【作者】 罗文斌；

【导师】 吴次芳；

【作者基本信息】 浙江大学 ， 土地资源管理， 2011， 博士

【摘要】 相对于“粮食安全”、“耕地保护”、“快速城市化”等热门学术流行语,“土地整理”被提及的相对较少,但实质上“土地整理”与“粮食安全”、“耕地保护”以及“快速城市化”关系紧密。近10年来,随着中国工业化和城市化发展的持续加速、耕地保护的日益严峻和农村发展的迫切需要,土地整理不仅成为保护耕地资源的主要手段,而且成为统筹社会和谐发展的重要保障,并为协调“快速城市化”和“耕地资源保护”矛盾做出了巨大贡献,其在社会经济发展中的作用和地位日益重要。据统计,2003--2007年,中国共实施土地整理项目约106246个,项目总规模约312.83万公顷,补充耕地数约为129.94万公顷,年均项目投资总额达134亿元,土地整理项目已经成为中国农村公共投资的重要组成之一。然而,随着土地整理项目实施的日渐深入,绩效问题逐渐暴露。中国土地整理项目监管体制尚不完善,项目绩效评价研究几乎处于空白地带。回顾中国土地整理的10年历程,其总体概况如何?取得了怎样的绩效?如何去定量测度其绩效水平?绩效影响因素有哪些?怎样更好地改善绩效?这些都是当前、乃至今后中国土地整理事业发展必须认真思考的重要问题。本论文展开了中国土地整理项目绩效评价研究,分别对土地整理项目绩效基本概念、绩效评价方法、绩效影响因素以及绩效改善策略等问题进行了系统深入的探讨,旨在建立一套土地整理项目绩效评价研究的理论框架和方法体系。该研究有利于奠定土地整理项目绩效研究的理论基础、整体上把握中国土地整理项目绩效概况、改善和提高中国土地整理项目整体绩效水平、进一步发挥土地整理的“三农”效益,促进中国土地整理事业的可持续发展。论文的主要内容如下：首先,全面解读土地整理项目绩效评价的基础理论,明确界定土地整理项目绩效基本概念,深入阐释土地整理项目绩效的价值目标以及评价价值取向,并从基本概念、指标体系、方法模型和影响因素等方面入手提出一个土地整理项目“双层双视角”绩效评价分析框架；接着,对中国近年来的土地整理项目实施的社会经济背景、总体特征和空间分布概况进行归纳分析,为全文做实践铺垫；然后,分别选择从宏观与微观层面、政府与农户视角对中国土地整理项目绩效评价展开实证研究,并探究绩效的影响机理和因素；最后,结合中国土地整理项目绩效评价的现实情景和实证研究结果,探讨中国土地整理项目绩效改善策略和政策建议。论文的可能创新点在于：(1)在考虑到土地整理项目绩效研究复杂性的基础上,本文提出了一个土地整理项目“双层双视角”绩效评价分析框架,以更好地切合现阶段我国土地整理项目的现实环境,为土地整理项目评价研究开创新思路。(2)综观国内外的土地整理研究进展,土地整理项目绩效评价研究并未真正开展。本文对土地整理项目绩效的概念内涵、绩效评价指标体系及方法、绩效影响机理和因素以及绩效改善策略等内容进行了深入的理论和实证研究,进一步拓展土地整理研究的范围。(3)在研究思路上,本文将土地整理项目“消费者”—农户满意度主观评价引入进来,拓宽了土地整理项目评价思路。针对不同的研究层面和研究视角,在评价指标体系上,分别构建了土地整理项目绩效“P-S-R”评价指标体系、“流程逻辑”评价指标体系和“农户满意度”评价指标体系；评价方法上,分别建立了土地整理项目绩效的物元评价模型、熵权TOPSIS评价模型和CSI评价模型；在绩效影响因素分析上,分别应用统计分析方法和Probit回归模型进行定性和定量研究。更多还原

【Abstract】 Though it receives much less academic popularity, land consolidation has a direct impact on the progress in a number of important areas, including food security, farmland protection and rapid urbanization. Over the past decade, it has become a major means of farmland protection in response to accelerating industrialization and urbanization and the pressing need for farmland conservation and rural development. More importantly, progress in land consolidation helps ease the tension between urbanization and farmland protection, contributing to economic growth and social harmony.According to statistics, a total number of 106,246 land consolidation projects (LCP) were completed in China from 2003 to 2007, covering 3.1283 million hectares of land and restoring 1.2994 million hectares of farmland. With the average annual investment reaching 13.4 billion yuan, land consolidation has become one of the key areas for rural public investment.As LCP increases, the problem of under-performance emerges. However, a sound supervision system is yet to be put in place to address this problem, and few studies have been made on how to evaluate the performance of LCP.To put land consolidation on a sustainable path of development, a number of important questions will need to be answered:how well were LCPs implemented over the past decade in general, and how can their performance be evaluated, determinants identified and overall performance improved?With these questions in mind, the author made a comprehensive study on LCP performance evaluation in China and built a theoretic framework for evaluating LCP performance. The study reviews theoretic basis of performance, discusses performance evaluation and its determinants, and looks at how performance can be improved. It lays the theoretic foundation for LCP performance evaluation in China, and provides a good way to understand the overall LCP performance. Hopefully, this study will help improve LCP performance so that LCPs will better serve the development of agriculture, rural areas and the interests of farmers, and that land consolidation in China will develop in a sustainable way.The paper consists of four parts:Part I reviews the basic theories and definitions on LCP performance evaluation, and illustrates the value targets of LCP performance and value orientation in evaluation. It then looks at relevant concepts, indicators, models and affecting factors and, building on this, introduces a double-layer and dual-perspective analytic framework for evaluation. Part II analyzes the social and economic background of LCPs as well as their features and geographic distribution. Part III is a theoretical and empirical study on LCP performance evaluation in China, from the perspectives of government and farmers and conducted on both the macro-and micro-level. It also discusses how LCP performance is affected by a number of factors. The last part, PartⅣ, concludes with a series of policy proposals.The paper is innovative in several aspects:(1) Little studies on LCP performance evaluation have been made so far by Chinese and overseas scholars. The theoretic and empirical studies of this paper on LCP performance evaluation therefore introduces a fresh subject to land consolidation research in China and expands its scope.(2) To deal with the high degree of complexity involved in LCP performance evaluation, a double-layer and dual-perspective analytic framework is developed in this paper. Specially designed to fully reflect the practical situation of LCP in China, the framework offers a new approach to LCP study.(3) First, the paper introduces farmers’satisfaction about LCP as a subjective assessment element, which complements the objective assessment approach traditionally used in previous studies.Second, drawing on the P-S-R framework, Process Logic framework and Farmer Satisfication framework, the paper builds different indicator systems for analysis on different levels and from different perspectives. It also constructs different evaluation models based on the Matter-element Model, the Entropy Weight TOPSIS Model and the CSI evaluation method.Third, the paper conducts both qualitative and quantitative analysis, using statistical analysis method and Probit regression model, to explore what affects performance at separate levels and from different angles.更多还原