【作者】 张继道；

【导师】 卢新海；

【作者基本信息】 华中科技大学 ， 土地资源管理， 2012， 博士

【摘要】 我国的土地整理项目投资效率问题一直是理论界与实务界关注的焦点。本文紧紧围绕土地整理项目管理模式对投资效率的影响这一研究主题,深入研究了土地整理项目投资效率的概念内涵,并从项目全寿命周期过程的角度,分阶段探讨了项目管理模式对投资效率的影响,并构建相关的理论模型对项目管理模式对投资效率的影响机理进行了分析,最后提出了创新项目管理模式,提高土地整理项目投资效率的策略和措施,主要研究工作与成果如下：(1)完成了土地整理项目投资效率基本概念的界定与项目管理模式对投资效率的影响的研究体系之构建。首先,在总结已有研究文献的基础上,提出土地整理项目投资效率的价值目标主要由结果目标和功能目标集合而成。土地整理项目投资效率测度要以价值目标为基础,效率指标分为结果效率和功能效率两种,结合土地整理项目的特征,其投资效率测度应遵循结果取向和过程取向等价值取向。其次,从项目全寿命周期角度出发,土地整理项目可以分为投资决策、建设管理和运营管护等三个阶段,针对项目的每一过程,分别构建了项目管理模式对投资效率影响的分析框架。(2)土地整理项目投资决策模式对投资效率的影响。土地整理项目的投资决策模式具有多层委托代理关系的特征,在多层委托代理链中,实现了产权两个方向的转移,并存在政治委托、行政委托和半行政委托等三个不同类型不同层次的委托代理关系,委托代理链条中产生的委托人问题和代理问题是影响土地整理项目投资效率的关键性问题。文中运用委托代理理论构建模型,阐述了在项日决策过程中存在着严重的效率损耗机制,委托代理链条越长,初始政策的扭曲就越严重,而造成资金在决策过程中的损耗也就越大。(3)土地整理项目建设管理模式对投资效率的影响。文中分析了建设管理中各利益主体的行为特征,研究了土地整理项目建设管理中不同利益主体的利益关系,通过建立博弈数学模型,对项目建设中各利益主体的博弈行为进行了深入分析,为创新土地整理项目建设管理模式提供了可靠的理论论证。具体建议如下：①实行土地整理项目的市场化代建模式；②实行按工程施工进度报账的资金管理制度；③培育项目建设管理中相关主体之间的信任机制。(4)土地整理项目运营管护模式对投资效率的影响。对于土地整理项目运营管护,应推进公私合作,打破项目公共产权的制度缺陷,因地制宜地运用承包、租赁、拍卖、参与管护、自主管护、股份合作制和用户协会等多种模式,提高项目运营效率。(5)土地整理项目实施的“增耕”效果为：①2001～2010年期间,湖北省土地整理项目新增耕地面积数量累计达到31025.01公顷,年均新增耕地达到3102.50公顷。其中,国家级项目对新增耕地面积的贡献率达到62.99%。这十年期间,在年度新增耕地变化趋势上,新增耕地数量呈现出先减少,后陡然增加,再减少到一个稳定水平后,之后再陡增的特点。从项目建设规模的角度看,2001～2010年期间,湖北省上地整理项目新增耕地面积数量总共达到31025.01公顷,年均新增耕地达到3102.50公顷,年均新增耕地率为4.27%,但新增耕地率随时间的推移呈现出逐年递减的趋势；从土地整理项目投资规模的角度来看,2001～2004年,土地整理项目单位投资的新增耕地而积均超过了0.05公顷/万元,基中2001年的单位投资新增耕地面积最高,达到0.1362公顷/万元,2004年的单位投资新增耕地面积最低,但也达到了0.0540公顷/万元。②土地整理项目“增耕”效果的区域差异。首先,传统农业地区的新增耕地面积大,其中,平原地区的项目数量多,投资规模大,新增耕地多,山地和丘陵地区新增耕地数量相对较小。其次,新增耕地主要集中在粮食主产区,非粮食主产区的新增耕地面积则较少。第三,从土地整理项目建设规模的角度看,山地和丘陵地区的土地整理项目新增耕地率水平较高,平原地区土地整理项目新增耕地率水平相对较低。但是,虽然在山地和丘陵地区进行土地整理的获取新增耕地的潜力较大,但其单位规模投资也较大,相对于平原地区而言,需要的资金投入也更多。(6)计量经济学方法的实证检验表明,土地整理项目投资与粮食总产量之间在指数增长的过程中存在长期稳定的均衡关系,土地整理项目投资每升高一个单位,粮食产量将升高7.604158个单位。Granger因果关系检验表明,土地整理项目投资与粮食产量增长的相互Granger因果关系比较明显,二者互为因果,这说明,土地整理项目投资能够带来粮食产量的增长,粮食产量的增长又进一步刺激了土地整理项目投资的增长。基于经典的C-D生产函数的分析表明,当前湖北省的粮食产量增长还主要时靠各种投入的增长,生产要素投入的增加决定了湖北省粮食增产的相当部分,而这其中土地整理项目投资对粮食的增长也起了重要作用。但是,当前湖北省土地整理项目管理模式对投资效率的提高带来了较大的负面影响。本文可能的创新之处在于：基于经济学、政治学、管理学等多学科的有关理论,采用定性与定量、理论与实证、案例与比较分析相结合的方法,从项目全寿命周期的角度,分阶段深入研究了项目管理模式对投资效率的影响,揭示了有效提高土地整理项目投资效率的内在机理,并以湖北省为例,对土地整理项目的投资效率进行了实证测度,并分析了项目管理没对投资效率的影响。这些研究在理论上突破了国内现有研究至今仍局限于具体项目或政策等宏观层面的探讨,拓宽了我国土地整理项目投资效率问题研究的视野；在方法上,使研究更加规范化和系统化；在成果上提出了有关政策建议和能适用于不同地区类型各异的土地整理项目的管理模式,对于促进我国土地整理事业的可持续发展,具有重要的实践意义。更多还原

【Abstract】 China’s investment efficiency of land consolidation project has always been the focus of attention for both theorists and practitioners. This paper, closely centering on the theme of land consolidation project investment efficiency, makes an in-depth study of its concept and connotation, discusses the impact that project management pattern exert on investment efficiency, and constructs relevant theoretical model to analyze how project management pattern affects investment efficiency. In the end, the author proposed strategies and measures to innovate project management pattern so as to improve investment efficiency of land consolidation project. The main research results are as follows:(1) This paper defines the concept of land consolidation project investment efficiency evaluation and also constructs a research system to analyze the impact project management pattern has on investment efficiency. First of all, it is proposed that the value objective of land consolidation project investment efficiency is comprised of outcome objective and functional objective based on the existing literature; it’s also proposed that land consolidation project investment efficiency should be evaluated on the basis of the value objective by examining two efficiency indicators, i.e. outcome efficiency and functional efficiency, and taking into consideration the characteristics of the land consolidation project and that investment efficiency evaluation should follow the outcome-oriented and process-oriented results. Secondly, from the perspective of the project life cycle, the land consolidation project can be divided into three stages-investment decision-making stage, construction management stage as well as operation management and protection stage. The analysis framework is constructed for each stage of the project, analyzing how project management pattern affects investment efficiency.(2) The effects of decision-making pattern on investment efficiency. The decision-making pattern is characterized by a multi-layer principal-agent relationship, in which, property right is transferred in both directions; three different principal-agent relationships, with different type and level, exist in this multi-layer principal-agent relationship:political principal-agent relationship, administrative principal-agent relationship and half-administrative principal-agent relationship; the principal issue and agent issue in this relationship chain are two key factors affecting investment efficiency of land consolidation project. The author states that there is a serious efficiency loss mechanism in the decision-making process by using agent theory. Moreover, the longer the chain, the more distorted the initial policy is, causing greater investment loss in the end.(3) This paper also shows how construction management pattern affects investment efficiency. The author not only analyzes the behavioral characteristics and interests of various stakeholders but also probes into their relationship in construction management. Moreover, the author makes an in-depth study of the stakeholder’s game behavior by establishing mathematical model based on game theory, thus providing a dependable theoretical evidence for the innovation of land consolidation project construction management pattern. Three specific policies are recommended:(1) to establish a market-driven agent construction mode for land consolidation project;(2) to practice a fund management system which requires account according to the engineering construction progress;(3) to build a mechanism of trust for relevant subjects in project construction management.(4) The paper also explores the impact of land consolidation project operation management pattern on investment efficiency. It’s suggested that public-private cooperation should be promoted for the land consolidation project operation management in order to remedy the deficiencies in the system of public property and that the operation efficiency could be improved according to local conditions by using various modes such as contracting, leasing, auction, participating in management and protection, joint stock cooperative system, and user associations, etc.(5) The effects of the increased project of cultivated land area are as follows:(1) the newly increased cultivated land area reached31025.01hectares from2001to2010in Hubei province, with an annual increase of3102.50hectares. The contribution rate of the state-level project was62.99%. During this period, the trend of the number of the newly increased cultivated land had the following characteristics:reduce, sharp increase, reduce to a stable level, and sharp increase in the end. As for the project scale, the newly increased cultivated land area reached31025.01hectares in toral from2001to2010in Hubei Province, with an annual increase of3102.50hectares, with an average annual increase of4.27%. However, the increase rate of newly increased cultivated land was decreasing year by year. From the perspective of investment scale, per unit investment in the newly increased cultivated land was more than0.05ha./million, of which per unit investment in2001was the highest, reaching0.1362ha./million, and that in2004is the lowest--0.0540ha./million.(2) Regional differences existed in the effect of the increase project. First, in the traditional agricultural area, the newly increased land area was bigger: there were more projects, larger scale investment, more newly increased cultivated land in the plain area, while relatively small amount of newly increased cultivated land in the mountain and hilly areas. Second, the newly increased land was intensively located in the major grain producing areas, and consequently less of the land in those non-grain producing areas. Third, from the angle of construction scale of land consolidation project, the proportion of the newly increased cultivated land in the mountainous and hilly areas were higher while the proportion in the plain area was relatively lower. However, although greater potential existed in the mountainous and hilly areas as for increasing new cultivated land, more investment was required in the meantime.(6) An Empirical Test of the econometric methods shows that there is a long-term stable equilibrium relationship between land consolidation project investment and the total grain output following the growth of index. The grain output will increase7.604158units with one more unit of investment increase. Granger causality test shows that the land consolidation project investment and growth of grain output have a mutual Granger causality relation, and both of them can be used as cause and effect. This indicates that the investment on land consolidation project could bring about grain output growth, and grain output growth could further stimulate the growth of land consolidation project investment. According to the analysis of the classic production function--C-D, it shows that the growth of grain output growth in Hubei province still largely relies on various inputs, and that increased inputs of production factors determine a substantial part of grain output growth, among which investment in land consolidation project has also played a very important role in the grain output growth. However, the present management pattern in Hubei province has a much negative impact on the investment efficiency increase. The innovations of this paper include:based on relevant theories of economics, political science, management and other disciplines, using a combination of various methods, including qualitative and quantitative, theoretical and empirical, case studies and comparative analysis, the author conducts an in-depth research on the impacts of project management pattern on investment efficiency in different stages, and reveals the inherent mechanism that can effectively improve the investment efficiency of land consolidation project from the perspective of the project life cycle; meanwhile it also estimates the investment efficiency in a practical way and analyzes the effects of project management pattern on investment efficiency by taking Hubei province as an example. Unlike the existing researches, which are mostly confined to macro-level studies, like specific projects and policies, this paper could be used as a breakthrough in theory, broadening the horizons of the study on land consolidation project investment efficiency. As for research methods, more standardized and systematic approaches are adopted. Regarding the outcome, both related policy recommendations and the management patterns that can be applied to different land consolidation projects in different land types, have great practical significance for the promotion of sustainable development of land consolidation.更多还原