【作者】 王佳宁；

【导师】 陆佑楣； 强茂山；

【作者基本信息】 清华大学 ， 管理科学与工程， 2013， 博士

【摘要】 水库移民工作已经成为政府、移民等利益相关者面临的世界性难题。交易成本是产权制度分析的基础理论，本研究以交易分析为最小单位，将水库移民视为政府与移民间就土地权利进行的交易，对交易行为、交易规则、以及二者之间的互动作用进行分析，旨在找出影响水库移民的关键因素，降低交易成本，提高移民满意度，达到整体社会最优状态。理论模型构建上，基于三方面观察，一是农村土地产权在政府与移民间的“共有”性质；二是政府作为交易参与者的特殊性，即是交易参与者和交易规则设定者，另外政府既追求利益最大化，又以降低交易成本为目标，具有双重目的性；三是移民既具有社会性的是弱势群体，又具有集体性的行为主体，其引发的移民事件带来的社会成本，使移民作为社会因素，发挥制度变迁的制约和促进力量。本文以交易成本理论为基础，对水库移民交易环境和交易过程进行建模分析。其中交易环境分析上，以“公共资源治理”的元理论框架为基础，结合我国转型背景，提出了产权动态变迁分析模型，反映出水库移民“行动-规则”间的互动性。模型检验上应用案例研究方法，结合我国建国以来的水库移民案例进行分析，分析结果表明：建国以来我国水库移民工作的制度变迁是沿着降低交易成本的路径发展的，以中国实践观察为基础验证了理论模型中交易环境影响因素。交易过程分析上，针对政府-移民的交易行为，以全交易生命周期为基本框架，构建了基于交易各阶段的影响因素模型，目的是寻找现有交易规则下交易行为中存在的问题，针对具体问题给出解决途径，以便降低交易成本，促进移民工作顺利进行。交易环境模型论证，以中国制度变迁过程为据，一是中国转型的环境影响，另一是政府与移民间集体行动与规则变迁的影响。交易过程以实证研究来论证，采用定性调研访谈和定量问卷相结合的方式，走访了4个移民县，发放问卷215份，以SPSS对问卷数据进行分析，经检验问卷信度效度良好，指标间相关性较好。研究结论表明，目前影响移民满意度的主要是经济层面的生存需求。因此建议，在征地制度上，需兼顾制度的长期性与灵活性；在补偿标准上，目前缺乏对土地生存基础作用的具体体现；在补偿模式上，应考虑到土地的稳定性预期作用，为移民提供具有“确定性”预期的补偿模式，如长期补偿和投资入股方式。另外从国家整体发展的角度分析来看，补偿模式设计中，应考虑结合马斯洛需求理论，为移民提供“差序格局”方式的社会保障。更多还原

【Abstract】 Reservoir resettlement has become a worldwide problem of the Government, theimmigration, and other stakeholders facing. Transaction cost theory is the basic theoryin the analysis of property rights system. In this study, transaction analysis is used as thesmallest unit, while the reservoir resettlement action is treated as transactions carriedout on land rights between the Government and the immigration. It begins with theanalysis of trading activity, trading rules, as well as the interaction between them, aimedat finding out the key factors affecting the reservoir resettlement, reducing transactioncosts and improving the satisfaction of immigrants, and then reaches the optimal state ofthe whole society.The theoretical model is based on three parts of observation. Firstly, the propertyrights of agricultural land have the condominium nature between the Government andthe immigrants. Secondly, the government is a special transaction participant, whichmeans that it acts as a trading participant and a trading rules setter at the same time, inaddition, the government pursues dual purposes of the profit-maximization and thecost-minimization. Thirdly, the immigrants are both social vulnerable groups andcollective actors, and the social contradictions triggered by their mass incidents makethem become a social factor to exert the constraint and advancement force ofinstitutional change.Therefore, based on the transaction cost theory, this study builds up a theoreticalmodel to analyze trading environment and transaction process of reservoir immigration.In the trading environment analysis, based on the meta-theoretical framework of thepublic resource management, combined with the background of China’s transformation,it builds up a dynamic theoretical model of the research questions, reflecting theinteraction between Action-Orders of the reservoir resettlement. In the model testing,case study method is used to analyze the reservoir immigration cases since the foundingof China. The result shows that the institutional change of reservoir resettlementdeveloped along the path of reducing the transaction costs and improving the efficiencyof the system, which verifies the theoretical model. In the transaction process analysis,it builds up a model based on the impact factors of the various stages of the transactionwith an analysis framework of the whole transactions life during the transaction process to analyze the transaction behavior between the Government and the immigration, aimsto reflect the transactions problems under the existing trading rules, then put forwardsome solutions to reduce transaction costs and improve the efficiency of theresettlement work.The empirical study combines the qualitative research interviews and thequantitative questionnaire, it uses SPSS to analyze the questionnaire data of215immigrants from4immigrant counties, whose reliability and validity as well as thecorrelation between the indicators are good. The demonstration of the situation reflectedby the interview and the questionnaire shows that the main factor affecting theimmigrant satisfaction is the economic rational demand currently. Then, it suggests thatwe should consider both the long-term nature and the flexibility in the land acquisitionsystem, that we need more concrete manifestation of treating land as a survival tool, thatwe should take the stability expect role of land into consideration and provide acompensation mode including a “certainty” expect such as a long-term compensationand investment shares. What’s more, we should combine with Maslow Theory whiledesigning the compensation mode from the view of the overall national developmentand then provide a social protection of “differential pattern” for immigrants.更多还原