【作者】 王冬银；

【导师】 袁道先； 杨庆媛；

【作者基本信息】 西南大学 ， 自然地理学， 2013， 博士

【摘要】 城市化是一个国家和区域经济社会发展到一定程度的必经阶段。城市化对一个国家或地区经济、社会和政治结构的变革和发展具有推动作用,同时也导致包含人口结构、生态环境和土地供求关系等多方面的深刻变化。其中,对耕地资源的影响表现最为明显的就是引起耕地资源数量减少、质量下降。目前,我国正处于由“以农补工”向“工业反哺农业”的经济社会快速发展转型时期,城市化进程中的耕地非农化,一方面为国民经济的全面发展提供了土地保障,另一方面因耕地数量不断减少和质量持续下降引发了一系列社会、经济和生态问题。任何一个国家和地区的城市化进程中都存在耕地代价性损失现象,但由于耕地作为一种不可替代的宝贵自然资源,不仅具有市场经济价值,还具有包含服务生态环境、保障粮食安全和维持社会稳定等非市场价值。拥有合理数量的耕地资源,是促进人口-资源-环境与社会经济协调发展,促进工业化、城镇化、信息化和农业现代化的基础条件之一。近年来,基于“人多地少”的基本国情和耕地资源不断减少的基本事实,我国制定了世界上最严格的耕地保护制度,采取了一系列措施来干预和控制耕地非农化进程,耕地资源保护由“基本国策”到“生命线”,又由“生命线”到不可逾越的“红线”,足见耕地保护在我国国家战略中的地位。通过建国以来的城市化进程和未来发展趋势分析可以预测,耕地非农化代价性损失在我国现阶段乃至未来一定时期内还将长期存在,同时存在过度性损失,且耕地减少的趋势不会得到根本性转变。对我国现有的耕地保护制度实施不理想的原因分析表明,耕地保护经济补偿机制缺失是目前我国耕地保护制度中最大的隐形缺陷,其原因背后暗藏着以下不争事实：耕地资源配置中存在较为严重的市场失灵和政府失灵。由市场失灵导致的耕地资源急剧减少的深层次原因,则在于我国不健全的耕地资源价值体系,导致人为决策过程中对耕地资源的生态价值和社会价值的忽视以及由此造成的耕地资源价格不合理。基于此,本文建立了耕地资源非市场价值体系,并参考局部区域差异性适应原则选择一定的估算方法,以此核算区域性耕地资源非市场价值货币化成果与现有的货币经济补偿进行校正比对的基础上,探索区域性耕地资源保护经济补偿机制实践运行模式,旨在为城市化进程中创新耕地保护机制、完善耕地保护措施提供理论和实证依据。文章的第1、2章介绍了问题的研究背景、研究内容、研究进展、论文结构、研究方法、数据来源和相关理论及基本概念,回顾了关于城市化进程中耕地保护和补偿机制研究等的国内外研究动态,并对这些已有成果进行了简要评述。文章第3、4章对我国城市进程中的耕地资源保护严峻形势及两者的关系、我国现有耕地保护制度和经济补偿政策及实施效果进行了梳理分析。第5章重塑和评估耕地资源非市场价值体系,并将其评估结论通过一定的测算方法运用到区域性耕地资源非市场价值货币化估算过程中。本部分重点从耕地资源非市场价值内涵入手,对耕地资源的非市场价值体系分类成生态价值和社会价值两部分,明确了生态价值、社会价值各组成部分的具体内涵,并确定了评估耕地生态价值和社会价值的方法。第6、7章对耕地资源非市场价值进行了实证核算,并以此为基础,构建了耕地资源保护的经济补偿模式。具体以西部典型区域——重庆、成都为案例区域,采用重庆、成都2010年的相关数据进行对比分析,并采用重庆市1997年至2011年期间时间序列数据和五大功能区空间序列数据,运用替代/恢复市场法对其耕地资源非市场价值进行了具体测算,结合重庆市经济社会发展水平和五大功能区的不同功能定位,进行耕地资源保护经济补偿模式的实证分析。通过上述研究,得出如下主要结论：(1)目前,我国城市化进程仍然处于以消耗耕地资源为代价的初级发展阶段,城市化加速发展中耕地资源保护形势十分严峻并呈现新特征。虽然1996年以后,我国耕地数量减少由加快转变为相对放慢的态势,但年均下降幅度绝对量依旧较大,城市化进程持续加速中对耕地采取掠夺式的开发使用方式一直没有得到有效改观。一方面,随着城市化水平不断提高,城市化进程中大量的基础设施等各项建设以及城乡居民生活水平提高引致对用地需求的不断膨胀,建设占用耕地的强劲趋势导致耕地保护压力加大;另一方面,随着城市化和工业化的发展,不仅大量优质耕地资源被占用转变为建设用地,“占优补劣”以及土地污染等引起了耕地质量的明显下降。此外,城市化发展水平较快的地区往往都是我国优质耕地分区的区域,城市化进程引起了我国耕地资源区域分布结构发生了重大变化。(2)随着经济社会的发展,耕地及其生态系统的生态服务和社会保障价值已开始逐渐为人所知和越来越受重视。从国家(政府)、城市居民和农民三大价值主体的角度构建耕地资源非市场价值(即生态服务和社会保障价值)体系,将货币化估算模型对耕地非市场价值的估算结果作为耕地保护经济补偿标准的重要参考纳入市场体系,有利于使人们通过市场价格的角度更加直观地认识耕地及其生态系统提供的非市场价值。(3)耕地资源提供的生态服务和社会保障价值较大且具有明显的时空差异性。主要表现在以下三个方面：①1997-2011年期间重庆市单位面积耕地资源生态服务价值和社会保障价值总体上呈波动缓升趋势,且各价值构成之间存在较大差异,总体上社会保障价值高于生态服务价值,但所占比例逐年略有下降。生态服务价值中占生态价值总值比例较高的同时也是研究时段内上升幅度较大的组成部分,前三位排列为：营养循环功能价值(占生态服务总值的86.72%、上升幅度为23.53%)、净化环境功能价值(占生态服务总值的6.67%、上升幅度为23.41%)和大气调节功能价值(占生态服务总值的5.70%、上升幅度为12.92%)：同时,研究时段内社会保障价值各组成部分所占社会总值的比例变化与幅度变化相对应：基本生活保障平均价值比例由50.06%下降为35.60%、平均价值额下降幅度为13.00%,粮食安全功能平均价值比例由32.48%上升为48.63%、平均价值额上升幅度达83.15%,失业保障平均价值比例由17.46%略降为15.77%、平均价值额上升幅度为10.50%。②2010年,重庆市、成都市的单位面积耕地资源非市场价值分别为114.49万元/hm2、177.71万元/hm2：其中重庆市单位面积耕地的生态服务价值为25.61万元/hm2、单位面积耕地的社会保障价值为48.66万元/hm2、单位面积耕地的粮食安全价值为40.21万元/hm2,分别占单位面积耕地非市场价值的22.37%、42.50%和35.12%：成都市单位面积耕地的生态服务价值为42.06万元/hm2、单位面积耕地的社会保障价值为78.92万元/hm2、单位面积耕地的粮食安全价值为56.73万元/hm2,分别占单位面积耕地非市场价值的23.67%、44.41%和31.92%。重庆市单位面积耕地的生态服务价值、单位面积耕地的社会保障价值和单位面积耕地的粮食安全价值均低于成都市的测算值,总量及三项分量分别为成都市测算值的64.43%、63.50%、61.66%和70.88%。测算结果符合农业人口人均耕地重要影响因子和耕地资源非市场价值与区域社会经济发展总体水平呈正相关的规律。③重庆市不同功能区耕地非市场价值与其经济社会发展水平呈现正相关关系,测算结果表明：全市耕地非市场价值为114.49万元/hm2,主城九区(含都市功能核心区和都市功能拓展区)、城市发展新区、渝东北生态涵养发展区和渝东南生态保护发展区的单位面积耕地非市场价值分别是全市单位面积耕地非市场价值的234.85%、98.35%、68.54%和62.82%;全市的耕地生态服务价值总额为6257.29亿元,主城九区(含都市功能核心区和都市功能拓展区)、城市发展新区、渝东北生态涵养发展区和渝东南生态保护发展区的测算值分别为157.35亿元、2062.81亿元、3032.01亿元和1162.02亿元。与耕地非市场价值高低排列顺序不同,生态服务价值总额高低依次为渝东北生态涵养发展区、城市发展新区、渝东南生态保护发展区和主城九区(含都市功能核心区和都市功能拓展区),渝东北生态涵养发展区耕地生态服务价值总额分别是城市发展新区、渝东南生态保护发展区和主城九区(含都市功能核心区和都市功能拓展区)的1.47倍、2.61倍和19.27倍。因此,在构建耕地保护经济补偿模式时,一是要特别注重保护和实现基数大、对耕地价值认知层次较低、社会稳定关联性强的农民群体的价值需求；二是经济补偿政策应充分考虑区域公平发展和统筹协调,向耕地非市场价值贡献大的耕地保护责任目标较重且经济社会发展相对滞后的地区倾斜。(4)考虑到区域差异性,将耕地保护经济补偿模式界定为区内经济补偿更具有可操作性、针对性。基于农村社会保障+货币补偿、基于投入项目建设+货币补偿、基于耕地保护责任目标异地有偿调剂+货币补偿的三种耕地保护经济补偿模式为优选模式。对重庆市进行了土地整治项目实施建设性补偿、基本农田指标区域间有偿调剂补偿以及参照成都建立的耕地保护基金农户和村集体进行经济补偿三种耕地保护经济补偿模式实证分析表明：三种模式各有优势和不足,难以糅合打捆取舍,重庆市宜综合采用第一、二种模式,即在开展农村土地整治“以奖代补”和“先建后补”的同时,兼顾对基本农田“四化”建设和新农村建设其他方面补助的耕地保护补偿机制运行模式取得良好绩效。据此,在全国推行耕地保护补偿机制,不可能同时在东、中、西部地区推行统一模式,只有结合区域特点,对国家层面设计出普遍适用的经济补偿模式供各地区结合实际参考选择,才能保证该制度取得实效。基于上述结论,本文为我国城市化进程中提高耕地资源保护成效、纠正耕地资源过度消耗提出如下政策措施建议,包括：重新全面认识耕地资源的经济、生态服务和社会保障,加大宣传力度提高公众的耕地资源非市场价值认识,并将耕地资源生态服务和社会保障纳入耕地保护经济补偿体系：从国家层面研究制定耕地保护经济补偿运行总体原则、总体方案和相关法律法规政策,建立从中央到地方以及从政府到社会的多渠道资金筹集体系、严格补偿基金管理的监管检查；明确并细化区域主体功能划区和优化区域国土开发格局,实现城市化进程和耕地非农化效率平衡等。更多还原

【Abstract】 Urbanization are an inevitable ways of social development, which not only drive the reformation and development of economy, society and politics, but also result in the changes of population structure, employment structure, ecological environment issues; arableland conversion is the direct effect of urbanization. China is in stage from the "agriculture-fill work" to "industry nurturing agriculture" with economic and urbanization, industrialization process transition period of rapid development, on the one hand, arable conversion provides the land security for economic development; on the other hand, because of the number of arableland decreasing and quality declining have triggered a series of social, economic and ecological problems. However, consideration of the loss of arableland is indispensable natural resource urbanization; and it is a kind of irreplaceable valuable natural resources, which not only has the value of the market economy, but also contains a service of the ecological environment. So, having a reasonable number of arableland resources are directly related to the stability of a country and the sustainn(?)e development of social economy. Based on the basic national conditions of "large population and little arableland", China has developed the world’s most stringent arableland protection systems and formulated a series of measures to intervene and control the process of arable conversion, which protectionism had from the "basic state policy" to "lifeline", and the "lifeline" to the impassable "red line". In fact, through analyzing the our country’s city development process and future development trend, we can found that China will be in the presence of arableland conversions for a long period of time, the decline in arableland will not have a fundamental change. We can also find the fact that the system of arableland protection is not perfect and there are short of economic compensation mechanism about arableland protection in China. So the arableland in the allocation of resources have serious market failure and government failure. The essential reasons of excessive loss that result from the market are fragmentary system of resource value and distorted arable land resource price, which result in ignoring the latent expense of land resource that has ecological and social value during the arable land conversion. Basing on the conclusion, the system of arableland non-market value was proposed, and with reference to the principle of local regional differences in adaptation, we choose some certain estimation methods in order to account for non-market value of the land resources. Then, through adopting the method of case analysis, using the results from calculation play a role during building the arableland protection mechanism for the study of theoretical and empirical basis.In the first two chapters of the paper, the study of the research background, research contents, research progress, and the structure of the thesis, research methods, data sources and related basic concepts are introduced. And arable land protection and compensation mechanisms etc during the process of urbanization in China and abroad are reviewed and commented also.Then, the process of China’s urban land resource protection and the relationship between the grim situation was analysised. The arableland protection system, the economic compensation policies and implementation results are introduced. We reshape the non-market value system and calculation method of evaluation about arable land resources in next chapter. The main contents are selecting the areas to account the non-market value of arableland resources and building up some economic compensation models of arableland protection on this accounting conclusion in next two chapters. In the non-market value of arableland resources accounting in this paper, the non-market value of arableland resources in typical western regions including Chongqing and Chengdu in2010, the period from1997to2011and the five functional areas of Chongqing are accounted as the examples. Conclusively, the Chongqing was an empirical analysis from building economic compensation models of arableland protection.The conclusions are obtained as follows:(1) At present, China is still in the process of urbanization rapidly and at the expense of the primary stage of development with the consumption arableland resource. Then, the seriousness of the situation arableland protection are mainly as follows:The number of China’s arableland decreased by a relatively slow speed up the transformation of the situation, but the average annual decline in the absolute amount is still larger from1996. The main factors of arableland resource decrease are construction land occupation, agricultural restructuring, ecological restoration and disaster destroyed arableland. So, the phenomenon exist that taking against predatory exploitation of arableland has not been effectively improved, and taking up more and more high-quality arableland or occupy a lot of land just to be idle in the past during the process of arableland reduction in China, while the status that the quality of arableland also dropped sharply can not be ignored. At the same time, the urban and rural residents with increasing urbanization have made a better standard of living and thereby causing the ever expanding demand for land. Thirdly, a large number of high quality arableland were occupied for construction and the quality of arableland had decline significantly with the development of urbanization and industrialization. In addition, urbanization has caused great changes that the regional distribution structure of arableland resource have a drastic change because having a high level of urbanization development areas always are the partition areas of high quality arableland in our country.(2) Arableland not only has the function of economic output, but also has a number of important ecological and social service function, those function of the arableland will be more and more attention with the development of economic and society. Meanwhile, to protect the sustainable use of land resources in a reasonable and sustainable economic development, providing a variety of ecological response arableland social service function value of currency estimates, and which as an important reference gradually into the market system. So, the paper constructed the system of non-market value about arableland resource from the three value subjects including the country, the urban residents and farmers, and the estimation results of arableland of non-market value are put into economic compensation models of arableland protection as an important reference, Which is advantageous for the people to acknowledge universally the non-market value of arableland resource.(3) Estimating known arable through monetization of social services to provide greater value ecological, and with some regional differences in different areas. The results about the won-market value of arableland resources estimates of Chongqing and Chengdu in2010, Chongqing from1997to2011and different city function areas are as follows:Firstly, through the period from1997to2011in Chongqing non-market value of the land resource estimate, we can found those results:First of all, the social security function value is higher than the value of ecosystem services, and the social values have a generally fluctuating ramp trend. The second, the ecological service value of higher percentage have also a larger part, arranging as follows from high to low: the nutrient cycle function value (about86.72%of the total value of the ecological services, increase of23.53%), purifying environment function value (about6.67%of the total value of the ecological services, increase of23.41%) and atmospheric mediation function value (about5.70%of the total value of the ecological services, increase of12.92%). Then, the social security value of each component proportion have some changes during from1997to2011:the proportion of average value in basic life safeguard decline sharply from50.06%to35.60%, the average value decreased to13.00%; the proportion of average value in grain security feature increase to32.48%from32.48%, the average value of83.15%rise; the proportion of average value in unemployment insurance decline slightly to17.46%from15.77%, the average value rise of10.50%.Secondly, the non-market value of the unit of arableland resources in Chongqing and Chengdu are1,144,900Yuan/ha and1,777,100Yuan/ha, including ecosystem service value, social security value and food security value in unit of arableland in Chongqing are256,100Yuan/ha,486,600Yuan/ha and402,100Yuan/ha, and the proportion of the those value in the non-market value of arableland are22.37%,42.50%and35.12%; Meanwhile, ecosystem service value, social security value and food security value in unit of arableland in are420,625Yuan/ha,789,200Yuan/ha and567,300Yuan/ha, the proportion of the those value in the non-market value of arableland are23.67%,44.41%and31.92%. Ecosystem service value, social security value and food security value in unit of arableland in Chongqing are lower than those values of Chengdu. The unit of arableland non-market value, ecosystem service value, social security value and food security value in Chongqing are respectively64.43%,63.50%,61.66%and70.88%corresponding to four kinds of values of measuring results in Chengdu. Thirdly, the results about the arableland non-market value of Chongqing’s five functional are as follows:First of all, compared with the results from non-market value of arableland in Chongqing, the arableland non-market value of Central city nine area (including the functions of urban core area and urban development zone), city development zone, Chongqing northeast ecological conservation development area and ecological development of the southeast of Chongqing area are respectively234.85%,98.35%,68.54%and62.82%. The second, the total arable land ecosystem service value of Chongqing, central city nine area (including the functions of urban core area and urban development zone), city development zone, Chongqing northeast ecological conservation development area and ecological development of the southeast of Chongqing are respectively625.729billion Yuan,157.35billion Yuan,2062.81billion Yuan respectively,3032.01billion Yuan and1162.02billion Yuan. The last, the Chongqing northeast ecological conservation development area are city development zone, ecological protection zones or of the southeast of Chongqing city nine area (including the urban function and core of urban development zone) of1.47times,2.61times and19.27times.Therefore, protection of arableland in constructing economic compensation modes should focus on putting special emphasis on protection the farmer’s value demand and the areas of having bigger contribution in arableland non-market value.(4) In the end, the authors establish three models of arableland protection economic compensation including the rural social security combining with monetary compensation, investment projects combining with monetary compensation and arableland protection responsibility target different dispensing combining with monetary compensation. Then the conclusions through analysis in Chongqing are as follows:Three models are difficult to choice because them have advantages and inadequate factors, through combining with the practical point of view of Chongqing, the two modes of investment projects combining with monetary compensation and arableland protection responsibility target different dispensing combining with monetary compensation are recommended to use. In addition to this conclusion, the viewpoint that only one mode of arableland protection can not be suitable for in the east, central and western of China was proposed. We should choose properly the model of arableland protection economic compensation combining with regional characteristics and economic and social development level.Finally, based on the above conclusions, this paper puts forwards some useful policy measures to improve the effectiveness of arable land resources protection, correct the excessive consumption of arable land resources, including:reunderstanding of arable land value, and bring the non-market value into economic compensation system; according to regional realities, and gradually implemented in the country’s arable land resources differentiated economic compensation mechanism; clearly the main functional urban zoning and optimize the regional pattern of land development, to achieve the efficiency balance between urbanization and arable land conversion.更多还原