【作者】 田光明；

【导师】 曲福田；

【作者基本信息】 南京农业大学 ， 土地资源管理， 2011， 博士

【摘要】 改革开放以来我国经济高速发展,现阶段已进入工业化中期。但我国的城乡差距仍然在不断拉大,农村经济社会发展仍然严重滞后。一方面是城市的日益繁荣,另一方面是农村经济和社会发展的滞后和面临着一系列的矛盾和问题,城乡二元结构的存在严重影响着我国全面建设小康社会目标的实现。因而,缩小城乡差距、实现城乡融合协调发展成为我国进入工业化中期和新世纪头二十年要解决的重点问题之一,也是推进发展方式转变的基本要求。十六大以来我国将城乡统筹作为全面建设小康社会的根本要求和解决“三农问题”的根本路径。但由于受长期二元体制的影响,当前仍然存在的二元户籍制度、二元土地制度、二元公共资源配置制度严重影响着城乡关系的转换和城乡融合发展的实现。因而,制度的改革和创新成为推进城乡统筹发展的核心环节。土地制度是农村的基础制度。由于长期的二元土地制度,农村土地制度存在明显缺陷,使大量农地流失,农村土地财产被低价“掠夺”,出现大量的失地失业农民。在工业化、城镇化加速发展阶段,农村劳动力向城市转移成为必然,但由于农村土地制度缺乏相应的激励和约束机制,“人动与地动”严重脱离,农民权益受损、土地利用效率低下。土地是承载一切要素流动的基础,城乡统筹发展过程中所有要素的流动都和土地有所联系,人口的流动、产业的转移和升级等都涉及土地要素利用方式和利用格局的改变。通过农村土地制度改革创新,完善土地制度的激励约束功能,不仅保障农民权益、提高资源配置效率,同时还能推进农村人口转移、产业升级等,对于推进城乡统筹发展具有重要的现实意义。本文首先运用二元经济理论对我国城乡二元结构特征进行分析,提出我国城乡统筹发展的关键问题、核心环节和本质要求；并从城乡统筹的本质要求出发审视城乡统筹对土地制度的要求,分析当前农村土地制度与城乡统筹发展之间的矛盾,并从城乡统筹的本质要求出发构建农村土地制度改革的总体思路,并以统筹城乡土地制度中的重点和难点问题：宅基地为例,进行分析并加以实证。城乡二元经济理论认为城乡二元结构转换的根本在于乡城之间的要素流动,带动农村要素利用效率不断提升,当城乡之间的要素边际生产率达到相等时,城乡二元结构消失。但我国二元制度将城乡相互割裂,城乡二元制度下的要素流动“剪刀差”使城乡差距不断拉大。因而,我国的城乡统筹核心是从制度上建立新型的城乡关系,让要素能够在城乡之间自由流动,农民能够分享工业化、城镇化进程中要素增值的收益,激励经济主体行为,推进资源配置效率的提升；而这种要素自由流动的本质要求在于城乡居民能够享有在产权和治权的平等统一。因此,城乡统筹的核心是从制度上建立新型的城乡关系,关键是要素的自由流动,本质是产权和治权的统一。从这一角度分析,城乡统筹对土地制度的要求,表现在：①需要城乡土地产权的对等和权能的完整明晰,农民权益得到保障；②需要市场在城乡土地配置中起基础作用；③需要规划管制的完善为城乡土地优化配置提供外在框架。然而,当前农村土地制度存在诸多缺陷严重影响着城乡统筹进程。农村土地制度缺陷表现在：一是由于农村产权主体不明、产权不对等、产权权能缺失、产权不规范及缺乏实现机制等,导致产权缺乏激励约束功能,无法对农民权益予以保护,资源配置的效率低下；二是征地制度将城乡土地市场割裂,城乡土地行政性配置与市场经济体制深化改革相矛盾；此外农村承包地流转市场建设的滞后,农地利用细碎严重影响利用效率；三是,城乡规划管理长期分离,缺乏城乡土地利用统一的、整体性的规划管理体系,严重影响城乡空间结构布局和要素空间配置。由于土地制度的缺陷,严重影响城乡统筹进程,主要表现在：一是农民财产权益得不到保护,农民不能完全脱离与土地的联系,农民城市化表现为一种“伪城市化”过程,严重影响着城市化进程、农地流转和农村劳动力生产效率的提高。二是城乡市场割裂导致的要素流动非均衡性,农村闲置的建设用地无法进行盘活,与一体化市场配置相矛盾；三是城乡空间规划缺失导致空间形态混乱严重影响城乡空间融合发展的实现；四是相关配套保障缺失导致人口流动、农地流转与现代农业发展滞后。农村土地制度缺陷影响城乡统筹进程,就需要对农村土地制度改革创新,完善土地制度基本功能,以适应城乡统筹发展的需要。从城乡统筹角度来看,农村土地制度改革创新的目标是实现效率与公平的统一。要素的自由流动是城乡统筹的关键,实质上就是要素配置的市场化改革。市场交易的实质是产权的交换,一方面是产权的界定清晰、权能的完整,产权本身的问题；另一方面是产权能够实现、可以交换、受到保护,是产权实现的外在环境问题,是通过什么机制实现,受到什么样保护的问题。因此,本文提出农村土地制度改革的逻辑主线为：土地产权和土地治权。从城乡统筹角度看,土地产权改革总体方向是：在坚持农村集体土地所有制的条件,不断强化和完善集体土地使用权物权属性,强化产权激励和约束。给予农村集体土地所有权和国有土地所有权同等的产权权利,将农村集体土地所有权和使用权进行分离,让农村集体土地使用权和城市国有土地使用权享有同等产权功能。在使用权设置上,统一建立集体土地使用权,再根据分类(承包地、集体建设用地、宅基地)进行分类管理,根据不同的土地利用类型确定产权主体和建立不同的实现形式。产权的界定和明确是基础,产权的实现是最终的目标。产权的实现形式表现在交易的形式上。城乡统筹要求让市场在城乡土地配置中发挥基础作用,但由于不同的土地利用类型特性不同,需要建立不同的治理方式或治理结构来实现产权。本文认为土地治权实质上就是统筹城乡土地配置治理结构选择。由于宅基地的特殊性,宅基地制度改革成为城乡统筹进程中农村土地制度改革的重点和难点。本文根据宅基地的特性,借鉴Williamson划分社会科学研究的四个层次的思想,建立“从下到上”一个分析范式,形成资源配置机制、制度环境、制度设计的三层次分析框架对农村宅基地制度改革进行分析。借用新古典经济学、空间经济学、新制度经济学分析方法,对宅基地配置机制、制度安排和设计等分析认为,由于宅基地的特殊性,在当前城乡一体的体制机制尚未建立健全的条件下,宅基地配置应坚持“政府主导”的治理结构,当前宅基地流转只能是一种限制条件下的流转和配置。同时,由于存在外部环境的区别,制度安排应该根据区域特点,形成差异化的制度安排。对于宅基地制度设计,在全国层面只能是提出一些原则性的制度安排。通过对宅基地制度分析,本文得出对农村土地制度改革的启示：①产权的对等、明晰和权利的可实现是农民权益保护和资源重新配置的基础；②在城乡统筹进程中,存在政府行政干预的必要性,但仍需推进政府职能转变,让土地重新配置收益流向农村；③农村土地制度存在用途类型和地域差异,因而必须推行差异化的制度安排；④改革征地制度、保护农民财产权益,防止发生二次大规模的农村资产的掠夺；⑤城乡统筹最终需要以制度创新推进“人-地”互动。基于上述的研究结论,本文提出以下政策建议：①统一和健全相关法律法规,从城乡统一土地产权体系出发,建立土地立法,建立对等的国有和集体土地使用权,对集体土地与国有土地的所有权与使用权实行同等保护,并对集体土地使用权进行分类管理,将产权设置和用途管制分开。②改革征地制度,打破政府垄断一级市场,规划范围内让集体建设用地拥有同样的产权权利进行市场化配置。③保护农民权益,改革收益分配机制,建立收益“返还”机制,让农民分享工业化、城市化中的要素增值收益,切实保护农民享有的土地财产权益。④创新公共财税体系,增设物权税等税种,保证地方政府的财政收支。⑤强化规划管理,坚持用途管制,建立城乡一体的规划管理体系。⑥完善相关配套改革,土地制度改革必须与其他相关制度同时进行,如户籍制度、社会保障、公共资源配置等,以达到综合配套改革的总体效果。更多还原

【Abstract】 Since reform and opening-up, China has been enjoying the high-speed economic development, and now has entered the middle stage of industrialization. But Urban-Rural disparity has been still widening with the fact that the rural economy and social development are still the serious lag. On the one hand urban is increasing prosperity, rural economy and social development, on the other hand, are laging behind, facing a series of contradictions and problems. Urban-Rural dual structure has delay realizing the goal of Overall Well-off Society. Therefore, narrowing the gap and realizing’the coordinated development between urban and rural are the key objectives in the middle stage of industrialization and the first two decades of the new century. And it is also a basic requirement to promote development mode change. Thus, the communist Party put up the theory of coordinating urban-rural development in the sixteenth national congress, and took it as the basic requirements of Overall Well-off Society, and the fundamental path to solve the "Three Rural Issues". But the long-term influence of dual system, the dual household system, dual land system, and dual public resource allocation system have delay realizing coordinating Urban-Rural. Therefore, the institution reform and innovation become the core to promote the balanced urban and rural development.Land institution is the rural essential system. Due to long-term dual land institution, the rural land institution exhibits the obvious limitation, resulting in lots of land loss and deprival of the rural land property which case emerge of a lot of land-lost and unemployed farmers. In the accelerated industrialization and urbanization development stage, the transfer of rural labor from rural areas to city is inevitable. But as a result of the lack of incentive and constrained mechanisms in the rural land institution, both rural labor and rural land transfers are broken off, farmers’rights are infringed, and land use is inefficient. Land is the basic foundation platform of all factor transfers. All elements transfer are highly contacted with land. Population transfer, industrial transfer and upgradation have contacted with land use means and pattern. So it is meaningful to protect farmers’ rights and interests, improve resource allocation efficiency and promote rural population transfer and industrial upgradation through rural land institution reform and innovation aims at incentive-constrained mechanism of land institution. This has an important practical significance to promote coordinating Urban-Rural.First, this paper analyzes the characteristics of the urban-rural dual structure in china using dual economic theory, and comes up with the key problems, the core links, and essential requirements in the balanced urban and rural development. Meanwhile it analyzes requirements of land institution from coordinating Urban-Rural and the conflicts between current rural land institution and urban and rural development. Based on the analysis, it constructs an overall framework of rural land institutional reform which is examined empirically via an example of residential land.Dual economy theory takes factors flow between urban and rural area as the fundamental requirement to transform Urban-Rural dual structure. The factors flow will promote use efficiency of rural factors, and when the marginal productivity of factors between urban and rural areas becomes equal, urban-rural dual structure will disappear. But dual system hinders the factors flow, and the "price scissors" make urban and rural gap became more serious. Therefore, the core of coordinating Urban-Rural is to build a new institutional relationship between urban and rural areas, making facotor flows freely between urban and rural areas. In such an environment, farmers can share the earnings in the process of industrialization and urbanization. It also promotes resource allocation efficiency. Equal property and Governmental-Power between urban and rural residents are essential requirements of free factor flow. Therefore, the core of coordinating Urban-Rural is to build a new relationship between urban and rural areas from the system, the key is to let factor free flow, and the essence is the unity of property rights and Governmental-Power. From this perspective, the rural land institution requires that:①the property rights should be complete and clear to protect farmers’ rights;②market should play a basic role between urban and rural;③Urban-rural planning should be complete to provide external framework for land allocation.However, there are many defects in the current rural land institution which delays the process of coordinating Urban-Rural. The land institutional defects include:①The rural land institution is characterized with the unequal and unknown property subject, the absence of power, unregulated of property rights and lack of realization mechanism. This characteristic leads to lack of incentive and restraint mechanisms of land institution, and ill protection of farmers’ rights as well as low land allocation efficiency.②Urban and rural land market are separated by land expropriation system. land administrative allocation is contradicted with land market allocation, which rduces farmland use efficiency.③Long-term isolation of urban and rural planning management has serious influence on urban-rural spatial structure and spatial configuration of factors. The land institutional flaws impact on coordinating Urban-Rural. Firstly, becouse farmers’ property rights cannot be well protected, farmers are not completely break away from land, and "fake urbanization process" poses serious influence on urbanization, farmland transfer and rural labor productivity. Secondly, the separation of urban and rural markets hinder factor flow, which conflicts with integration market. Thirdly, lack of the spatial planning cannot realize spatial mixture between urban and rural.Lastly, insecurity delays population flow, farmland transfer and modern agricultural development.The rural land institutional deficiency affects the process of coordinating Urban-Rural. We therefore need undertake the rural land institutional reform and innovation to improve land institutional basic function, and to adapt to the needs of the development of coordinating Urban-Rural. From the perspective of coordinating Urban-Rural, the goal of the rural land institutional reform and innovation is to realize the unity of efficiency and justice. It contains optimizing farmland conversion scale, improving urban and rural land allocation efficiency, protecting farmers’ rights, and providing basic institutions and operation mechanism. The key point of coordinating Urban-Rural is factor free flow. The essential of factor flow is market-oriented reform. The essence of market transfer is property exchange. On the one hand, property right needs to be defined clearly, and give complete power. This is the internal issue of property right. On the other hand, property can be realized and exchanged. This is the environmental issue of property rights which is related to property rights protection. Therefore, this paper proposes a logical framework of rural land institutional reform which integrates the land property rights and land Governmental-Power. From the perspective of coordinating Urban-Rural, the overall reform direction of land property rights is to insist rural collective land ownership, constantly strengthen and perfect collective land use rights (property rights), and strengthen the property right incentive and constrained function. Besides it is necessary to give equal rights between rural collective land ownership and state-owned land ownership, separate rural collective land ownership and use rights, give rural collective land and urban state-owned land enjoy equal rights function. In land use right setting, we should establish collective use rights, and then establish different subjects and realization form according to the classification (farmland, collective construction land, residential land). The clear definition of property rights is the foundation, and the realization of property right is the ultimate goal. The form of property realization is trade forms. The requirements of coordinating Urban-Rural are to let market play a basic role on urban and rural land allocation. But due to the fact that different types of land have different use characters, and need to build different governance. This paper argues that land Governmental-Power is governance structures, different types of land match with alternatives of governance structures according to transaction cost and certain conditions.Because of the particularity of residential land, residential land institution is the key and difficult in the process of Coordinating Urban-Rural. According to the characteristics of residential land, we bing in four levels of social science research by Williamson, Establishing a "bottom-up" analysis paradigm, we take residential land as an example to analyze residential land allocative mechanism, institutional arrangement and design. Because of the particularity of residential land in the current urban and rural disintegration, the allocation of residential land need more role of government and current residential land can only be traded in a restricted condition. At the same time, because of the difference in existing external environment, institutional arrangement should form differentiation arrangement of land system according to the regional characteristics. Regard to residential land institutional design, we only put forward some principled arrangements at national level. Based on analyzing the residential land institution, we conclude that:①it is a foundation to take property rights equivalence and clarity for farmers’rights protection and resource reconfigured,②in the process of coordinating Urban-Rural, it is necessary to conduct governmental administrative intervenes, but government functions should be transformed, only in this way can land reconfigured returns be given to the rural area.③the rural land institution exist reginal differences, thus it is crucial to introduce different institutional arrangements;④we need to reform the expropriation system to protect farmers’property rights and prevent the occurrence of second large-scale rural assets depredation;⑤institution innovation is needed to promote population flow and land transfer.Based on the above research conclusions, this paper puts forward the following policy suggestions:①uniting and completing laws and regulations. From the land property rights system in accordance with Rural-Urban Integration, we should establish the land legislation in order to give equal protection and equal power to the state-owned and collective land.②reforming the expropriation system, breaking the governmental monopoly, and endowing collective construction land with the same property rights to enter market.③rotecting farmers’ rights and interests, reforming income distribution mechanism, and establishing income "refund" mechanism which enable farmers to share appreciation income in industrialization and urbanization.④nnovating public fiscal system, seting up the property tax and ensuring local government tax budgetary revenues and expenditures.⑤strengthening planning management and land use control in order to establish Rural-Urban Integration planning management system.⑥reforming relevant institution. Land institution and other related ones, such as household registration system, social security, public resource allocation should be reformed simultaneously.更多还原