土地用途管制与耕地保护及补偿机制研究
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摘要
为了保护农地资源,特别是保护耕地,确保国家粮食安全和社会稳定,我国实行了世界上最为严格的耕地保护制度,通过实行土地用途管制制度,严格限制了农用地转化为非农建设用地。土地用途管制制度是国家为保证土地资源合理利用,促进经济、社会和环境的协调发展,通过编制土地利用规划,将土地分为农用地、建设用地和未利用地,严格限制农用地转化为非农建设用地的制度和措施。土地用途管制的核心和重点内容是保护农地、限制农地非农化和保证农地农用。它的产生与我国的土地资源禀赋有关,是符合我国土地资源的国情的。但是,土地用途管制制度在我国实施了12年之久,其旨在合理保护耕地资源,提高土地资源配置效率,严格控制农用地转作它用的初衷并没有充分体现,而且对于农地的主要保护者——农民来说,存在着极大的不公平,十分需要提高管制效率并构建相应的补偿机制,来使这一政策措施更加完善,达到管制和保护的目的。
据此,本文通过对我国关于土地资源利用的现状、土地用途管制的现状和相关补偿中存在的问题,以及土地用途管制与补偿的关系的分析,进行土地利用管制中耕地管制绩效评价,并通过借鉴国内外先进国家和发达地区的有益经验,在调查典型地区农户对补偿的接受意愿的基础上,优化设计了土地用途管制的补偿策略,提出了一套切实可行的土地高效合理利用的用途管制及经济补偿模式。最后提出了一系列实施这一模式的对策措施和建议供政府及有关决策部门参考。全文共分为九章,各章主要内容简介如下：
第一章：绪论。提出了土地用途管制背景下的耕地保护与补偿机制研究这一选题的背景、研究的目的及意义,对国内外关于土地用途管制的研究进展进行了评述,并阐述了本文的主要研究思路、方法和可能的创新点。
第二章：土地用途管制与经济补偿的相关理论基础。分别阐述了土地用途管制的基本内涵；土地用途管制过程中的委托代理关系和建立相应的激励机制的必要性；环境公平理论和土地用途管制实施过程中造成的不公平现象和补偿的必要性；外部性理论以及土地用途管制中产生的外部性；财产权理论以及其与土地用途管制和经济补偿之间的关系。
第三章：我国土地利用的现状及其耕地利用的相关问题。分别阐述了目前我国土地资源的现状和在利用过程中存在的主要问题；耕地利用过程中产生的外部性与补偿措施；耕地非农化与城乡收入差距之间的关系,并以典型省份湖北省为例探讨了耕地变化与社会经济因素之间的关系。
第四章：我国土地用途管制和补偿的现状及存在问题。本章详细分析了目前我国土地用途管制的现状和发展的趋势；与土地用途管制相配套的一些政策；土地用途管制中存在的问题,以及现有的相关补偿政策和实施与土地用途管制配套的补偿政策的必要性。
第五章：我国耕地资源管制效率及其变化分析。本章探讨了目前进行效率分析的主要方法,并选用DEA—Malmquist方法分析了我国自2000-2006年间耕地管制的动态效率,研究表明我国耕地资源管制效率平均水平不高,且年际间效率变动比较大,受国家宏观政策调控影响明显。提高管制效率的关键是要大力发展经济,加强政策扶植力度以及保证政策的持续性,以便加强宏观调控和管制的能力。
第六章：土地用途管制的国内外经验借鉴。本章对在政治体制上是分权制衡的联邦制、在经济体制上是市场经济制度、同时国土面积非常大、人口密度小的美国实施土地用途管制的背景和发展趋势进行了分析；对土地资源紧缺、人口密度较大、二战后经济高速发展的日本及我国的台湾省土地用途管制制度的演化及制度设计进行了分析,指出了其存在的优缺点。研究表明只有通过结合政府和市场两种调控手段,才能真正有效的进行土地用途管制。
第七章：受偿意愿的典型调查研究。本章采用意愿调查法(CVM)分别以武汉市、宜昌、仙桃、荆门和枣阳等地区作为典型地区,调查了村干部对于土地用途管制的基本认识情况和针对管制采取相应补偿机制的补偿意愿,并以农户为主要研究对象,测算了农户对于实施土地用途管制下保护耕地的受偿意愿。
第八章：土地用途管制补偿机制的优化设计。本章探讨了拟采取的补偿形式和补偿资金的筹措渠道,并分析了政府实施补偿的多目标性,同时通过构建多目标体制下的非线性规划补偿模型,推导出了补偿的最优策略及设计。
第九章：结论、政策建议和研究展望。本章总结全文,综合了本研究的主要结论,并对如何构建土地用途管制背景下的耕地保护与补偿机制提出了相关政策建议,对未来进一步的研究进行展望。
通过研究,本文得到了一系列有益的见解,其可能的创新之处主要体现在如下三个方面：一是从土地用途管制与耕地保护及进行经济补偿结合的视角,建立了一个研究该问题的框架；二是综合运用DEA-Mamqulist指数、条件价值评估法和非线性规划等多种经济计量和数理经济的研究方法,形成了对于土地用途管制绩效评价、农户受偿意愿测定和多目标补偿优化策略等相互联系、有机结合的系统方法；三是研究得到的一系列结论对于类似的宏观经济研究提供了有益借鉴,对政府及相关决策部门提供了有益的参考。
To protect cultivated land resources, especially cropland, to ensure national food security and society stability, the most strict cropland protection system in the world has been put into practice in our country. Cropland occupation by construction has been restricted by the implementation of land use regulation. Land use regulation, which is a system and measurement, is to utilize land resource rationally, coordinated develop economic, society, and environment by compiled land use planning and divided land to agricultural land, construction land and unused land. The core and focal points of land use regulation are protecting agricultural land, restricting cultivated land conversion, and insuring utilized agricultural land in agricultural way. The creation of land use regulation has been related to land resource endowment and situation of our country. However, after the implementation of the system for 12 years, its original purpose has not been achieved. As for rural household, which are mainly cropland protector, it has been unfair especially. It is necessary for us to improve efficiency of regulation and constructing specific compensation to consummate and improve this measurement.
Hereby, in the dissertation, it builds a model for economic compensation and land use in efficient and rational way under the context of land use regulation by analyzing status quo of utilization of land resources and land use regulation, indicating current issues in relation compensation, evaluating performance of land use regulation, referencing experience in home and aboard, investigating willingness to accept of rural household, and optimizing compensation strategies of land use regulation. In the end, it puts forward some suggestion for decision-making departments to concern. The main content includes nine chapters. Brief introduction is as follows:
Chapter 1:Preface. After introducing the research background, this chapter puts forward the study issue of cropland protection, mechanism of compensation and land use regulation. Then it states research purpose and meaning of the issue. After that it reviews and evaluates domestic and foreign related research outcomes. At the end of this chapter, methodology, technical routes, and possible innovation are summarized.
Chapter 2:Theoretical basis of land use regulation and economic compensation. This chapter describes basic connotation of land use regulation, analyzes of the principal-agent relationship in land use regulation and explained the necessity of establishing excitation mechanism, indicates theory of environment equity and the unfair in practicing land use regulation, describes externality theory and externality of land use regulation, and explains property rights theory and the relationship with land use regulation and economic compensation.
Chapter 3:The present condition of land use and related issues of cropland utilization of domestic. In this chapter, it describes the present situation of land use and the main issues in utilization, analyzes externality of agricultural land use and measurement of compensation, explains the relationship between the income disparity and cropland conversion, and finally discusses the relationship between cropland changes and socioeconomic factors in Hubei province.
Chapter 4:The present condition of land use regulation and related compensation and the existing problems. In this chapter, the current situation of land use regulation in our country and the its trend of development are discussed. Corresponding policy of land use regulation has been explained. Some issues of land use regulation have been pointed out. The status of corresponding compensation has been described. The necessity of establishing policy of matching compensation has been analyzed.
Chapter 5:Analysis on the efficiency of land use regulation and its variation in our country. In this chapter, mainly method of analysis of the efficiency is discussed and the dynamical efficiency of land use regulation during 2000 to 2006 in our country is analyzed by using index of malmquist with date envelopment analysis. It shows that the mean level of performance of land use regulation is not high, and the variation of efficiency of regulation is obviously, and has great influence on national macroscopic policy. It is critical to devote major effort to developing economy, to enhance policy fostering and to ensure sustainability of policy for improving ability of macro control and regulation.
Chapter 6:Experience referencing of land use regulation in domestic and international. In this chapter, it describes the context of practicing land use regulation and its trend of development in America, which is division of powers in political system, market oriented in economic system, and has large national territory and small population density. Then it describes the evolution and the design of system of land use regulation in Japan and Taiwan, which is short of land resource, having big population density and high-speed development in economy after the Second World War. The result shows that only in the way of connecting with government and market adjustment can land use regulation be put into practice efficiently.
Chapter 7:Typical survey of willingness to accept. In this Chapter, taken Wuhan, Yichang, Xiantao, Jingmen and Zaoyang as typical areas, investigates the condition of basic recognition of land use regulation and the willingness to take corresponding compensation of village cadres. Then it determines willingness to accept for rural household.
Chapter 8:Optimal design of mechanism of compensation under the context of land use regulation. In this chapter, types of compensation and way of financing are discussed. It deduces optimal strategies of compensation by discussed multi-objectives of government and builds a nonlinear model.
Chapter 9:Conclusion, policy suggestion and study expectation. The full text is summarized. Some suggestion and policies about how to protect cropland and implement specific compensation for land use regulation are put forward. In the end, some issues and future work for this research are discussed.
The possible new ideas of this dissertation are as follows:①It builds an analysis framework for land use regulation, cropland protection and economic compensation;②It forms a system analysis to evaluate performance of land use regulation, determine willingness to accept for rural household, and optimizes multi-objective compensation by comprehensive applied lots of research approaches, such as index of malmquist by date envelopment analysis, contingent valuation method, and nonlinear programming;③It puts forward some views, which provided a useful reference to similar macroeconomic researches and decision-making departments.
据此,本文通过对我国关于土地资源利用的现状、土地用途管制的现状和相关补偿中存在的问题,以及土地用途管制与补偿的关系的分析,进行土地利用管制中耕地管制绩效评价,并通过借鉴国内外先进国家和发达地区的有益经验,在调查典型地区农户对补偿的接受意愿的基础上,优化设计了土地用途管制的补偿策略,提出了一套切实可行的土地高效合理利用的用途管制及经济补偿模式。最后提出了一系列实施这一模式的对策措施和建议供政府及有关决策部门参考。全文共分为九章,各章主要内容简介如下：
第一章：绪论。提出了土地用途管制背景下的耕地保护与补偿机制研究这一选题的背景、研究的目的及意义,对国内外关于土地用途管制的研究进展进行了评述,并阐述了本文的主要研究思路、方法和可能的创新点。
第二章：土地用途管制与经济补偿的相关理论基础。分别阐述了土地用途管制的基本内涵；土地用途管制过程中的委托代理关系和建立相应的激励机制的必要性；环境公平理论和土地用途管制实施过程中造成的不公平现象和补偿的必要性；外部性理论以及土地用途管制中产生的外部性；财产权理论以及其与土地用途管制和经济补偿之间的关系。
第三章：我国土地利用的现状及其耕地利用的相关问题。分别阐述了目前我国土地资源的现状和在利用过程中存在的主要问题；耕地利用过程中产生的外部性与补偿措施；耕地非农化与城乡收入差距之间的关系,并以典型省份湖北省为例探讨了耕地变化与社会经济因素之间的关系。
第四章：我国土地用途管制和补偿的现状及存在问题。本章详细分析了目前我国土地用途管制的现状和发展的趋势；与土地用途管制相配套的一些政策；土地用途管制中存在的问题,以及现有的相关补偿政策和实施与土地用途管制配套的补偿政策的必要性。
第五章：我国耕地资源管制效率及其变化分析。本章探讨了目前进行效率分析的主要方法,并选用DEA—Malmquist方法分析了我国自2000-2006年间耕地管制的动态效率,研究表明我国耕地资源管制效率平均水平不高,且年际间效率变动比较大,受国家宏观政策调控影响明显。提高管制效率的关键是要大力发展经济,加强政策扶植力度以及保证政策的持续性,以便加强宏观调控和管制的能力。
第六章：土地用途管制的国内外经验借鉴。本章对在政治体制上是分权制衡的联邦制、在经济体制上是市场经济制度、同时国土面积非常大、人口密度小的美国实施土地用途管制的背景和发展趋势进行了分析；对土地资源紧缺、人口密度较大、二战后经济高速发展的日本及我国的台湾省土地用途管制制度的演化及制度设计进行了分析,指出了其存在的优缺点。研究表明只有通过结合政府和市场两种调控手段,才能真正有效的进行土地用途管制。
第七章：受偿意愿的典型调查研究。本章采用意愿调查法(CVM)分别以武汉市、宜昌、仙桃、荆门和枣阳等地区作为典型地区,调查了村干部对于土地用途管制的基本认识情况和针对管制采取相应补偿机制的补偿意愿,并以农户为主要研究对象,测算了农户对于实施土地用途管制下保护耕地的受偿意愿。
第八章：土地用途管制补偿机制的优化设计。本章探讨了拟采取的补偿形式和补偿资金的筹措渠道,并分析了政府实施补偿的多目标性,同时通过构建多目标体制下的非线性规划补偿模型,推导出了补偿的最优策略及设计。
第九章：结论、政策建议和研究展望。本章总结全文,综合了本研究的主要结论,并对如何构建土地用途管制背景下的耕地保护与补偿机制提出了相关政策建议,对未来进一步的研究进行展望。
通过研究,本文得到了一系列有益的见解,其可能的创新之处主要体现在如下三个方面：一是从土地用途管制与耕地保护及进行经济补偿结合的视角,建立了一个研究该问题的框架；二是综合运用DEA-Mamqulist指数、条件价值评估法和非线性规划等多种经济计量和数理经济的研究方法,形成了对于土地用途管制绩效评价、农户受偿意愿测定和多目标补偿优化策略等相互联系、有机结合的系统方法；三是研究得到的一系列结论对于类似的宏观经济研究提供了有益借鉴,对政府及相关决策部门提供了有益的参考。
To protect cultivated land resources, especially cropland, to ensure national food security and society stability, the most strict cropland protection system in the world has been put into practice in our country. Cropland occupation by construction has been restricted by the implementation of land use regulation. Land use regulation, which is a system and measurement, is to utilize land resource rationally, coordinated develop economic, society, and environment by compiled land use planning and divided land to agricultural land, construction land and unused land. The core and focal points of land use regulation are protecting agricultural land, restricting cultivated land conversion, and insuring utilized agricultural land in agricultural way. The creation of land use regulation has been related to land resource endowment and situation of our country. However, after the implementation of the system for 12 years, its original purpose has not been achieved. As for rural household, which are mainly cropland protector, it has been unfair especially. It is necessary for us to improve efficiency of regulation and constructing specific compensation to consummate and improve this measurement.
Hereby, in the dissertation, it builds a model for economic compensation and land use in efficient and rational way under the context of land use regulation by analyzing status quo of utilization of land resources and land use regulation, indicating current issues in relation compensation, evaluating performance of land use regulation, referencing experience in home and aboard, investigating willingness to accept of rural household, and optimizing compensation strategies of land use regulation. In the end, it puts forward some suggestion for decision-making departments to concern. The main content includes nine chapters. Brief introduction is as follows:
Chapter 1:Preface. After introducing the research background, this chapter puts forward the study issue of cropland protection, mechanism of compensation and land use regulation. Then it states research purpose and meaning of the issue. After that it reviews and evaluates domestic and foreign related research outcomes. At the end of this chapter, methodology, technical routes, and possible innovation are summarized.
Chapter 2:Theoretical basis of land use regulation and economic compensation. This chapter describes basic connotation of land use regulation, analyzes of the principal-agent relationship in land use regulation and explained the necessity of establishing excitation mechanism, indicates theory of environment equity and the unfair in practicing land use regulation, describes externality theory and externality of land use regulation, and explains property rights theory and the relationship with land use regulation and economic compensation.
Chapter 3:The present condition of land use and related issues of cropland utilization of domestic. In this chapter, it describes the present situation of land use and the main issues in utilization, analyzes externality of agricultural land use and measurement of compensation, explains the relationship between the income disparity and cropland conversion, and finally discusses the relationship between cropland changes and socioeconomic factors in Hubei province.
Chapter 4:The present condition of land use regulation and related compensation and the existing problems. In this chapter, the current situation of land use regulation in our country and the its trend of development are discussed. Corresponding policy of land use regulation has been explained. Some issues of land use regulation have been pointed out. The status of corresponding compensation has been described. The necessity of establishing policy of matching compensation has been analyzed.
Chapter 5:Analysis on the efficiency of land use regulation and its variation in our country. In this chapter, mainly method of analysis of the efficiency is discussed and the dynamical efficiency of land use regulation during 2000 to 2006 in our country is analyzed by using index of malmquist with date envelopment analysis. It shows that the mean level of performance of land use regulation is not high, and the variation of efficiency of regulation is obviously, and has great influence on national macroscopic policy. It is critical to devote major effort to developing economy, to enhance policy fostering and to ensure sustainability of policy for improving ability of macro control and regulation.
Chapter 6:Experience referencing of land use regulation in domestic and international. In this chapter, it describes the context of practicing land use regulation and its trend of development in America, which is division of powers in political system, market oriented in economic system, and has large national territory and small population density. Then it describes the evolution and the design of system of land use regulation in Japan and Taiwan, which is short of land resource, having big population density and high-speed development in economy after the Second World War. The result shows that only in the way of connecting with government and market adjustment can land use regulation be put into practice efficiently.
Chapter 7:Typical survey of willingness to accept. In this Chapter, taken Wuhan, Yichang, Xiantao, Jingmen and Zaoyang as typical areas, investigates the condition of basic recognition of land use regulation and the willingness to take corresponding compensation of village cadres. Then it determines willingness to accept for rural household.
Chapter 8:Optimal design of mechanism of compensation under the context of land use regulation. In this chapter, types of compensation and way of financing are discussed. It deduces optimal strategies of compensation by discussed multi-objectives of government and builds a nonlinear model.
Chapter 9:Conclusion, policy suggestion and study expectation. The full text is summarized. Some suggestion and policies about how to protect cropland and implement specific compensation for land use regulation are put forward. In the end, some issues and future work for this research are discussed.
The possible new ideas of this dissertation are as follows:①It builds an analysis framework for land use regulation, cropland protection and economic compensation;②It forms a system analysis to evaluate performance of land use regulation, determine willingness to accept for rural household, and optimizes multi-objective compensation by comprehensive applied lots of research approaches, such as index of malmquist by date envelopment analysis, contingent valuation method, and nonlinear programming;③It puts forward some views, which provided a useful reference to similar macroeconomic researches and decision-making departments.
引文
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