysis about the definition of welfare as well as the criterion of social welfare improvement, combing the investigation data, this article researches into the influence of land transference on the migrants, economic collectives, local residents and local governments in each area. By establishing social welfare model at the stage of land requisition in inundation and land transference in resettlement area, and through establishing the internal relation between these two stages, this chapter analyzes the criterion of social welfare improvement in the process of land transference in reservoir resettlement area, in this way, it provides the theoretical premise for the empirical research of compensation determination of land transference in resettlement are.
ChapterⅤ:The compensation determination of land transference in resettlement area and its empirical research. Through comparing the domestic farmland valuation approach with the foreign one, this chapter conducts an empirical research about land transference compensation on the basis of CVM. Furthermore, taking the resettlement area of Pubugou, Zaoshi, Pankou Hydropower Station and Water Transfer Project from South to North (Middle Route) as example, it conducts the empirical research about the total value of land transference compensation in each resettlement area, and then it distinguishes the internal market value from non-market value on the basis of the total value. Finally, it compares the computing result of land compensation in these four resettlement areas with each other, besides, according to the computing result mentioned above, it evaluates the current criterion of land transference compensation.
ChapterⅥ:The mechanism of land transference compensation in reservoir resettlement area. In this chapter, the concept of land transference compensation mechanism in resettlement area and the principle for the mechanism establishment are defined first of all. And then, it scientifically defines the subjective and objective of land transference compensation and summarizes the feasible methods as well as fund source of land transference compensation in resettlement area. Based on these definition mentioned above, it makes a empirical study on the proportion of land transference compensation that collective of resettlement area gets. Based on the theory of efficiency and fairness, it elaborates the benefit allocation among local residents of resettlement area under different land transference approaches by two stages, which are primary allocation and reallocation.
ChapterⅦ:Conclusion and discussion. In this chapter, it mainly summarizes this article, furthermore, some suggestions and policies are put forward in terms of land transference compensation in reservoir resettlement area. And then, it discusses some other problems that need to be researched in the process of land transference. Finally, it gives the prospect about future reservoir resettlement model.
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