农村土地流转：基于现代经济学范式的理论分析与实证研究
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摘要
家庭联产承包责任制的实施,将土地使用权从所有权中剥离出来,对农村土地经营收益分配关系进行了调整,这是人类土地制度的创举,是中国特色社会主义最重要的一项基本制度,它极大地调动了亿万农民的生产积极性,有力地促进了农村和整个经济的繁荣。但也要看到,经过一个时期的快速增长后,这种以均田制为特征的小规模一家一户分散经营暴露出很多问题,土地细碎化阻碍了农业生产效率的提高和农业科技的广泛应用,严重制约了农业经济的发展。因此,在现有土地制度框架下,建立灵活有效的土地流转机制,优化土地资源配置,充分发挥土地的经济要素价值,促进农业和农村经济发展,已经成为当前我国经济发展的一个关键问题。
在各地积极探索实践的基础上,我国学术界对土地流转进行了大量的研究和探讨,取得了很多有价值的成果。但是,这些研究主要集中于土地流转存在的问题、影响因素、各因素的影响程度以及对策措施等方面。然而,为了更好的研究土地流转行为,不仅需要研究土地流转的影响因素及影响程度,更需要从本质上研究和了解土地流转的特征、流转过程中各个利益主体的决策动机和过程以及土地流转的定价问题等。因此,本文引入空间计量经济学和讨价还价原理的有关研究成果,对我国土地流转的特征,土地流转中各个利益主体之间的博弈关系进行研究,构建恰当的经济数学模型,利用严格的数学推导,对土地流转的最优机制设计、土地流转定价模型等问题进行了较全面和深入的分析,从理论和实证上都得出一些重要的结论。研究的内容扩展了土地流转的许多相关结论,为土地流转的机制设计和构建提供了现实性的启示和指导。主要研究内容包括:
首先,归纳总结了土地流转的相关研究理论,作为深入理论分析的前提。整理和述评了土地流转的研究成果,包括我国土地流转概述、国外土地流转研究综述以及我国土地流转相关研究三个方面,并对比分析了我国土地流转与国外土地流转的不同。在分析我国土地流转特点的基础上,采纳土地流转是土地使用权的流动和转让,即在农村土地所有权为集体所有的前提下,农民根据自己的意愿转让其所承包土地的使用权的观点,并在此观点基础上展开分析。
其次,引入空间计量经济学,建立土地流转程度指标,研究我国土地流转的空间机理。研究表明,地区经济发展越好、政府关注度越高,越有利于地区土地流转;科研经费从最初对土地流转不显著转变为显著支撑,也表明了近几年科技进步、技术创新在地区土地流转中越发重要;固定资产投入结构的不协调,对土地流转起一定遏制作用。而空间集聚检验结果表明,我国地区土地流转在空间上存在明显依赖,由于受集聚区域之间缺乏适当交流的影响,我国土地流转整体上呈现显著的不趋同,地域差异依然存在,并且从2005年开始土地流转集聚特性越发明显。
再次,引入讨价还价原理,分析土地流转中中央政府、地方政府、投资者和农民之间的最优利益机制问题。研究表明,如果农户和投资者进行直接的讨价还价,投资者之间的竞争,必然拉高投资者给予农户的补偿价格,导致投资收益过低,从而降低投资者的积极性。在上述博弈结论基础上,引入公平理论,建了兼顾公平和效率的地方政府支付函数,分析具有公平效率的地方政府与农户进行讨价还价博弈的情况。模型分析表明,由具有公平和效率的地方政府首先与农户进行土地流转讨价还价,再将土地流转给投资者,则可适当兼顾投资者和农户的利益,并存在较大政策空间。
第四,在分析我国土地流转特点的基础上,结合目前土地流转定价模型存在的问题和影响因素,构建了包含土地经营权转移租金、最低生活保障、土地增值收益和转让土地后农民再就业培训费用在内的具有社会福利性质的土地流转定价模型。同时,运用实证方法分析土地流转价格的影响因素,分析结果表明,城镇化率、通货膨胀率、土地收益、农民固定资产对土地价值有显著正向影响,这与土地流转因素相吻合,基于社会保障土地流转定价模型具有一定的合理性。
第五,以三峡库区唯一的少数民族自治县——石柱县为例,结合调查问卷的形式,实际研究三峡库区土地流转问题。结果表明,城镇化发展促进了土地的流转,而乡镇离主城区的距离、山区面积比和农民的态度对土地流转有遏制性。另外,以调查问题卷为依据,结合第五章的土地定价模型影响因素,分析各种因素对土地流转意愿的影响。分析结果表明,土地租金、社会保障、选择价值和就业问题都是影响农民土地流转意愿的重要因素,土地租金、社会保障和就业问题与流转意愿呈正相关,而选择价值与土地流转意愿呈负相关。
本文的主要研究结论和创新之处在于:
第一,引入空间计量经济学,分析我国土地流转现状和机理。构建了全新度量土地流转程度指标,通过空间计量模型分析土地流转与环境因素之间的相互影响机制。运用新的方法,从整体的角度探讨了我国土地流转的特征,并得出了具有现实意义的结论。
第二,将讨价还价理论引入土地流转机制,探讨土地流转过程中各个利益主体利益分配的最优均衡解。通过对经典讨价还价博弈模型进行修改,构建了兼顾公平和效率的地方政府支付函数,分析具有公平效率的地方政府与农户进行讨价还价博弈的情况,提出地方政府是土地流转顺利实现的关键的观点。
第三,基于我国土地不仅是生产资料,还具有社会保障功能的特点,结合目前土地流转定价模型存在的问题和影响因素,构建了包含土地经营权转移租金、最低生活保障、土地增值收益和转让土地后农民再就业培训费用在内的具有社会福利性质的土地流转定价模型,为制定更符合现实的土地流转价格提供了方法指导。
The implementation of Household Responsibility System(HRS), which peels off the land-use right from the land property and adjust the relationship of income distribution of rural land, is a pioneering system of land right and the most important system and bascial characteristics of Chinese Socialism. It greatly trigger the production enthusiasm of hundreds of millions of farmers, effectively promotes the prosperity of rural areas and the economy. At the same time, it also should be noted that after a period of rapid growth, small-scale decentralized mangement, which is characterized by land equalization policy, exposes a series of problems.The fragmentation of land hinderes the efficiency of agricultural production and prevent scale application of agricultural science and technology, especially hamperes the development of agricultural economy. Therefore, depending on the framework of the land system, establishing flexible and effective mechanism for land circulation, optimizing the allocation of land resources, developing the economic factors of land values, promoting agricultural and rural economic development, become the key issue to China's economic development.
On the basis of exploration and practice in most places of China, a lot of research foucus and study on the topic of land circulation and make great improvement. The problems is tha most of these studies mainly focuse on the problems of land circulationing, influencing factors, the influencing degree of various factors and countermeasures and so on. In order to study the behavior of land circulation deeper, we also need to research and study the essence of the characteristics of land circulation, the decision-making motivation and processe of pricing issuees between different stakeholders in the land circulation. Therefore, based on the introduction of the relevant research results of spatial econometrics and bargaining theory, this paper studies the characteristics of land circulation and the relationship between the various stakeholders, analyzes the optimal mechanism of land circulation and the land circulation pricing issue by building an appropriate economic mathematical model, draws some important conclusions from the theory and practice aspects. The content of this paper extends several relevant conclusions of land circulation, provides feasibility inspiration and guidance for mechanism design and construction of land circulation.The main research content goes as followes
1. As the premise of in-depth theoretical analysis, this paper firstly summarize the relevant theory of land circulation, collate and review the research results of land circulation, including the overview of China’s land circulation and the relevant research of land circulation at home and abroad, concluded the differences between Chian and foreign countries by comparative analysis. On the basis of the analysis of the characteristics of land circulation, we get that land circulation is the fluxion and alienation of land-use right, it means that farmers could transfer the land-use right of their contract cultivate land to anyone if they wish, and make a deep investigateon this viewpoint.
2. Introduced spatial econometrics, established index of the land circulation degree, and studyed spatial mechanism of land circulation. Research have shown that the better economic development and the more government attention, the more conductive to regional land circulation; Research funds also have significant influence on land circulation in recent years,which also shows that scientific and technological progress, technological innovation become more and more important in regional land circulation; increasing fixed investment will increase the fixed capital in rural areas, and then increase the value of land attachment capital stock, thus play a deterrent effect on the land circulation. The spatial clustering test results show that because of lack of proper commuication, the regional land circulation have significant differences, and the characteristics of gather land circulation become more and more clear from 2005.
3. Introduced bargaining theory, analyzed the optimal mechanism of land circulation among central government, local government, investors and farmers. Research shows that if farmers and investors bargain over the price directly, the outcome of the competition between investors is that farmers must be given a higher compensation price by investors, which will lead to low investment income, thereby reduce the enthusiasm of investors. Based on the conclusion of the above game, introduced equity theory, established local government payoff function which balabcing equity and efficiency, analyzed the situation that the game is played with a fair and efficient local government and farmers. The analysis result of the model shows that if a fair and efficient local government bargain with the farmers first, then circulation land to investors, can be an appropriate balance of the interests between investors and farmers, also there is more policy space.
4. Based on the analysis of the land circulation characteristics and the current problems and influencing factors of the land circulation pricing model, established a land circulation pricing model with the nature of social welfare which containing the rent of land-use right circulation, subsistence allowance, land value-added benefits and the new skill training cost of farmers. Meanwhile, study on the influencing factors of land circulation price by empirical analysis.The results showed that the urbanization rate, inflation, land revenue and the farmers’fixed capital have significant positive impact on land value, which is the factors that have been exxpected, which implies the land circulation pricing model based on social sucurity is certain rationale.
5. Taked the only ethnic minority autonomous county of the Three Gorges Reservoir Area - Shizhu as an example, depending on the investigation of questionnaire, this paper studied the land circulation problem in Three Gorges Reservoir Area. The results showed that the development of urbanization promote the land circulation, while the factors of distance from rural to main urban areas, mountainous area ratio and the attitude of farmers play a deterrent effect on the land circulation. At the same time, the paper analyzed various factors on the land circulation intention based on the results of the questionnaire and the influcing factors of land pricing model. The results showed that land rents price, social security, value choice and rate of employment are important factors to influce famers’intention on land circulation. These factors are positive correlated with circulation intention, while value choice is negative correlation.
The main research conclusions and innovations are:
1. Analyzed the current situation and mechanism of land circulation by introducing spatial econometrics. Constructed new indexes to measure the degree of land circulation, and analyzed the interactive mechanism between land circulation and environmental factors by spatial econometric model. Investigated the characteristics of land circulation from an overall perspective by using new methods, and drew some feasibility conclusions.
2. Introduced bargaining theory into land circulation mechanism, and investigated the optimal equilibrium solution of different stakeholders’income distribution in the process of land circulation. Through modifying the classical bargaining game model, established local government payoff function which balancing equity and efficiency, analyzed the situation that the game is played with a fair and efficient local government and farmers, put forward a viewpoint that the local government is the key to successfully implement land circulation.
3. On the basis of the characteristics that land is not only productive property, but also has the function of social security, combining the current problems and influencing factors of the land circulation pricing model, established a land circulation pricing model with social welfare factors which containing the rent of land-use right circulation, subsistence allowance, land value-added benefits and the new skill training cost of farmers, provided the guidance to frame a more realistic land circulation mechanism.
在各地积极探索实践的基础上,我国学术界对土地流转进行了大量的研究和探讨,取得了很多有价值的成果。但是,这些研究主要集中于土地流转存在的问题、影响因素、各因素的影响程度以及对策措施等方面。然而,为了更好的研究土地流转行为,不仅需要研究土地流转的影响因素及影响程度,更需要从本质上研究和了解土地流转的特征、流转过程中各个利益主体的决策动机和过程以及土地流转的定价问题等。因此,本文引入空间计量经济学和讨价还价原理的有关研究成果,对我国土地流转的特征,土地流转中各个利益主体之间的博弈关系进行研究,构建恰当的经济数学模型,利用严格的数学推导,对土地流转的最优机制设计、土地流转定价模型等问题进行了较全面和深入的分析,从理论和实证上都得出一些重要的结论。研究的内容扩展了土地流转的许多相关结论,为土地流转的机制设计和构建提供了现实性的启示和指导。主要研究内容包括:
首先,归纳总结了土地流转的相关研究理论,作为深入理论分析的前提。整理和述评了土地流转的研究成果,包括我国土地流转概述、国外土地流转研究综述以及我国土地流转相关研究三个方面,并对比分析了我国土地流转与国外土地流转的不同。在分析我国土地流转特点的基础上,采纳土地流转是土地使用权的流动和转让,即在农村土地所有权为集体所有的前提下,农民根据自己的意愿转让其所承包土地的使用权的观点,并在此观点基础上展开分析。
其次,引入空间计量经济学,建立土地流转程度指标,研究我国土地流转的空间机理。研究表明,地区经济发展越好、政府关注度越高,越有利于地区土地流转;科研经费从最初对土地流转不显著转变为显著支撑,也表明了近几年科技进步、技术创新在地区土地流转中越发重要;固定资产投入结构的不协调,对土地流转起一定遏制作用。而空间集聚检验结果表明,我国地区土地流转在空间上存在明显依赖,由于受集聚区域之间缺乏适当交流的影响,我国土地流转整体上呈现显著的不趋同,地域差异依然存在,并且从2005年开始土地流转集聚特性越发明显。
再次,引入讨价还价原理,分析土地流转中中央政府、地方政府、投资者和农民之间的最优利益机制问题。研究表明,如果农户和投资者进行直接的讨价还价,投资者之间的竞争,必然拉高投资者给予农户的补偿价格,导致投资收益过低,从而降低投资者的积极性。在上述博弈结论基础上,引入公平理论,建了兼顾公平和效率的地方政府支付函数,分析具有公平效率的地方政府与农户进行讨价还价博弈的情况。模型分析表明,由具有公平和效率的地方政府首先与农户进行土地流转讨价还价,再将土地流转给投资者,则可适当兼顾投资者和农户的利益,并存在较大政策空间。
第四,在分析我国土地流转特点的基础上,结合目前土地流转定价模型存在的问题和影响因素,构建了包含土地经营权转移租金、最低生活保障、土地增值收益和转让土地后农民再就业培训费用在内的具有社会福利性质的土地流转定价模型。同时,运用实证方法分析土地流转价格的影响因素,分析结果表明,城镇化率、通货膨胀率、土地收益、农民固定资产对土地价值有显著正向影响,这与土地流转因素相吻合,基于社会保障土地流转定价模型具有一定的合理性。
第五,以三峡库区唯一的少数民族自治县——石柱县为例,结合调查问卷的形式,实际研究三峡库区土地流转问题。结果表明,城镇化发展促进了土地的流转,而乡镇离主城区的距离、山区面积比和农民的态度对土地流转有遏制性。另外,以调查问题卷为依据,结合第五章的土地定价模型影响因素,分析各种因素对土地流转意愿的影响。分析结果表明,土地租金、社会保障、选择价值和就业问题都是影响农民土地流转意愿的重要因素,土地租金、社会保障和就业问题与流转意愿呈正相关,而选择价值与土地流转意愿呈负相关。
本文的主要研究结论和创新之处在于:
第一,引入空间计量经济学,分析我国土地流转现状和机理。构建了全新度量土地流转程度指标,通过空间计量模型分析土地流转与环境因素之间的相互影响机制。运用新的方法,从整体的角度探讨了我国土地流转的特征,并得出了具有现实意义的结论。
第二,将讨价还价理论引入土地流转机制,探讨土地流转过程中各个利益主体利益分配的最优均衡解。通过对经典讨价还价博弈模型进行修改,构建了兼顾公平和效率的地方政府支付函数,分析具有公平效率的地方政府与农户进行讨价还价博弈的情况,提出地方政府是土地流转顺利实现的关键的观点。
第三,基于我国土地不仅是生产资料,还具有社会保障功能的特点,结合目前土地流转定价模型存在的问题和影响因素,构建了包含土地经营权转移租金、最低生活保障、土地增值收益和转让土地后农民再就业培训费用在内的具有社会福利性质的土地流转定价模型,为制定更符合现实的土地流转价格提供了方法指导。
The implementation of Household Responsibility System(HRS), which peels off the land-use right from the land property and adjust the relationship of income distribution of rural land, is a pioneering system of land right and the most important system and bascial characteristics of Chinese Socialism. It greatly trigger the production enthusiasm of hundreds of millions of farmers, effectively promotes the prosperity of rural areas and the economy. At the same time, it also should be noted that after a period of rapid growth, small-scale decentralized mangement, which is characterized by land equalization policy, exposes a series of problems.The fragmentation of land hinderes the efficiency of agricultural production and prevent scale application of agricultural science and technology, especially hamperes the development of agricultural economy. Therefore, depending on the framework of the land system, establishing flexible and effective mechanism for land circulation, optimizing the allocation of land resources, developing the economic factors of land values, promoting agricultural and rural economic development, become the key issue to China's economic development.
On the basis of exploration and practice in most places of China, a lot of research foucus and study on the topic of land circulation and make great improvement. The problems is tha most of these studies mainly focuse on the problems of land circulationing, influencing factors, the influencing degree of various factors and countermeasures and so on. In order to study the behavior of land circulation deeper, we also need to research and study the essence of the characteristics of land circulation, the decision-making motivation and processe of pricing issuees between different stakeholders in the land circulation. Therefore, based on the introduction of the relevant research results of spatial econometrics and bargaining theory, this paper studies the characteristics of land circulation and the relationship between the various stakeholders, analyzes the optimal mechanism of land circulation and the land circulation pricing issue by building an appropriate economic mathematical model, draws some important conclusions from the theory and practice aspects. The content of this paper extends several relevant conclusions of land circulation, provides feasibility inspiration and guidance for mechanism design and construction of land circulation.The main research content goes as followes
1. As the premise of in-depth theoretical analysis, this paper firstly summarize the relevant theory of land circulation, collate and review the research results of land circulation, including the overview of China’s land circulation and the relevant research of land circulation at home and abroad, concluded the differences between Chian and foreign countries by comparative analysis. On the basis of the analysis of the characteristics of land circulation, we get that land circulation is the fluxion and alienation of land-use right, it means that farmers could transfer the land-use right of their contract cultivate land to anyone if they wish, and make a deep investigateon this viewpoint.
2. Introduced spatial econometrics, established index of the land circulation degree, and studyed spatial mechanism of land circulation. Research have shown that the better economic development and the more government attention, the more conductive to regional land circulation; Research funds also have significant influence on land circulation in recent years,which also shows that scientific and technological progress, technological innovation become more and more important in regional land circulation; increasing fixed investment will increase the fixed capital in rural areas, and then increase the value of land attachment capital stock, thus play a deterrent effect on the land circulation. The spatial clustering test results show that because of lack of proper commuication, the regional land circulation have significant differences, and the characteristics of gather land circulation become more and more clear from 2005.
3. Introduced bargaining theory, analyzed the optimal mechanism of land circulation among central government, local government, investors and farmers. Research shows that if farmers and investors bargain over the price directly, the outcome of the competition between investors is that farmers must be given a higher compensation price by investors, which will lead to low investment income, thereby reduce the enthusiasm of investors. Based on the conclusion of the above game, introduced equity theory, established local government payoff function which balabcing equity and efficiency, analyzed the situation that the game is played with a fair and efficient local government and farmers. The analysis result of the model shows that if a fair and efficient local government bargain with the farmers first, then circulation land to investors, can be an appropriate balance of the interests between investors and farmers, also there is more policy space.
4. Based on the analysis of the land circulation characteristics and the current problems and influencing factors of the land circulation pricing model, established a land circulation pricing model with the nature of social welfare which containing the rent of land-use right circulation, subsistence allowance, land value-added benefits and the new skill training cost of farmers. Meanwhile, study on the influencing factors of land circulation price by empirical analysis.The results showed that the urbanization rate, inflation, land revenue and the farmers’fixed capital have significant positive impact on land value, which is the factors that have been exxpected, which implies the land circulation pricing model based on social sucurity is certain rationale.
5. Taked the only ethnic minority autonomous county of the Three Gorges Reservoir Area - Shizhu as an example, depending on the investigation of questionnaire, this paper studied the land circulation problem in Three Gorges Reservoir Area. The results showed that the development of urbanization promote the land circulation, while the factors of distance from rural to main urban areas, mountainous area ratio and the attitude of farmers play a deterrent effect on the land circulation. At the same time, the paper analyzed various factors on the land circulation intention based on the results of the questionnaire and the influcing factors of land pricing model. The results showed that land rents price, social security, value choice and rate of employment are important factors to influce famers’intention on land circulation. These factors are positive correlated with circulation intention, while value choice is negative correlation.
The main research conclusions and innovations are:
1. Analyzed the current situation and mechanism of land circulation by introducing spatial econometrics. Constructed new indexes to measure the degree of land circulation, and analyzed the interactive mechanism between land circulation and environmental factors by spatial econometric model. Investigated the characteristics of land circulation from an overall perspective by using new methods, and drew some feasibility conclusions.
2. Introduced bargaining theory into land circulation mechanism, and investigated the optimal equilibrium solution of different stakeholders’income distribution in the process of land circulation. Through modifying the classical bargaining game model, established local government payoff function which balancing equity and efficiency, analyzed the situation that the game is played with a fair and efficient local government and farmers, put forward a viewpoint that the local government is the key to successfully implement land circulation.
3. On the basis of the characteristics that land is not only productive property, but also has the function of social security, combining the current problems and influencing factors of the land circulation pricing model, established a land circulation pricing model with social welfare factors which containing the rent of land-use right circulation, subsistence allowance, land value-added benefits and the new skill training cost of farmers, provided the guidance to frame a more realistic land circulation mechanism.
引文
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