【作者】 张希兰；

【导师】 顾海； 王树进；

【作者基本信息】 南京农业大学 ， 农业经济管理， 2013， 博士

【摘要】 随着我国城市化进程的不断推进,大量的农用地转变为非农用地,农民部分或全部失去土地成为普遍现象,大批失地农民涌现。而我国城乡二元结构的长期存在和现存征地补偿制度的不合理,使得失地农民的权益不能从根本上得到保护。由于农民一般都靠土地生存,没有过多的技能,一旦失地就很难适应城市的生活,多数处于既失地又失业的境况,生活面临困难。因此,我们应当重视解决失地农民的基本生活问题。而在解决失地农民社会保障问题的具体实践中,综合来看,江苏提供了一个较好的范本；同时,其失地农民社会保障问题有具有一定的特殊性。对江苏失地农民社会保障情况的考察,以及对江苏内部不同社会保障方式的分析、效果评估与对比,将有利于我国进一步提高失地农民的福利水平,使他们也能够分享经济发展的成果；在坚持科学发展观、加快社会主义新农村建设和构建和谐社会的背景下,建立完善的失地农民社会保障制度,对于提高失地农民的福利水平和促进经济发展,具有重大意义。国内外学者从不同的学科视角对失地农民的社会保障问题进行了研究,重点集中在失地农民征地补偿制度和社会保障制度的安排,保障基金的来源、监管及运行机制,以及保障安置工作等方面,并针对现存问题提出了针对性建议。但就目前的研究现状来看,对失地农民社会保障政策内容的具体设计,以及区域间的安置模式的福利效果评估与比较等问题的研究,还较为欠缺。因此,本研究对该方面进行了一定程度的补充和完善。在回顾改革开放以来我国失地农民社会保障政策发展及整体现状的基础上,本研究基于阿玛蒂亚·森的可行性能力分析方法,构建了失地农民福利水平评价指标体系；并以江苏为例,运用模糊数学评价方法,对调研地区失地农民失地前后福利水平的变动情况进行了测定,基于DID(双重差分)框架,对调研地区的不同失地农民社会保障方式进行了评估和比较；通过运用结构方程模型,从个体微观层面对失地农民福利水平的影响因素进行了定量实证分析；揭示了江苏失地农民社会保障的独特性,并为现行失地农民社会保障政策的完善与发展,提供相应的政策依据。本研究的主要内容及研究成果如下：1、理论分析。从边缘化理论、城乡二元结构理论、社会保障理论、地租理论、福利经济学理论、可行能力理论等角度,阐述失地农民社会保障的理论依据,为下一步的实证研究打下基础。其中,森的可行能力理论是本研究的主要理论依据。该理论提出了“功能”和“能力”的概念,从实质自由的意义上定义了可行能力；五种基本的工具性自由包括了政治自由和公民权利、经济条件、社会机会、社会透明性保证,以及安全性的防护保障；这五种工具性自由与人的实质自由相互促进。在该理论中,个人的可行能力不仅是发展的目标,同时也是自我价值目标实现的手段和条件。2、概念与模式分析。在回顾与梳理失地农民与社会保障概念的基础上,对失地农民社会保障的概念进行了界定,对其特点以及与现行社会保障之间的关系进行了分析,对我国改革开放以来失地农民社会保障政策的发展脉络进行了考察。在此基础上,本研究总结了我国整体失地农民社会保障的现状以及存在的问题,如尚未建立统一的失地农民社会保障体系；部分地方补偿款被层层截留,失地农民实得补偿较少；保障内容不完善,保障水平低；就业保障和技能培训难；可持续的筹资渠道未建立等。同时,本研究还总结了我国失地农民社会保障的五种模式：城保模式、农保模式、镇保模式、商保模式和专门制度模式,并分别进行了简要分析和比较,归纳出各种模式的优缺点以及适用的条件。本研究认为,在我国目前的经济和社会发展的水平下,专门制度模式更为适宜；但是在进行制度设计时,应考虑其与现行城市社会保障体系的衔接问题,以降低制度转换成本。3、江苏现状总体阐述。通过对江苏失地农民社会保障政策的背景进行分析,本研究认为,江苏的农地非农化现象及其产生的失地农民社会保障问题,在全国范围内具有代表性。同时,对江苏失地农民社会保障政策的现状和存在问题的分析,表明江苏实施的失地农民基本生活保障办法,较好地满足了不同年龄段失地人员的差异化需求,并兼顾了保基本与促发展相结合的原则,在城市化过程中发挥了重要作用,也体现了江苏在保障失地农民利益方面的不懈努力。这既与江苏经济发展水平较全国较高,具有良好的经济基础和财政实力有关,又得益于江苏社会保障制度的设置较为全面。江苏失地农民社会保障的不足之处在于,具有发展性的失地农民保障政策还有待完善、动态调整机制尚不健全、补偿标准尚未实现全省统一等。4、江苏失地农民保障模式分析。归纳、总结和比较了江苏失地农民社会保障制度的典型方式：货币补偿方式、基本生活保障制度方式和准城市居民社会保障方式。本研究认为,三种方式各有利弊。如货币补偿方式操作简单,推行所受阻碍相对较小但其缺点在于很难解决失地农民的长远生计问题；基本生活保障制度方式兼顾了失地农民基本生活保障与发展的需求,但转置成本较大；准城市居民社会保障方式顺应了制度发展趋势、制度的转置成本较小,且有利于保障失地农民的“市民待遇”。这三种方式分别在不同时期、不同地区,为保障江苏的经济发展、加快工业化和城市化建设,起到了积极作用。从社会经济发展情况来看,准城市居民社会保障方式将是失地农民社会保障的趋势。5、江苏失地农民福利变化的分析。根据宜兴和太仓的调研数据,以森的可行能力理论为基础,运用模糊数学方法,测算了江苏失地农民失地前后福利水平的变化,以及不同征地补偿模式下失地农民福利水平的变化,并得到了两种政策的平均干预效应,从而对现行失地农民社会保障政策的效果,以及不同征地补偿模式的效率进行评价。结果表明,①江苏现行的失地农民社会保障政策使得农民失地后的福利水平较失地前有所提高,但福利状况改善的幅度有限；②农民失地后家庭经济状况有所恶化；③失地农民福利水平变化的差异,主要来自于社会保障政策的差异,就调研期间两种方式的保障政策而言,准城市居民社会保障方式的政策效果要好于货币补偿方式的政策效果,更有利于解决农民的长期生计问题。6、江苏失地农民福利水平的影响因素分析。在失地农民福利水平测量的基础上,运用结构方程模型,分析个体特征对个人功能实现的影响效果。结果表明,①个体特征的收入变量对个人功能的实现具有显著性的影响,通过增加失地农民的个人收入,可以显著地提高其福利水平；②失地农民个体特征原因潜变量,与个人的居住条件、社会机会和社会保障等结果潜变量的关系显著,且依联系程度高低依次为居住条件、社会机会和社会保障；③建立健全失地农民社会保障政策,有利于缩小失地农民个体间的贫富差距、从而促进社会公平性的实现。7、江苏失地农民社会保障体系的制度构建。在实证分析的基础上,本研究尝试构建江苏失地农民社会保障体系,主要包括失地农民社会保障体系框架构建、实施路径选择和与失地农民社会保障具体内容等。本研究提出,在体系框架构建时,应当遵循一定的原则；在统筹层次上,应当由市级统筹提升到省级统筹层次。城乡社会保障一体化是社会发展的必然趋势,因此,在上述分析的基础上,本研究还以太仓市现行的失地农民社会保障政策与城市社会保障体系之间的衔接转换问题,以及南京市解决失地农民纳入城市社会保障体系过程中的历史遗留问题为例,进行了详细论述。8、政策建议。通过深入分析,本研究最终认为,应当通过以下各途径来不断完善我国失地农民的社会保障制度：①完善土地征用补偿机制,建立土地资产评估制度,制定科学的征地补偿标准,允许农民参与土地增值利益分配,并改变以往以货币安置为主的单一安置方式；②走失地农民社会保障与城镇社会保障体系相结合的道路,同时做好其与城镇社会保障体系的有效衔接,减少制度转置成本；③健全失地农民社会保障内容,并逐步纳入工伤、生育和失业等险种,不断健全失地农民社会保障体系的内容；④完善再就业机制,提供更多再就业机会,加强对失地农民的就业技能培训,以改善失地农民的家庭经济状况；⑤为失地农民提供相关的法律援助,并关注失地农民家庭的子女教育问题等。更多还原

【Abstract】 With the continuous progress of the urbanization process in China, a large amount of farmland was changed for non-agricultural usage. It becomes common phenomenon that peasants lose part or all of their farmland and a large number of land-losing peasants emerge. The long-term existence of urban-rural dual structure and the unreasonable land requisition compensation system, make it difficult for land-losing peasants to fundamentally protect their rights and interests. Since peasants-usually with no other skills-depend on their farmland for survival, once they lose it, it is hard for them to adjust to city life. Most would face situations of losing-land and losing-job simultaneous, which would result in living difficulties. Thus we should attach importance to solve the problem of these peasants’ basic living. In the practice in solving social security issues for land-losing peasants, Jiangsu supplies itself as a good example in China, while Jiangsu also has its own characteristics on this issue. Thus the investigation and study of social security for land-losing peasants in Jiangsu, and relevant analysis,evaluation and comparison on different security patterns will help to further improve the level of welfare of land-losing peasants, making them share the results of economic development. In the background of sticking to scientific development, speeding up the socialist construction of new countryside and harmonious society, it is of great significance to establish and improve the land-losing peasants’ social security system, in order to improve their welfare level, and then to promote the development of the whole economy.Scholars domestic and foreign have studied the social security of land-losing peasants from different disciplines and perspectives, mainly focusing on the land requisition compensation system arrangement, social security system arrangement, source, supervision and operation mechanism of security fund, as well as the guarantee for work, etc.. According to the existing problems, scholars have also put forward corresponding suggestions. However, the present researches have not done enough on the specific policy design of land-losing peasants’ social security content and the comparison among regional placement modes, etc. Therefore, this study made a certain degree of complement and perfect on these aspects. Based on the review of historical evolution of the social security policy for land-losing peasants in China, this study took Jiangsu province as an example, constructing the land-losing peasants’ welfare-evaluation index system on account of Amartya Sen’s practical-ability analysis method. By using the fuzzy mathematical evaluation method, this study also determined the land-losing peasants’ welfare levels before and after losing land, in order to investigate the functional substitutability of the present social security on the traditional land security. Under the semi-natural experiment framework, evaluation and comparison between different security patterns for land-losing parents were done. Via the structural equation model, influence factors’ quantitative empirical analysis on the individual level of land-losing peasants’ welfare was done, and the results show the individuality of Jiangsu social security for land-losing peasants, and provide a roof for perfecting and development of social security policy for land-losing peasants. The main focus and research results of this study are as follows:THEORETICAL ANALYSIS. From the perspectives of the marginalization theory, urban-rural dual structure theory, social security theory, land rent theory, welfare economics theory and practical ability theory, this study elaborated the theory basis of land-losing peasants’ social security all around for the further empirical study. Among these theories, the practical ability’s theory, which puts forward the "function" and "ability" concept, defining from the essence of the sense of freedom, is the main theoretical basis of this study. It also includes five kinds of basic instrumental freedom-political freedoms and civil rights, economic condition, social opportunity, social guarantee transparency, as well as safety protection security-with which the essence of freedom promotes mutually. In this theory, individual practical ability is not only a development goal, but also a kind of means and conditions for self-value realizing.CONCEPT AND MODE ANALYSIS. In the review and carding concepts of land-losing peasants and social security, the concept of social security for land-losing peasants was defined, its characteristics and the relationship with the current social security system was analysed, and evolution of the social security policy for land-losing peasants after the establishment of the open and reform policy was historically reviewed. On this basis, this study summarized the present situation in China of land-losing peasants’ social security, as well as the problems, such as no unified farmers’ social security system, take-home compensation was less because of part entrapment, security content was with low level, employment security and skills’training were difficult to get, and sustainable financing channels was not been established yet, etc.. Meanwhile, this study also summarized, analysed and compared the five social security modes for land-losing peasants in our country-city insurance mode, agriculture insurance mode, town insurance mode, business insurance mode and special system mode-and advantages and disadvantages of each mode and their applicable conditions were elaborated, too. This study suggested that, under the current economic and social development level in our country, the special system mode was relatively most appropriate. However, in the system design, its linking-up to current urban social security system should be considered, in order to reduce the system conversion cost.SOCIAL SECURITY STATUS IN JIANGSU. Based on the analysis of the social security policy construction for land-losing peasants in Jiangsu, it is reasonable to conclude that Jiangsu is a typical representative throughout our country. Through analysing the status quo and problems of social security policy for land-losing peasants in Jiangsu, results shew that the basic life safeguard measures for land-losing peasants were better to meet the different demands of land-losing peasants with different age groups. The measures also paid attention to the principle of combining basic-protecting and development-promoting. playing an important role in the course of urbanization, indicating the great efforts made by Jiangsu government. The achievement in Jiangsu can owe to the better economic development compared to the average level of the whole country, the financial power, and the general social security system. The current problems are:the social security system lacks human-development related policies and dynamic adjustment mechanism, and the unified compensation standard is still remained to be established.ANALYSIS OF JIANGSU’S SOCIAL SECURITY FOR LAND-LOSING PEASANTS. Specific social security patterns for land-losing peasants in Jiangsu-the monetary-compensation pattern, the basic-life-safeguard pattern and quasi-civic-security pattern-were introduced, summarized and compared. This study found that the three patterns each had advantages and disadvantages. The monetary-compensation pattern could be simply operated, its hindering degree was relatively small. However, its weakness was that it was difficult to solve the land-losing peasants’ living in the long run. The basic-life-safeguard pattern gave consideration to both the basic life safeguard for, and the development needs of land-losing peasants, but its switching cost was bigger. Quasi-civic-security pattern complied with the development trend with small switching cost, and was conducive to ensuring the land-losing peasants’"civil treatment". The three patterns played positive roles to guarantee the economic development and to speed up the industrialization and urbanization construction respectively, in different periods and different regions of Jiangsu province. From the point of view of social economic development, the quasi-civic-security pattern will be the trend in the social security system for land-losing peasants.EMPIRICAL ANALYSIS OF WELFARE CHANGE. Using the investigation data from Yixing and Taicang, and on the basis of Sen’s practical ability theory, Jiangsu’s land-losing peasants’ welfare level before and after losing land, and welfare changes under different patterns were calculated through the fuzzy mathematics method. The policy effect of current social security for land-losing peasants and the efficiency of different compensation patterns were then evaluated. The average treatment effect between the two cities-and then their compensation patterns-was then calculated. The results shew that:①under the current social security and compensation patterns, the welfare of land-losing peasants had been improved but with a limited range;②the family economic situation of land-losing peasants had been worsened after losing land, therefore measures aiming at promoting re-employment, improving vocational skills and increasing non-agricultural income should be carried out;③the differences of land-losing peasants’ welfare change were mainly come from differences of social security policies, the quasi-civic-security pattern shew better effect than the monetary-compensation pattern, the former one was more conducive to solve the long-term livelihood problems for the land-losing peasants.INFLUENCE FACTOR ANALYSIS ON LAND-LOSING PEASANTS’WELFARE. On the welfare level measurement basis, the infuence factors analysis was done by using the structural equation model. The results shew that:①the income among the individual characteristics had a significant influence on the realization of the individual function, through the increase of income, the welfare of land-losing peasants could be significantly improved;②the reason latent variables of land-losing peasants’individual characteristics, had significant relationships with the latent variables such as personal living conditions, social opportunities and social security, and their order in accordance with the contact degree were living conditions, social opportunities and social security;③establishing and improving the social security policy for land-losing peasants were beneficial to reduce the gap between rich and poor among land-losing peasants, so as to promote the realization of social fairness.SOCIAL SECURITY SYSTEM CONSTRUCTION FOR LAND-LOSING PEASANTS. On the basis of empirical analysis, this study tried to build the social security system for land-losing peasants in Jiangsu, including contents such as the social security framework for land-losing peasants, the enforcement routing selection and the specific details, etc.. This study suggested that, in the system framework, certain principles should be followed; in the overall level, the city integrating level should be ascended to the province level. As the integration of urban-rural social security became an inevitable trend, this study also discussed two examples in detail-the cohesion and switching problems between social security policy for land-losing peasants and urban social security policy in Taicang, and the historical problems during the course of bringing land-losing peasants into urban social security system in Nanjing.POLICY SUGGESTIONS. Through in-depth analysis, this study finally suggested that some measures should be taken through the following methods to perfect the social security for land-losing peasants in China:①improving land requisition compensation mechanism, establishing land assets appraisal system, making scientific land compensation standard, allowing peasants to participate in the interests distribution, and change the singular currency-resettlement way;②selecting the combination way between the social security for land-losing peasants and the urban social security system, making the two systems effectively linked to reduce system switching cost;③improving the content social security for land-losing peasants, gradually bringing in other securities such as inductrial injury insurance, birth insurance and unemployment insurance, etc., in order to constantly make improvement;④perfecting the re-employment mechanism to provide more employment opportunities and enhance the employment skills training for land-losing peasants;⑤providing relevant legal aid for land-losing peasants, and paying attention to their children education, etc.更多还原