【作者】 张元庆；

【导师】 韩毅；

【作者基本信息】 辽宁大学 ， 经济史， 2014， 博士

【摘要】 土地一直以来都是人类赖以生存的基础，历来被人类所重视。近年来，随着我国城市化进程和城镇化步伐加快，对土地的需要日益扩大，范围也越来越广，当然，随之而来的问题也越来越多。征地补偿制度作为一项重要的土地制度在我国经济、社会快速发展进程中扮演着重要角色。而这项制度产生于特定的历史年代，受当时的社会环境和相关制度制约，必然有其时限性和局限性，特别是在社会主义公有制改造完成之后，土地所有权变为国家和集体所有，在土地征收过程中过多强调国家利益，而损害了农民个体的合法权益和合理诉求。几十年来，我国经济发展虽然取得了巨大成就，但是，在城镇化进程加速进程中，巨大的土地需求与偏低的征地补偿导致土地价值被严重扭曲，农民土地权益被严重侵害，抵制征地事件大有愈演愈烈之势。据有关部门统计，自2002年以来，全国超过1/3的群体上访事件都归与土地问题有关，而其中60%直接由征地问题引起。2004年，我国所有信访事件中，有超过半数的事件都与征地问题相关。可见，征地补偿问题已经成为我国的重大社会问题。究其原因，这与我国现存征地补偿制度自身的制度缺陷有着密切关联，新制度经济学认为，任何一种制度的建立都会受到其特定的历史环境和制度环境的制约和影响，随着环境的改变，制度也会随之变迁。但是，由于存在报酬递增，制度在后来的变迁过程中会受到初始制度的影响，从而形成对初始制度的路径依赖。而作为配套的制度存量，土地产权制度、既得利益集团、相关互补性制度变迁的不同步等等，都会影响我国征地补偿制度的变迁轨迹，使其形成了对这些制度安排存量的路径依赖，并在报酬递增路径依赖作用下使原有效率低下的征地补偿制度得到进一步巩固和加强，进而损害到农民的土地权益。本文试图从我国征地补偿制度的历史变迁和特征入手，总结出其具备路径依赖特征的表现形式，分析其产生路径依赖现象的深层原因，并探析破解其路径依赖的有效途径，从而达到破解我国征地补偿制度变迁路径依赖困局的目的。本文遵循理论研究与实证分析相结合的研究思路，利用宏观层面数据和微观层面数据相结合的数据分析方法，对几十年来我国征地补偿制度在变迁中的绩效进行分析与研究，以便找到正确的改革方向。全文共分八章：绪论主要阐明本文研究的背景、意义和方法，对相关研究动态进行梳理，着重强调研究的创新和特色，并提出需要进一步研究的问题。第二章简介制度变迁理论和路径依赖理论的基本概念，为进一步的研究构建理论分析框架。对制度变迁理论和路径依赖理论进行总结和阐释，并介绍报酬递增路径依赖理论的适用情况及影响制度变迁的路径依赖的影响因素。第三章对我国征地补偿制度的历史进行梳理，并总结其特点和主要问题，并结合历史事实说明，我国征地补偿制度初始条件形成之后，变迁过程中存在报酬递增的路径依赖现象，在固定成本效应、学习效应、协调效应和适应性预期效应的共同作用下不断得到强化。第四章证明我国建国初期形成的初始固有公有制土地产权制度是导致我国征地补偿制度长期处于低效率状态的一个重要因素。第五章阐释既得利益集团对现有征地补偿制度安排的坚决维护是导致我国征地补偿制度长期处于低效率状态的另一个重要原因。第六章介绍固有意识形态对我国现存征地补偿制度的约束是导致我国征地补偿制度长期低效的思想原因。第七章相关互补性制度的整体变迁困境阻滞了我国征地补偿制度的良性变迁，是导致其长期路径依赖和低效的重要原因之一。第八章对我国征地补偿制度未来的路径创新和可能的路径选择进行探讨，尝试破解我国征地补偿制度变迁路径依赖的可能性和可行性。更多还原

【Abstract】 Land has always been a basic element of human survival and production, andalways attracts great attention. In recent years, with the high speed of our country’surbanization, the need for land is continuously extending, and the scope also goes morewidely. Certainly, this phenomenon brings more and more problems.As an important land system, land expropriation compensation system plays asignificant role in the rapid development of China’s economy and society. However,since this system is born in a particular time, limited by the social environment and therelevant system, it must have its timeliness and limitations, especially after thetransformation of socialist public ownership, the land turns to be the state and collectiveownership, and too much emphasis on the interests of the state in the process of landexpropriation damages the legitimate interests and reasonable demands of farmers. Fordecades, our country’s economy has made tremendous development, but with furtherenhancement of the comprehensive strength, the expansion of the scope of landrequisition, as well as the low standard of land expropriation compensation, more andmore conflicts and disputes about land expropriation have appeared. According torelevant department’s statistics, since2002more than one-third of the masses havepetitioned due to land issues, and60%of which were directly caused by landexpropriation. In2004, land expropriation accounted for over50%of the total number ofpetition letters. Therefore, land expropriation compensation has become a major socialproblem.Investigating its reason, it is closely related to the institutional defects of existingland expropriation compensation system itself. According to new institutional economics,any system’s establishment will be restricted and influenced by its specific historical andinstitutional environment, and with the change of the environment, the system willchange accordingly. But because of increasing return, the changes of the system in thelater process are influenced by the initial system, and this constitutes the phenomenon ofpath dependence on the initial system. The same case, as the system stock matched withour country’s land expropriation compensation system, land property rights system, vested interests groups, non synchronous change of the relevant complementaryinstitutions and so on, to a certain extent, will affect the transitional contrail of the landexpropriation compensation system, and make it form path dependence on the stock ofinstitutional arrangements. Moreover, under the effect of increasing return pathdependence, the original low-efficient land expropriation compensation system is furtherconsolidated and strengthened, and the rights and interests of farmers will be damaged.This thesis attempts to proceed with the history change and characteristics of landexpropriation compensation system in our country, summarizes its form which has thecharacteristics of path dependence, analyzes the deep cause of the phenomenon of pathdependence, and discusses the effective ways to break the path dependence, then finallyreaches the goal to break the path dependence dilemma of our country land expropriationcompensation system.This thesis follows the research thought of theoretical research combined withempirical analysis, uses the combination of macro and micro level data analysis method,summarizes and analyzes the performance of the land expropriation compensationsystem in our country for decades, aims to find the right reform direction.The whole text is divided into eight chaptersIntroduction Mainly expound the research background, significance and methodsof this thesis, sort out the research development, and focus on the innovation andfeatures of the research, then put forward some problems which need to be studiedfurther.Chapter two Introduce the basic concept of institutional change theory and pathdependence theory to build theoretical analysis framework for further study. Summarizeand interpret institutional change theory and path dependence theory, then introduceapplicable situation of increasing return path dependence theory and the factors ofaffecting the path dependence of institutional changeChapter three Sort out the history of the land requisition compensation system inChina, and summarize its history and characteristics. Apply historical facts to prove thatmake use of the increasing return path dependence theory to show its formation andstrengthening mechanism after the initial conditions of land expropriation compensationsystem in China took shape and under the joint action of the fixed cost effect, learning effect, coordinate effect and adaptive expectations effect.Chapter four Prove that in the early years after the founding of the PRC theinitial inherent public ownership of land property right system is an important factor tomake our land expropriation compensation system in a state of low efficiency for a longtime.Chapter five Interpret that the vested interests groups’resolute maintenance of theexisting land expropriation compensation system arrangements is another importantfactor to make our land expropriation compensation system in a state of low efficiencyfor a long time.Chapter six Introduce that inherent ideology’s restrictions on the existing landexpropriation compensation system is the ideology reason for long-term low-efficientland expropriation compensation system in China.Chapter seven Indicate that the overall change plight of the relevant complementarysystem blocks the vicissitudes of land expropriation compensation system in China, isone of the main reasons for its long-term path dependence and low efficiency.Chapter eight Probe the further path innovation and the choice of possible path andtry to crack the possibility and feasibility of path dependence in the vicissitude process ofour land expropriation compensation system.更多还原