【作者】 徐唐奇；

【导师】 张安录；

【作者基本信息】 华中农业大学 ， 土地资源管理， 2011， 博士

【摘要】 农地城市流转是当前我国社会经济发展中的一种普遍现象,对多个利益集团的福利都产生了深刻的影响,其中受到直接影响的利益集团包括农民家庭、农民集体、各级地方政府和中央政府等。本文选择农民集体作为研究对象,通过理论分析和实证研究揭示其在农地城市流转中的福利变化情况及其原因,探索农民集体福利均衡的充分必要条件,为改革农地城市流转制度、改善农民集体福利提供一些政策建议。伴随着我国工业化、城市化的快速发展,大量原本属于农民集体的土地流转成为国有城市建设用地,由此导致了农民集体的土地财产损失；受现行法律限制,土地征收成为唯一合法的农地城市流转方式,尽管法律规定了征收农民集体土地必须给予一定的补偿,但补偿原则和补偿量计算方法上的不合理性致使土地征收补偿不足以弥补农民集体的土地财产损失,而财产和经济收入(即土地征收补偿费)既是农民集体经济福利的重要组成部分,又是构成其他福利的基础,因此当前以土地征收为主要模式的农地城市流转必然造成农民集体福利的损失。出于对未来生活的担忧和当前生活成本上升的压力,农民普遍对当前的土地征收及其补偿表现出强烈不满,甚至出现集体上访和“暴力抗征”事件。与此同时,由于农民集体土地产权模糊、农民集体经济组织自身的缺陷等原因,致使绝大部分地区的村委会攫取了农民集体土地所有权的行使权、土地征收补偿费的支配权,在土地征收补偿费的分配中经常出现权利和义务不对等的现象,给农民家庭福利(包括客观福利和主观福利)造成一定程度的损失,进而导致农民集体福利水平的下降。本文以福利经济学、产权经济学的理论和研究方法为基础,结合社会契约论、社会组织理论、土地征收补偿理论展开研究。研究方法有归纳演绎法、调查研究法、文献综合法、均衡分析法等,在研究中注重定性研究和定量研究、规范研究和实证研究的结合。此外,法经济学的研究方法贯穿全文。全文共分八章,除第一章导论、第二章研究的理论基础、第八章结论与讨论之外的其余五章是本文的主体部分。其中第三章主要从理论上分析农地城市流转对农民集体福利的影响。首先对我国当前的农地城市流转做了一个概述,对农民集体福利进行了界定,并对农民集体福利的测度方法做了详细介绍,然后明确提出研究农地城市流转中的农民集体福利问题,必须从农民集体外部的福利损失及其补偿、农民集体内部的福利分配两个方面展开。第四章是对农民集体外部福利损失及其补偿的研究。提出将农民集体视作一个均质实体,以农民集体的土地财产和收入等可以货币计量的经济福利近似地代替农民集体整体福利。在此基础上,建立了一个农民集体福利的均衡分析框架,并以全国和武汉市的统计数据进行了检验,结果显示当前农地城市流转中农民集体福利呈不均衡状态,即农民集体获得的福利补偿不足以弥补其土地财产损失。提出土地征收中应当实行“完全补偿”原则,改变征地补偿的计算方法,进一步提高征地补偿标准,并通过增加对农村各项基础设施的投资,扩大失地农民的就业等措施减少农民集体的隐形福利损失。此外,本章探讨了农地发展权问题,提出将农地发展权赋予农民集体更加符合社会主义公平正义原则,也是建立现代产权体系的必然要求。第五章研究的重点是农民集体内部的福利分配对农民集体福利的影响。首先提出当前农民集体内部福利分配的核心是收入(即农地征收补偿费)分配,然后阐述了收入分配影响农民集体福利的两种作用机制：一是边际效用递减规律的客观存在性,二是“攀比心理”对收入分配不平等的反应。然后在总结当前国内外有关公平正义问题研究成果的基础上,论证了不平等的多面性,指出当前我国农民集体内部的收入不平等只是一种外在表现,而权利的不平等才是根源,必须从权利不平等的角度来揭示收入不平等的深层次原因。在农地城市流转中农民集体内部福利优化必须保障农民家庭的参与权、收益权和法律赋予的自治权。最后引入“同意一致性”的概念,并将其作为实现农民集体内部福利优化的必要条件,并大致勾画了一个通过“共识决策”实现同意一致性的过程。第六章在前面几章的基础上分析农民集体福利受损的原因,重点在于农民集体土地产权的界定、运行和保护上。首先结合相关统计数据和本课题的实地调查结果,对农地城市流转中农民集体福利变化做了一个总体分析,结果显示：(1)农地城市流转中农民集体获得的福利补偿不足以弥补其福利损失；(2)农地城市流转对区域社会、经济、生态及农户家庭生活各个方面的影响方向和程度不同,总体来看负面影响大于正面影响；(3)农户对土地征收补偿及其分配的满意程度普遍偏低,说明农民集体的主观福利损失较为严重。然后从土地征收为主的农地城市流转模式对集体财产权利的侵蚀、集体内部收入分配不平等造成的农民集体福利损失两个方面揭示了农地城市流转中农民集体福利受损的原因,结果显示政府行政权力对农民集体权利的压抑以及农民家庭的权利缺失是造成农民集体福利受损的深层次原因。第七章针对当前我国农地城市流转中农民集体福利受损的现状和原因,提出改进农民集体福利的长远对策和现实途径。从长期发展趋势来看,改进农民集体福利的长远对策包括：(1)建立一种新的农地城市流转模式,实现农民集体整体福利均衡；(2)禁止行政权力对农民集体和私人产权的侵蚀,同时完善农村司法援助体系,切实有效地保护农民集体和农民家庭的合法权益；(3)强化农村土地承包经营权保护,防止“集体”对“个体”的权益侵害；(4)在条件允许的情况下对农民集体经济组织进行股份制改造,理顺农民集体内部的产权关系,明确农民家庭的权益,以实现农民集体内部收益分配的公平与公正。而在短期内改进农民集体福利的现实途径主要有：(1)提高征地补偿标准,充分补偿农民集体的财产损失；(2)规范农民集体内部的收益分配,强化农民家庭的土地权益保护；(3)建立农村基本社会保障体系。本文可能的创新在于：(1)首次对“农民集体福利”的概念做出清晰的界定,提出了三个具有不同内涵的农民集体福利概念,并指出在不同的研究领域可以有选择地使用；研究了不同内涵下的农民集体福利的测度方法；(2)建立了一个农民集体福利外部均衡分析的框架,分别研究了在农地发展权属于农民集体、农地发展权不属于农民集体两种情况下农民集体福利均衡的条件,在此基础上提出了一种新的农地城市流转模式；(3)将“同意一致性”概念引入农民集体内部收益分配研究,提出农民集体福利优化的第二个必要条件是农民集体内部的收益分配必须取得一致同意,并指出农民集体内部福利分配同意一致性的实现途径是充分保障农民家庭的自治权,实行共识决策。更多还原

【Abstract】 Rural-urban land conversion was a universal phenomenon in the social and economic development of China. It had brought profound impacts on many interest groups’ welfare. Many interest groups were affected directly, including farm families, farmers’ collective, local authorities and central government. This paper selected farmers" collective as the study object, aiming to reveal its welfare change in rural-urban land conversion and the reasons, through theoretical analysis and empirical research. My purpose was to explore the necessary and sufficient conditions to keep farmer collective’s welfare balanced, as well as providing some policy recommendations for the reform of rural-urban land conversion system and improvement of farmers collective’s welfare.With the rapid development of industrialization and urbanization, a large number of lands owned by peasant collectives originally were conversed to national construction land in urban area. This conversion led to a peasant collective’s land property damage. By existing legal constraints, expropriation was the only legal way to converse rural land to urban. Even though the law stipulated that government and urban land users must give some compensation to impose farmer collective’s land, the irrationality of the compensation principle and the compensation amount calculating method result in the land expropriation compensation could not compensate for the land property loss of farmers collective. The property and income (i.e., land acquisition compensation) were both important components of economic welfare of farmers collective, but also constituted the basis of other benefits. So the current rural-urban land conversion (acquisition as the main mode) caused the loss of farmer collective’s welfare inevitably. For concerns about the future of life and the current upward pressure on cost of living, farmers expressed strong dissatisfaction on the current land acquisition and compensation, and even collective petitions and "violent anti-sign" events. At the same time, due to the vague of farmers collective’s land property rights and own shortcomings of farmers collective economic organization, the villagers’ committee seized the exercise of the collective land ownership right and the dominance of land acquisition compensation. In the distribution of land acquisition compensation, there were unfairness and inequality between rights and obligations at most time, which led to a certain degree of loss of peasant family’s benefits (both objective and subjective welfare) and result in a decline in the level of collective welfare of farmers.This paper was based on the theory and research methods of welfare economics and economics of property rights, combing with the social contract theory, social organization theory, and theory of land expropriation compensation. Research methods included inductive and deductive research, survey research, literature synthesis and balanced analysis methods. In the study, I paid attention to the combination of qualitative research and quantitative research, normative and empirical research. In addition, law and economics research method is used throughout the paper.Paper was divided into eight chapters, excepting the first chapter (introduction), the second chapter (the theoretical basis), and the eighth chapter (conclusions and discussion), the remaining five chapters were the main body of this article. The third chapter analyzed the impacts of rural-urban land conversion on the farmers’collective’s welfare theoretically. First, I made a summary of China’s current rural-urban land conversion, defined the collective welfare of farmers, and introduced the measuring methods of collective welfare of farmers. And then I put forward that researching the issues of the collective welfare of farmers in rural-urban land conversion, must be from both aspects of the external welfare loss and compensation for farmers collective and the welfare distribution within farmers collective.The fourth chapter researched the external welfare loss and compensation for farmers collective in rural-urban land conversion mainly. I proposed to regard farmers collective as a homogeneous entity, and use economic welfare (Such as peasant collective’s land property and income which are can be measured in monetary) to take the place of the overall well-being of farmers collective approximately. On this basis, I established a framework of balanced analysis of farmers collective’s welfare and made a empirical test using the statistical data of the country and the city of Wuhan. The result showed that the farmers collective’s welfare in current rural-urban land conversion was on unbalanced state, i.e., the compensation received by farmers collective was not enough to offset the welfare loss of their land property loss. I proposed that we should implement "full compensation" principle in land expropriation, change the calculating method of compensation for land expropriation, and improve the land requisition compensation standards further. At the same time, government should Increase the investment in infrastructure in rural areas, expanse the employment of landless peasants and take other measures to reduce the invisible welfare losses of farmers. In addition, this chapter discussed the issue of agricultural land development right, proposed that giving agricultural land development right to farmers collective was in line with the socialist equal and fair principle, and also was a necessary requirement of establishing a modern property rights system.Chapter V focused on the study of welfare distribution within farmers collective and its impacts on collective welfare of farmers. First, I proposed that the internal revenue (i.e., land requisition compensation fees) distribution is the core of allocation of farmers collective welfare, then described the two mechanisms of distribution of income affecting farmers collective welfare:First, the law of diminishing marginal utility existed objectively, and second, it’s the reaction of "mental comparisons" to the unequal distribution of income. And then on the basis of summing up the research results about the problem of fairness and justice at home and abroad, I demonstrated the multidimensional nature of inequality. Then I pointed out that income inequality within farmers collective was just an outward expression, and the inequality of right was the origin. We must reveal the underlying causes of income inequality from the perspective of the right inequality. In rural-urban land conversion, the precondition of welfare optimization within farmers collective was to protect the farm families’ right to participate in public affairs, income rights and the right of autonomy. Finally. I introduced "consent agreement" concept and regarded it as a necessary condition to realize the welfare optimization within farmers collective, and outlined a general process of achieving consent agreement by "consensus decision".On the base of previous chapters. ChapterⅥanalyzed the causes that bring the damage of farmers’collective’s welfare, focusing on the definition, operation and protection of farmers collective’s land property rights. First of all, I made an overall analysis on the change of collective welfare of farmers in rural-urban land conversion, combing with relevant statistical data and field survey results of this project. The results showed:(1) the welfare compensation received by farmers collective was insufficient to cover its Welfare loss in rural-urban land conversion, (2) farmers’ satisfaction level on compensation for land acquisition and its distribution was generally low, indicating that the subjective welfare loss of farmers collective was serious, (3) the direction and extent of the Impacts of rural-urban land conversion on the regional social, economic, ecological condition and farmers family life were different, but negative effects were more than positive effects on the whole. Then, I revealed the reasons that caused the damage to the collective welfare of farmers from the erosion of farmers collective’s property rights by rural-urban land conversion and the inequality of income distribution within the farmers collective. The results showed that government’s administrative power suppressing farmers collective’s rights and farmer families’ lack of rights were the deep-seated reasons causing the damage to the collective welfare of farmers.ChapterⅦput upward the long-term strategy and realistic way to improve the collective welfare of farmers, aiming at the status quo and root cause of the damage to the collective welfare of farmers in rural-urban land conversion in current China. In the further development trend, long-term strategies to improve collective welfare of farmers included:(1) establishing a new rural-urban land conversion model to make the whole farmers collective’s welfare balanced; (2) prohibiting the erosion of collective and private property rights by executive power and improve the rural legal aid system to protect the legitimate rights and interests of farmers collective and farm families effectively; (3) strengthenning the protection of the right to land contractual management, to prevent the collective infracting individual rights and interests; (4) reformming the collective economic organization of farmers (to establish a kind of joint-stock collective economic organization of farmers), and straightenning out the relationship of property rights within the farmers collective and define peasant families’rights and interests clearly, to achieve a fair and equitable income distribution within the collective of farmers. In the short term, the main realistic ways to improve the collective welfare of farmers were as follows:(1) to heighten the standards of land acquisition compensation and compensate farmers collective for the loss of land property fully; (2) to regulate the income distribution within the collective of farmers and strengthen protection of land rights of farmer families; (3) to establish the basic social security system in rural area.The possible innovation of this paper was as follows:(1)I made clear the definition of the concept on the "collective welfare of farmers" for the first time, put forward three concepts of collective welfare of farmers with different connotations and pointed out these concepts can be used selectively in different research areas, as well I researched the measuring methods of the collective welfare of farmers with different connotation. (2) I established a framework of equilibrium analysis on collective welfare of farmers, and then researched the conditions that could make the collective welfare of farmers balanced in both cases:rural land development right was owned by farmers collective and rural land development right was not owned by farmers collective. On this basis, I proposed a new mode of rual-ruban land conversion. (3)I introduced the "consent agreement" concept into farmers’ collective internal income distribution and proposed that consent agreement on internal income distribution of farmers collective was the second necessary condition for the optimization of the collective welfare of farmers. The paper pointed out autonomy of peasant families must be protected fully and the implementation of consensus decision-making was the way to realize the consent agreement on internal income distribution.更多还原