【作者】 杨一帆；

【导师】 林义；

【作者基本信息】 西南财经大学 ， 社会保险与经济保障， 2010， 博士

【摘要】 农民社会保障状况的改善是当前中国贯彻可持续发展战略,构建“和谐社会”的关键问题之一,可以预见,农民社会保障理论建设与框架设计会是今后相当长一段时间被关注的热点问题。论文研究的主题是“中国农民社会保障制度建构与农地制度变迁”,研究的目标是研讨中国的农民社会保障制度,涵盖制度的目标、机制、架构和实现途径等。“农地制度与社会保障的关系变迁”是研究的切入点,也是观察的视角。主要是透过中国农地制度改革和社会保障制度改革的历史经验,来论证土地作为基础性资源在现代条件下的社会保障制度中的角色定位和功能作用；同时,也从历史的回顾、解读和反思中,探索未来制度发展的方向；还借以比较中外农民社会保障制度制约条件和发展路径的差异性。论文总共安排9章。其中,第1章导论包括研究背景、基本假设和研究方法,以及论文结构和主要观点等。第2章包括文献综述、理论范式等内容,旨在为研究搭建一个适宜的工作平台。第3章、第4章、第5章和第6章着重农地制度和社会保障的历史比较分析,是经验研究部分,是全文的重点篇章。其中,第3章研究中国的农地制度。从大历史的视角剖析中国独特的土地均分传统、革命斗争逻辑、剩余提取和“以农补工”策略、“三农困境”等一系列存在继起和连续关系的问题,依次考察：传统农耕时代中央集权制下的“均分传统”；半封建半殖民地时期内外交困下的调整动机；革命斗争和土地改革的政治逻辑；初步工业化进程中的集体化、改革开放时期的大包干、包产到户、家庭承包经营等混合制；土地征收征用制度及配套的安置和保障政策。第4章研究中国农民的社会保障制度。依次考察：土地公有化之前(封建社会和半封建半殖民地社会)土地和家庭作为主要保障的基本特点,以及有限的灾害救助等国家介入形式；从土地公有制到土地的所有权和使用权分离,土地和家庭作为传统保障形式所受到的冲击,国家在社会保障制度设计(建立主要由集体负责的农村医疗合作制度、五保供养制度)和基础设施建设(修建基层卫生院)等方面承担的责任,以及集体作为互助保障主要载体在保障系统中角色的提升；土地权利二分、引入家庭联产承包制之后,土地产出和价值上升,家庭功能弱化,国家介入力量的持续加强,以及集体功能的变化和社会力量的成长。第5章专门考察研究被征地农民的社会保障问题。从农地制度、征收制度、安置补偿制度和社会保障制度几者之间的不协调现象入手,通过考察农地征收及安置保障制度的历史变迁,重点引出“土地换保障”、“土地换身份”等近年来广受推崇的政策实践,着重研究其适用性和约束条件,以及潜在的隐患和风险,为后文讨论两者的理论关系架构做进一步的准备。第6章研究英、德等先工业化国家的相关案例。着重考察：英国济贫制度同圈地运动之间的关系问题,总结其农民问题“流民化、贫民化”的经验教训；德国工人社会保险制度同农民失地进城潮之间的关系,总结其农民问题“劳工化”的经验教训。北欧福利国家的社会保障模式,总结其适用性和限制条件。尤其注重考察和比较上述各国政策选择的内外部原因及相互影响机制,引出社会保障作为一种转型期矛盾化解手段在西方国家制度建设过程中所表现出的基本特性。第7章、第8章着重研究两者关系的理论架构、制度理念与模式选择,是理论研究部分,也是全文的重点篇章。第7章将把前文从历史和比较研究中所得到的现象层面的发现,上升到社会保障基本理论的层面,抽象地研究农地制度同社会保障制度的相互关系,及其动态演变的过程和机制,从而为后文探讨农地制度和社会保障制度的具体结合,以及构建农民的社会保障制度框架做好理论上的准备。依次考察,农地作为自然资源、生产资料和生活场所的基本属性,以及用途转换中价值跃升等性质；分析“不确定性”的广泛存在,如：农业生产的不确定性、土地细碎化和产出质量的效率问题、资本化的不确定性、用途转换的不确定性、增值分享的不确定性、外部经济环境的不确定性(外部市场的价格波动)等；分析“从土地到收入、从收入到保障”这个链条,从筹资和给付的角度,将上述多种机制整合到一个体系之内——“基于农地的共同保障”。第8章将联系中国改革实际,把统筹城乡社会保障制度建设同土地制度改革结合起来,比较和剖析当前广泛争议的两条发展道路：即以土地私有化或变相私有化为基础的“国家+市场”的个体化社会保障模式,以及以坚持土地集体所有制公有化为基础的“国家+集体”的合作化社会保障模式,主要分析两者的实质和差异。第9章是结论部分,将概括本论文的基本研究结论和十条政策建议。本文认为,中国制定农村和农民的社会保障政策必须以服从国家长期发展战略和维护国家竞争能力为前提,要控制政府对福利保障项目的直接支出；确保土地公有制不改变,注重创新所有制实现形式、释放土地功能,实现农民社会保障资金来源的多元化；勇于突破西方语境下的社会保障观念、理论和体系,唯有此,才能走出一条真正适合国情的制度创新之路,为广大发展中国家的社会保障理论与实践做出具有深远意义的贡献。论文主要观点包括：1.土地制度作为国家基本制度的一种,是国家汲取能力的重要体现,是国家动员与调度社会资源的核心途径；而社会保障制度作为另一种国家基本制度,则是国家再分配能力的主要体现,是国家维护社会分配正义的核心途径。两者之间存在紧密的内在联系和互动关系。2.摆正农民社会保障在国家发展战略中及国际经济政治大环境下的位置。社会保障制度的建设和福利模式的选择,不仅是国内问题,也是国际政治经济体系等外部因素影响的结果。3.强调国家作用。越是土地矛盾严重、封建传统深厚的后发展国家,土地制度对社会保障制度等其他国家基本制度的影响越大,越需要国家在社会保障等再分配制度建设过程中发挥强有力的主导作用。4.凸显土地产权在现代条件下的极端重要性。中国作为有着悠久农耕传统和农民人口众多的后发展大国,首先需要明确土地制度的性质及其与社会保障制度的相互关系,构建以土地制度为基础的社会保障体系。而西方发达国家以工业化社会为基础的农民社会保障模式,对中国缺乏充分的借鉴价值。5.提出制度的框架构想和工具组合。建立一个以国家基本生存保障(贫困救助)为基底,以基于农地使用权的工作保障和合作化的农民互助保险为主体,以基于集体土地所有权而获得的各种分成、补贴和农地金融(小额贷款、小额保险)收益为补充的农民社会保障体系,是一个比较符合实际的选择。论文创新之处在于：1.从基础理论的角度,比较抽象地研究了土地制度同社会保障制度之间的关系架构,提出了两者协调共生的互动模式。2.通过对中国和其他国家的历史对比,剖析农地制度和农民社会保障之间的关联,论证社会保障制度同各国工业化战略和现代化转型过程的紧密相关,在此基础上结合中国国情,寻找符合自身国家特点的农民社会保障体系。如果通过研究的过程成功验证了其适用性,可以据此经验提出一套新的社会保障理论分析框架和新的概念体系。3.立足于国情,对西方社会保障理论在中国可借鉴性的弱化作了充分解释。西方国家基本上都是把工业化作为社会保障基本理论和制度设计的研究前提,中国的条件截然不同。我国土地改革先于工业化,这是根本区别,且人口众多、农村人口占比高、二元结构长期存在。这种情况下,应充分发挥土地因素在社会保障制度设计中的作用,在土地政策同社会保障政策之间建立紧密联系。4.充分借鉴土地经济学和土地资源管理的研究成果,在理论上将土地产权模式归纳为：私有自用的两权合一制、私有非‘自用的两权分离制、私有公用的两权分离制、公有自用的两权合一制、公有非自用的两权分离制和公有私用的两权分离制等六种模式,论述了不同农地制度模式和社会保障制度之间的关系架构。5.对于农民社会保障的具体制度设计,综合考虑了救助性、保险性、补偿性、收益性再分配等多种手段,发展了现有理论——社会保障主要以参保缴费或财政转移为手段的定势,有助于完善制度框架体系,拓展资金来源渠道。论文不足之处在于：1.偏重采取历史的制度分析方法,可能不得不忽略历史演进过程中的一些细枝末节,“大历史”的视角容易导致“小细节”被遗忘。2.实证部分偏重对重大“历史情境”和“大事件”的观察,主要依靠国家统计数据和部分研究的零星调研数据。由于本研究不具备开展大型数据搜集的条件和能力,因此,缺乏大规模实地调研和可供计量分析的数据,难以进行计量检验。3.为了尝试将土地制度和社会保障制度同时作为国家基本制度来协同研究,不得不首先将两者的位置放到同一个层级,由此,可能存在将社会保障制度地位过度“提升”的嫌疑,这仍值得深入研究。更多还原

【Abstract】 “Making a Study on the Construction of Social Security System and Institutional Change of Rural Land System in nRural China’”is an academy paper aim to help inform debates about the rural social security system in China, which contains range framework to mechanism about this unique system.Changes of the relationship between rural land system and social security play a breakthrough role in this paper, arguing the orientation and function of land, a based resource, under the modern social security system through China’s history experience in reform. Contemporaneously, it is exploring the route for future plan from the retrospection and recollection, last but not the least, comparing the difference in the constrained condition of rural social security between Chinese and Foreign.Chapter 1 consists of background, basic assumption, methods and framework of the paper. Chapter 2 includes a variety of methods in detail, range from literature review to paradigm, and is introduced in order to build a stage for the following argument.Chapter3,4,5,6 focus on the comparator of social security & farm land system in different times. These chapters are the most important parts of whole issue. Chapter 3 mainly pays attention to the farm land system, using a historical method to analysis the relationship among them. we will address the flat distribution which came from a centralization system of Agrarian age、the motivation of change of inner political & diplomacy in a difficulty time in early 19s、the political logic of the revolution & the land reforming, collectivization, HRS and the compensation and livelihood security policy. Chapter 4 focuses on the social security of farmer. We will introduce the basically functions of land used as security before the land reforming which change the ownership from private to nationality、national action such as limit succor. We will also address the change of land from totally owned by nation to the separate of ownership and the right of use, the challenge that land and family functioned as security、the responsibility that the government hold to build a social security.Chapter 7,8 emphasize the framework, institution and model which implicated in their relationship turn to be the core chapter within the whole paper. Chapter 7 advances the fact up from the facial level to the academic level. Do researching the correlative of those two systems, in order to prepare the following two aspects:details of the combination of the two systems and construction of rural social security system; and observing the properties of land including uncertain, value improving etc. The paper firstly analysis "the uncertain" is worldwide, for example, agricultural product uncertain, capital uncertain, sharing improvement uncertain, external environment uncertain. Secondly, take the financing and payment perspective to the chain, which put those systems together. Chapter 8 combines the urban-rural integrated social security system with rural land system, comparing the two controversial routes:"country plus market" which based on land prevarication; "country plus community" which based on socialization as well, mainly looking for their difference and substance.Chapter 9 includes the basically conclusion of this issue and 10 pieces of advices. As talked above, the author believes that any social security policy should be built under the total national plan for the long run as well as promotes the power of the nation. The system that the government has the right to own land should be consistent; meantime, to develop the method of using the land to make wealth to build to social security system of farmer is also necessary.The author has such ideas:I.The land system as a basement of the national system is the guarantee of the nation to draw the power. The social security system, however, represent the ability that a nation has to re-assign the social resources. The two important systems exit a close link.2. Re-assess the social security of farmer. This system is not only the reflection of domestically develop situation but also is under the influence of the international factors.3. Emphasize the responsibility of government.4. Emphasize the property right of lands. China has a long farming history and short industry history, which means, in social security aspect, we should understanding links between land system and the social security system of farmers in order to build a land-based social security system 5. Profile the frame of such system and instruments might be used. Highlights of the paper:1. Looked from the selected topic and the research vision, this article has developed the research field. Abstractly researching the relationship between land system and social security system with basic theory and improving correlative model to compatible them.2. With history comparative, the paper arguing the fact that social security system holds a strong relative with countries’ strategy reform, while combining Chinese situation, seeking for the suitable rural social security system.3. Based on our Chinese condition, reduce lessons from comprehensive explain with western social security theory.4. Draw on the experience of land economics and land resource management.5. Design the detail rural social security institution, covering salvation, insurance, expiation, incre and redistribution to improve this theory.Shortages of the paper:1. Have a bias toward historic institutional analyze, in this way, some important detail would be ignored which led to a imperfect conclusion.2. Demonstration tend to explore the macroscopic view with so much state data, because of no enough sources to complete this study all by itself. Therefore, lacking of cosmically researching data, we can hardly certify computation.3. In order to investigating both land system and social security as the country basic system in the same time, we have to set them in the same class so that a puzzle arising whether social security system be regarded too significant.更多还原