【作者】 王蒙；

【导师】 谢思全；

【作者基本信息】 南开大学 ， 政治经济学， 2012， 博士

【摘要】 随着经济的不断发展，我国农村城镇化进程不断加快，使我国广大农村的面貌发生了历史性巨变。然而，我国农村的发展仍然面临不少问题和挑战，诸如城乡二元结构矛盾突出、城乡差距不断扩大、农业生产效率偏低等，同时，农村城镇化进程中存在市场失灵、制度障碍等问题，这些问题的存在均表明了政府干预的必要性。政府的积极干预加快了农村城镇化的进程，然而，政府的过度干预也会造成政府失灵，出现诸如农民“被上楼”、土地纠纷等问题。因此，本文通过构建协调博弈的分析框架，利用规范分析和实证分析方法，明确了城镇化进程中政府的功能。主要研究内容如下：首先，本论文分析了城镇化进程中政府的主要功能，并通过构建理论分析模型，研究了土地政策的调整对于城镇化进程总收益的影响，结果表明，政府通过制度创新能够实现城镇化进程中总收益的增加；通过建立实证分析模型，研究了政府增加农业公共物品的支出对农民收入的影响，结果表明，政府通过公共物品的供给能够实现农村集体组织收益的提高，从而实现博弈外部环境的改善，引导农村集体组织积极参与城镇化进程。其次，基于政府干预对农村城镇化的重要作用，构建了以地方政府和农村集体组织为参与人的协调博弈模型，用以描述博弈参与人的策略互动和协调均衡的形成。在考察了影响博弈参与人策略选择的因素的基础上，分析了博弈参与人参与博弈的动力机制、协调问题的基本类型以及协调失败的原因，并通过对协调失败问题进行的理论分析得出了治理方案，如建立博弈参与人之间的沟通机制与互信机制，提高博弈参与人的外部收益以改善协调外部环境，以及建立监督机制等。再次，在理论分析的基础上，通过天津市“三区联动”模式推进农村城镇化的实践经验对理论分析的结果加以验证。分析了“三区联动”模式的产生背景、实施过程以及运作机制等，得出政府推动农村城镇化能够促进区域的协调发展，并将政府的功能定位为“解决一个问题、实现两个平衡、保证三个协调”。为测度农村城镇化的协调效果，构建了农村城镇化发展的评价指标体系，并通过协调系数的测算得出了农村区域经济社会发展的协调度，结果表明，政府的干预有利于实现城镇化、工业化和农业现代化的协调发展。最后，通过以上对农村城镇化进程中政府功能问题的分析得出了以下结论：城镇化发展是解决我国农村经济发展中存在问题的根本方法；政府干预对于农村城镇化进程的发展具有重要意义；城镇化进程中，地方政府和农村集体组织之间存在协调博弈关系，即两者的策略选择之间存在策略互补性和支付外溢性；农村城镇化过程中政府的目标在于通过公共物品的供给实现城镇化进程总收益的增加，通过制度创新，并与农村集体组织之间进行积极沟通搭建互信机制，以减少城镇化进程中的协调成本，合理分配城镇化进程的收益，通过推进区域经济的发展实现协调环境的改善，引导农村集体组织选择合作策略。更多还原

【Abstract】 With the development of economy, the process of rural urbanization continues tobe accelerated, which engenders great changes in our country’s vast rural areas.However, the development of China’s rural areas still faces many problems andchallenges, such as the obvious contradiction between urban and rural structure, thecontinuous expanding gap between urban and rural areas, low efficiency ofagricultural production and so on. Moreover, there are some problems such as marketfailure and institutional barriers which appear in the process of rural urbanization.The existence of these problems suggests the necessity for government intervention.Government’s active intervention could accelerate the process of urbanization.Nevertheless, the excessive intervention of government could cause the governmentfailure to function, such as farmers "to be made upstairs", land disputes and otherissues. Therefore, by constructing the analytical framework of the coordination game,in this thesis, the author defined the government’s roles in the process of urbanization,using the method of normative analysis and empirical analysis. The main contents areas follows:Firstly, the author analyzed the the government’s role in the process ofurbanization. Then, the author analyzed the impact of land policy adjustment on thetotal revenue of urbanization by constructing a theoretical analysis model. It wasshowed that the total revenue of urbanization can be increased through institutionalinnovations. Then, the author analyzed the impact of increasing expenditure ofagricultural public goods on farmers’ income by constructing an empirical analysismodel. The results indicated that the revenue of rural collective organizations can beimproved through government’s increasing public goods expenditure, accordinglyimproving the external environment of the game, and guiding the rural collectiveorganizations to participate actively in the process of urbanization.Secondly, basing on the important role of government intervention in the ruralurbanization, the author constructed a coordination game model in which local government and rural collective organizations are the participants. The model wasused to describe the formation of strategic interaction and coordination equilibriumsbetween agents involved. Basing on the investigation of the impact factors onstrategies choice, the author discussed the incentive mechanisms, major types ofcoordination game and then causes of coordination failure. Then this thesis discussedabout how to solve coordination failures theoretically, and provided correspondingsuggestions, such as fabricating communication and mutual trust mechanismsbetween agents involved, increasing external incomes to improve the externalenvironment of the coordination, as well as establishing supervising mechanisms, andso on.Thirdly, basing on the theoretical analysis, the author verified the theoreticalresults through the practical experience of “3-Zone Interaction” in Tianjin. The authoranalyzed the background, the implementation process as well as the operationmechanism of the “3-Zone Interaction” model, and obtained the conclusion thatgovernment intervention can promote the coordinated development of the region, andthe function of the government was defined as “to solve a problem, to achieve twoequilibriums, to ensure coordination of the three aspects”. To evaluate thecoordination effect of rural urbanization, the author constructed an evaluation indexsystem for rural urbanization, and then assessed the coordination effect of economyand social development through the coordination coefficient estimates in rural areas.The results demonstrated that government intervention is favorable for thecoordination development among rural urbanization, industrialization andmodernization of agriculture.Finally, baseing on the above analysis on government functions, we achievedsummaries as follows: rural urbanization is the fundamental method to resolve theissues during the rural development; Government intervention is of great significancefor the smooth development of rural urbanization; The relationship of localgovernment and rural collective organizations is kind of coordination game in theprocess of urbanization, that is to say, the complementary effect of strategy andspillover effect of payment exist in strategic choice between the two agents; thegovernment functions included: Through the supply of public goods to achieve an increase of total revenue in the process of urbanization, through system innovationand active communication with rural collective organizations to build mutual trustmechanisms, thus to reduce the cost of coordination, and to allocate revenue ofurbanization reasonably, through the promotion of regional economy development, toimprove coordination environment and to guide the rural collective organizations toselect the cooperation strategy.更多还原