户籍制度改革中农户土地退出行为研究:重庆的实证
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摘要
当前,中国正站在发展的十字路口,有人看好,有人唱衰。不可否认的是,潜力巨大,挑战也巨大。从“刘易斯拐点”到“中等收入陷阱”,许多险滩需要突破。在这样的情况下,尤其需要寻找自身蕴藏的巨大潜力。党的“十八大”报告指出“要加快改革户籍制度,有序推进农业转移人口市民化”,由此可见,推进户籍改革,或可成为延续发展红利的一个突破口。加快户籍制度改革,有利于实现农民工由常住人口向户籍人口转变,减少对农民工的制度性歧视,实现“同工同酬”,并维护其合法权益。有利于转移农村剩余劳动力,实现人口向城镇集聚,提高户籍人口城镇化率,实现户籍人口城镇化率与空间城镇化率的同步发展。有利于实现农民工消费观念由乡村向城镇的转变,调动其消费积极性,扩大内需,转变经济增长方式。有利于实现人口、土地、资本等要素城乡间的自由流动,盘活城乡资源。有利于减少农村剩余劳动力,提高农业生产集约化水平,推动农业产业化发展,促进农民收入增长。因为有相对宽松的政策环境,我国一些地区也开展了户籍制度改革的实践,如上海市出台的“外来人员领取《居住证》”政策;广东省开展的“积分入户”工作;山东省、湖南省等取消农业户口与非农业户口之分,建立城乡“一元化”的户籍管理制度;深圳市建设的“中国首个无农村、无农民的城市”;重庆市以农村土地退出为载体,探索户籍制度改革与土地制度改革联动等。由于户籍制度与土地制度有着天然的耦合,在有序推进农业转移人口市民化过程中必然要考虑其农村土地处置问题,这就要求户籍制度改革与土地制度改革联动,因而重庆的户籍制度改革也更受各界关注,也更具有推广意义。基于此,本文以党的“十八大”报告提出的“要加快改革户籍制度,有序推进农业转移人口市民化,努力实现城镇基本公共服务常住人口全覆盖。”为宏观背景,以重庆市户籍制度改革中农村土地退出为实例,从综述相关文献入手,找出相关研究的不足,构建农户土地退出行为的一般分析框架,应用重庆市实地调查数据,采用多种计量经济分析模型,重点探讨了农户兼业行为及其土地退出行为关系,农户土地退出意愿及其影响因素,农户土地退出风险认知及其规避行为,农户参与退地利益集团博弈行为四个方面问题,最后基于农户视角就如何改进现有的农村土地制度安排提出了针对性的建议,主要研究结论如下:
     (1)从分析框架来看:首先,在假定农户为理性经济人的前提下,户籍制度改革中农户退出土地并立足城镇的基础是其有稳定的非农收入来源及稳定的住所,离开了这两个条件的农户转户退地行为是灾难性的。其次,在态度改变理论中,“P-O-X模型”分析表明,不平衡状态会导致农户土地退出认知结构中的各种变化,所以农户土地退出态度可以凭借这种不平衡的关系而形成和改变。再次,在公共物品理论中,政府对退地农户的公共物品的供给,单位边际成本刚好等于所有农户退出土地时所获得的土地退出边际收益,构成了本文的研究前提。最后,在农户参与退地收益博弈中,政府具有“先动优势”、农户具有“后动优势”,但农户收益受到政府“先动优势”和村干部的“道德风险”的影响,而被消弱。
     (2)从农业兼业行为及其土地退出行为看:首先,农户兼业行为是农业生产的季节性特点,农业比较效益低下及经济社会发展共同作用的结果,在我国大量农户从劳动报酬较低的农业向劳动报酬较高的非农产业转移,同时也表明在劳动报酬提高的同时,我国农户也更倾向于提供更多的劳动。其次,在探讨各要素对农民收入增长影响中,农村投资水平、农地综合效率、农地纯技术效率、农地规模效率与农民收入增长间存在长期稳定的正向均衡关系,且农地综合效率对农民收入增长的贡献度远高于农村投资水平:长期来看,加大农村投资力度,提高农地综合效率、技术效率及规模效率虽有利于促进农民增收,但关键是要提高农地规模效率。短期内,农村投资水平对农民人均纯收入变动的调整为正向,农地纯技术效率对农民人均纯收入变动调整先负后正,农地规模效率对农民纯收入变动的调整先正后负;因而短期内,加大农村投资力度也有利于促进农民收入增长,而提高农地纯技术效率则使农民收入先降低后增长,在规模报酬递减范围内的农地规模效率的提高,同样有利于农民收入增长。再次,在分析农户兼业行为及其土地流转方式响应时,总体认为由于目前农业生产相对非农务工效益较低,故农户家庭中收入总体由农户家庭非农收入决定,即一般当农户转变为非农户时,农户家庭总收入最大,此时多数非农户选择转让方式退出承包地经营活动;且农户对土地流转方式的选择是包含主体—决策—行为—绩效的系列过程,在不同类型农户所追求不同流转目的与效益的驱动下,农户形成土地流转需求;户主年龄是影响各类兼业农户土地流转方式选择的关键因素,而户主性别、农户家庭收入则没有对各类兼业农户的土地流转方式选择产生显著影响:对纯农户与Ⅰ兼农户土地流转选择产生共同显著影响的因素包括户主年龄、户主文化素质、农户土地资源禀赋、农户农业技术培训、农户低保覆盖;对Ⅱ兼农户与非农户的土地流转方式选择产生显著影响的因素包括户主年龄、户主非农就业地点。最后,在分析影响兼业农户土地退出决策因素中,认为基于生产经营目标差异,从纯农户到非农户,其土地退出决策依次受生存安全—土地收益最大化—经济收益最大化—综合收益最大化原则的影响,由此导致影响各类农户土地退出决策的因素存在较大差异;对纯农户与Ⅰ兼农户退地决策产生显著负向影响的因素包括家庭劳动力数量、家庭主要成员参加新农保、宅基地面积、承包地质量,对Ⅱ兼农户与非农户退地决策产生显著负向影响的因素包括户主文化程度、农房价值、村公共设施状况、村距离城镇的距离,而家庭年均收入、家庭年均非农收入对Ⅱ兼农户与非农户退地决策产生显著正向影响。
     (3)从农户土地退出意愿及其影响因素看:首先,农户土地退出意愿受到来自城镇与农村的多种因素影响,且农户退地意愿是由多种因素组合所产生的效益决定的。无论是承包地还是宅基地退出,当农户退地后的效益高于退地前时,农户愿意退出土地;当农户退地前后效益相等时,农户不一定退地且存在观望情绪;当退地后效益小于退地前时,则农户不愿意退地。其次,农户退出土地愿意偏低,相比承包地,农户更愿意退出宅基地。再次,户主年龄、家庭主要成员是否已定居城镇、家庭是否有稳定非农收入来源、土地是否有撂荒或闲置、退地补偿或补助发放是否按时足额、退地后生活质量预期,对农户承包地、宅基地退出意愿有显著的正向影响。户主是否在外非农务工、土地是否位于城镇规划范围、退地政策是否多变、退地后是否担心就业问题,对农户承包地、宅基地退出意愿有显著的反向影响。还有,家庭主要成员是否参加新农保、退地后医疗与养老保险预期仅对农户承包地退出意愿有显著的正向影响。最后,土地面积、土地是否有流转仅对农户宅基地退出意愿有显著的反向影响,同时退地后住房预期也仅对农户宅基地退出意愿有显著的止向影响。
     (4)从农户土地退出风险认知及其规避行为来看:首先,农户土地退出风险与规避行为受多种因素的影响,农户土地退出风险程度由土地退出边际效用与边际成本共同决定。因而农户只有深入了解土地退出风险,并客观评估自身风险规避能力,才能做出实现最大十地退出效用的决策。其次,农户承包地退出较宅基地退出存在更多风险与更弱的风险规避能力:同一因素可能对农户宅基地、承包地退出风险认知及规避能力产生不同的影响,影响农户宅基地退出风险认知及规避能力的因素少于影响农户承包地退出风险认知及规避能力的因素。再次,从宅基地退出风险认知及规避能力来看:户主年龄、家庭主要成员是否定居城镇、退地后生活质量预期、退地政策的信任程度对农户宅基地退出风险认知有负向影响,而退地后失去稳定住所、退地后无法获得足额补偿对其则有止向影响。户主年龄、家庭有无稳定城镇住所、本村是否在进行农民新村建设、退地后能否按时获得足额补偿款与补助金、退地后能否享受高水平城镇社保对农户宅基地退出风险规避能力有止向影响,而家庭有无养殖经营对此则有负向影响。最后,从承包地退出风险认知及规避能力来看:户主年龄、家庭有无稳定非农收入、家庭主要成员是否参加新农保、退地后生活质量预期、退地政策的信任程度对农户承包地退出风险认知有负向影响,而退地后无法稳定就业影响生计、退地后无法获取养老及医疗费用、退地后无法获得足额补偿对其则有止向影响。户主年龄、户主是否购买商业保险、家庭有无稳定非农收入、退地后能否按时获得足额补偿款与补助金、退地后能否及时获得就业培训与援助、退地后能否享受高水平城镇社保对农户承包地退出风险规避能力有正向影响,而家庭有无养殖经营对此则有负向影响。
     (5)从农户参与退地利益集团博弈行为来看:在议价博弈中农户具有“耐心优势”、“后动优势”,处于优势地位,这种优势源于中央政府对农户退地意愿的尊重,然而农户的这种优势是相对的,在地方政府的“先动优势”与村干部的“道德风险”面前,处于信息劣势的农户面临优势地位被削弱的危险。最后,本文从农户角度出发,认为应从落实尊重农户退地意愿,赋予农户退地方案拟定权,给予农户自由选择退地谈判代理人等方面改进退地政策,维护农户土地退出利益。
     (6)从农户视角的土地退出制度改进来看:首先,基于制度经济学视角分析了现行农村土地退出制度构架及制度经济效率,总体认为尽管现行的政府主导的强制性与诱致性制度变迁相结合的农村土地退出制度安排相比农户维持农村土地现状更具有效率,但在农户退地后的社会保障以及增加农户退地净现值收益方面还存在问题,因而需要对现行的农村土地退出模式进行优化。其次,就转变为城镇居民并退出承包地的农户而言,除了获得转户居民在就业、教育、养老、卫生及住房等城镇社会保障外,因其进城后无生计资本,更要强化与完善其退地补偿机制,以提高其城镇可持续发展能力,并认为优化承包地退出模式,需要建立体现承包地经济、社会功能价值及其期权价值的退出弹性补偿机制;优化宅基地退出模式,需要建立体现宅基地功能价值的实物补偿、货币补偿及建设补偿退出组合补偿机制。最后,认为完善转户退地农户可持续发展的配套措施、建立转户退地农户权益保护的常态机制及完善转户退地农户政策落实与兑现机制是当前地方政府提高退地农户可持续发展能力的重点。
At present, China is standing at the crossroads of development, some show optimistic attitudes towards the future of China, however, others show opposite attitudes about it. There is no denying that the potential and challenge of development of China is huge. There are many difficulties to overcome from the "Lewis turning point" to "middle-income trap". In these special conditions, it is imperative to find their own huge potential. the Report of18th CPC National Congress pointed out that "to accelerate the reform of the household registration system, to promote the farmers to become the citizens, orderly". It shows that promote household registration reform and continuation of the development dividend is maybe a breakthrough. To promote the reform of the household registration system is conducive to realize the transfer of farmer workers from the resident population to the household population, reduce institutional discrimination of migrant workers, realize the target of "equal pay for equal work", to safeguard their legitimate rights and interests. Second conducive to the transfer of rural surplus labor force and population to the towns, to improve the level of the population urbanization rate, synchronous development of the household population urbanization rate space urbanization rate. Third conducive to change the concept of consumption of farmer workers from rural to urban transformation and to mobilize their consumer enthusiasm, expanding domestic consumption demand realizing the transformation of economic growth mode. Fourth conducive to realize the free movement between the elements of urban and rural, such as population, land, capital et al. fifth conducive to reduce the surplus labor force in rural areas, improve the intensification level of agricultural production, and promote the development of agricultural industrialization, increase of farmers'income. Currently, some provinces of our country probe to practice the reform of the households registration system, such as Shanghai put forwards the policy of "residence permit" for foreign farmer workers, Guangdong Province carries out become a native citizen with the condition of reaching an degree. Shandong and Hunan Province intend to cancel the difference between urban and rural household registration management system, to erect the urban and rural "unification" of the household registration management system. Shenzhen construct the China's first "no rural and no farmer city". Chongqing probe to reform household registration system and land manage system, synchronously, basing on farmers returning their lands etc.. Because he household registration system and land system has a natural coupling. During the course of the farmer workers become a urban citizen, we must consider the rural land disposal problem, which requires the linkage of the household registration system reform and land reform, this is the reason why the household registration system in Chongqing be occupied by more people. This paper basing on the macro background of idea of the Report of18th CPC National Congress, and the example of Chongqing's practicing farmer returning their rural lands starts from Summary of relevant literature, identifies the lack of research, then to built the framework of analysis and using a variety of econometric analysis mode to analyse the farmers households'behaviors in the course of returning their lands. The behaviors including the relationship between farmer s households'part-time work and returning their lands, the willingness and influencing factors of farmers'households'returning rural lands, the risk awareness and its avoidance ability of farmers'households'returning rural lands, the game behaviors of farmers'households to participate in the interests distribution. Finally, this paper basing the perspective of farmers'households to put forward the suggestions that amend the policies of returning rural lands. the main conclusions are as follows:
     (1) From the views of the analytical framework:first of all, the foundation of farmers' households returning rural land in the course of the reform of the household registration system is that they have stable sources of non-farm income and stable residence, if they had returned lands without these two conditions, the results would be disastrous. Secondly, in the theory of attitude change, the results of "P-0-X" model shows that the state of imbalance will lead to various changes in cognitive structure of farmers'households returning their lands, as a results, the attitudes of farmers'households maybe can be formed by virtue of this unbalanced relationship and change. Again, the theory of public goods shows the premise of this research, which is the supply of public goods of government in the unit marginal cost is just equal to all the farmers'households'marginal revenue when they returning rural lands. At last, in the game behaviors of farmers'households to participate in the interests distribution, the local government has the "first mover advantage", farmers'households have the "after-mover advantage", but the farmers'household'interests encounter the loss in the face of the government" first-mover advantage" and the village cadres "moral hazard".
     (2) From the views of the behaviors relationship between farmers'households'part-time work and returning their lands:first of all, the behaviors of farmers'households'part-time work is the result of the seasonal characteristics of the agricultural production, the inefficient agricultural compare benefits and the economic and social development, there are many farmers'households transfer from lower labor remuneration agricultural to nonagricultural industries. with the improvement of labor remuneration, farmers'households are apt to provide more labor. Secondly, during the discussion of the response of farmer'income to rural investment and agricultural land use efficiency, the influence factors including CRSTE, VRSTE,SCALE of agricultural land, the rural investment level have a long stable and positive impact on farmer'income. the contribution to the growth of farmers'income of agricultural land use efficiency'CRSTE is much higher than the rural investment. Consequently, on a long term, although improving the level of rural investment and CRSTE, VRSTE, SCALE have a positive impact on the growth of farmer'income, the growth of farmers'income is much depending on the agricultural land SCALE. In a short term, increasing the level of rural investment will help improve farmer'income, and improving the VRSTE can make farmer'income reduce after the first growth. In the range of decreasing SCALE'returns, the improving of SCALE can also increase farmer'income. Thirdly, during the discussion of the response farmers'households'behaviors of part-time farming to its tilth circulation mode, the common effect factors of the real and type I households choosing their tilth circulation mode including:age of head of households, educational level of head of households, gift of tilths resources, agricultural technology training of households, minimum living guarantee of households; the common effect factors of the type Ⅱ and non-farm households choosing their tilth circulation mode including:age of head of households, the site of non-farm employment; the behavior of characteristic that affecting the real and type I households to choose their tilth circulation mode is apparent more than that of type II and non-farm households'. Finally, in the analysis of impact factors of part-time farmers'household returning their lands, this paper consider that the labor in farmers'households, the main number of farmers'households have a new rural social security, homestead area, contracted land quantities are the common effect factors that have a significant negative impact on the real and type I farmers'households returning rural lands. Impact factors of the head of household education level, the value of rural housing, village public facilities condition, the village from the town's distance are the common effect factors that have a significant negative impact on the non and type II farmers'households returning rural lands. While, impact factors of the average annual family income, the average non-agricultural income are the common effect factors that have a significant positive impact on the non and type II farmers'households returning rural lands.
     (3) From the views of an analysis of the willingness and its influencing factors of farmers' households'returning their lands:first of all, farmers'households have a lower willing to return their lands, compared contracted land, farmers'households are apt to return their homestead. Secondly,the head of farmers'households'age, whether, the mainly family members are settled in urban, non-farm families have stable source of income, whether, lands leave unused, whether, housing subsidies are full and on time, life quality expectations have a significant positive effect on farmers' household returning contracted land and homestead. On the other hand, whether,the owner is out the long-term non-agricultural workers, whether, lands lie in the scope of urban planning, land policy is changing, being worried about employment have a significant negative effect on farmers'households returning contracted land and homestead. But whether the principal members of the family to enjoy a new farmers'insurance, the expectations of medical and pension insurance only have a significant negative effect on farmers'households returning contracted land. however, land area, land circulation, the expectations of inhabitation have a have a significant effect on farmers'household returning their homestead.
     (4) From the views of an analysis of the risk awareness and aversion and its Influencing factors of farmers'households'returning Lands:first of all, the same factors are likely to have different impacts on the risk awareness and aversion of the household returning homestead and contracted land, meanwhile, the risk awareness and aversion of impact factors of the farmers' household returning homestead is more than that of contracted land. Aspects of the risk awareness and aversion of homestead. the head of the farmers'household'age, whether the mainly family members are settled in urban, the expectations of living level after returning lands, the extents of trusting policy have a significant negative effect on risk awareness of farmers'returning homesteads. however, losing stable residence, unable to acquire enough subsidies after returning lands have a significant positive effect on that. the head of the farmers'household'age, whether family have stable residence, whether processing the construction of the new village, whether acquiring enough subsidies on time, whether enjoying a higher level of urban social security after returning homestead have a significant positive effect on the ability of risk aversion of farmers'returning homestead. However, whether family have a breeding operation have a significant negative effect on that. Aspects of the risk awareness and aversion of contracted land. the head of the farmers'household' age, whether family have a stable income, the family member participate in new rural social security, expectations of quality of life, the extents of trusting policy have a significant negative effect on risk awareness of household returning contracted land. however, unable to acquire a stable career impacting livelihood, unable to unable to get the refund to the pension and health care costs, unable to get full compensation have a significant positive effect on that. the head of the farmers' household'age, whether the head of the household buy a commercial security, whether family have stable non-farm income, whether getting enough subsidies on time, whether getting a timely employment training and assistance, whether enjoying a high level of urban social security after returning contracted land have a significant positive effect on the ability of risk aversion of farmers' returning contracted land. whether family have a breeding operation have a significant negative effect on that.
     (5) From the views of the game behaviors of farmer'households to participate in the interests distribution:the farmers households have "patience advantages" and "after the mover advantage", they are in a dominant position, which comes from the respecting the willingness of farmers' households giving up their lands of central government, however, this dominant position is relative, which is being weaken, when farmers'households counter "the first mover advantage" of local government and village cadres "moral hazard". Finally, from the farmers'households'point of view, this paper consider that government should ameliorate their policies of giving up land from respecting the willingness of farmers'households', giving farmers'households the rights of studying out the policies and giving farmers'households the right of choosing the bargaining agent to protect farmers'household's interests.
     (6) From the views of basing the perspective of farmers'households to put forward the suggestions that amend the policies of returning rural lands:first of all, this chapter basing on the Institutional Economics analyzes the framework and efficiency of current rural land returning system, the results show that although the current government led mandatory phase and induced institutional change of returning lands are more efficient than that of maintaining the status quo of lands, there exit many questions especially in the aspect of Social Security and increasing the net present value of the income of the farmers'households after returning rural lands. Consequently, we should amend the current system mode of returning rural lands. Secondly, the farmers'households who become urban residents and returning their lands should acquire the urban employment, education, pension, health and housing, meanwhile, government should consummate the compensate mechanism to improve their urban sustainable development capacity because of their losing livelihoods capital after returning lands. This chapter consider that government should establish a flexible compensation mechanism reflects the contracted land economic, the social function of the value and establish the combinations compensation mechanism that embodies the functional value of the homestead including in-kind compensation, monetary compensation, construction compensation. Finally, the chapter consider that local government for the sake of improve the sustainable development capacity of farmers'households returning rural lands should focus on supporting measures to improve the farmers'households'sustainable development, Establishing farmers'households'Protection normal mechanism and improving the capacity of implement the policy for returning rural lands of government.
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