【作者】 许恒周；

【导师】 曲福田；

【作者基本信息】 南京农业大学 ， 土地资源管理， 2008， 博士

【摘要】 工业化和城市化是社会必经的发展阶段,它们不仅显著地推动了经济、社会以至政治结构的变革和发展,而且也导致了人口结构、就业结构、土地供求状况和生态环境等的变化;其中,对土地利用影响的最直接结果就是农地非农化。自改革开放以来,农地非农化为我国国民经济的全面发展提供了土地保障,对经济增长起着重要作用;但另一方面,农地非农化也存在明显的负作用,造成农地资源的大量损失,并引发了一系列社会、经济和生态问题。农地非农化是经济发展中不可避免的趋势,但由于农地是一种不可替代的自然资源,不仅具有生产的经济价值,还具有粮食安全保障、生态安全保障等社会价值,能否保有足够合理数量的农地资源直接关系到一个国家能否实现社会经济的可持续发展,因此大多数国家普遍采用各种措施干预农地非农化进程。我国政府也一直很关注农地非农化问题,并制定了世界上最严格的耕地保护和土地管理制度来控制农地非农化进程。实际上,通过对我国农地非农化的波动周期与经济发展周期考察可知,在我国现阶段乃至未来相当长一段时期内农地非农化仍将存在代价性损失,有其合理的一面。但同时也暗藏着更多的过度性损失:一是土地资源配置过程中普遍存在的市场失灵;二是我国土地资源配置过程中还存在严重的政府失灵。由市场失灵导致的过度性损失究其根源,则是在于我国残缺的资源价值体系以及由此造成的农地资源价格扭曲,造成人们决策过程没有或极少考虑具有生态价值和社会价值的农地资源在非农化过程中的隐性消耗。因此,本文正是由此入手,拓展了农地资源非市场价值体系,并以农地资源非市场价值货币化核算成果修正农地非农化经济决策函数,旨在验证由市场失灵导致的农地非农化过度损失并寻找减弱该过度损失的对策措施,为合理配置土地资源提供理论和实证依据。文章首先简要地介绍了研究问题的背景、研究内容和相关基本概念、论文结构、研究方法和数据来源等,回顾了关于生态系统服务功能、农地非农化配置、农地资源价值评估等的国内外研究动态,并对这些已有成果进行了简要地评述。接下来,文章对资源配置、公共产品等相关理论进行梳理,构建资源配置效率的分析框架,并将其运用到农地资源非农化配置中,并重点从市场失灵、农地价值损失与农地过度非农化的角度分析了市场失灵导致的农地非农化配置的效率损失。随后,从农地资源非市场价值内涵入手,对农地资源的非市场价值体系进行分类,并具体确定了评估各非市场价值的方法。在对农地资源非市场价值核算时,本文以中国东、中、西部的代表省份——江苏、湖北、甘肃三省为例,运用替代市场法、影子价格法等进行了具体测算,并以此为基础,运用C-D生产函数构建了测算市场失灵导致的农地过度非农化的模型,进行了实证检验。通过上述研究,得出如下主要结论:(1)农地不仅具有经济产出功能,而且具有重要的多项社会、生态服务功能,且随着经济社会的发展,农地的社会生态服务功能会越来越受重视。通过依据现代资源价值理论及可持续发展理论,并参考生态系统服务研究,认为农地社会生态服务功能是农地生态系统与生态过程所形成与维持的人类赖以生存的自然环境条件与效应。并可将农地的社会、生态功能具体细分为:大气调节、净化环境、涵养水源、土壤保持、营养循环、维持生物多样性、休闲娱乐、文化教育、社会保障及社会稳定等。正是由于农地的这种功能价值不能在市场上以价格直接体现出来,导致在农地非农化过程中农地用途转化对资源永续利用、经济社会可持续发展产生一定的负面影响。为保障农地资源合理可持续利用和经济可持续发展,应对农地提供的各种社会生态服务功能价值进行货币补偿,使该部分非市场价值纳入到市场体系中来。(2)市场失灵导致的农地非农化过度损失,原因在于农地社会、生态服务功能的价值无市场,导致各种管制措施和手段也没有起到明显效果。在农地非农化过程中,市场机制只对经济功能起到了作用,农地的非市场价值被排除在价格体系之外,造成了市场失灵。从农地非农化价格形成机制来看,这部分农地服务功能或者因为无产权或产权边界模糊,或者由于消费的非排他性等原因,无法通过市场进行交易,缺乏价格信号的引导,极易造成农地非农化的过度浪费或低效率使用,造成对社会福利的损失。由于传统市场体制的缺陷及农地社会生态服务功能的公共属性,使得农地保护相当程度上并不能单纯地依赖农地管制,为较完全解决农地社会生态功能导致资源配置失灵问题,应使农地的社会生态服务价值以费用或价格体现出来,利用激励机制促使农民去保护它们,从而提升这些服务功能在农地非农化决策过程中的地位和重要性。(3)农地提供的社会生态服务价值较大,由于市场失灵导致了农地资源价值损失,且这种农地价值损失具有一定的区域差异性。通过对江苏、湖北和甘肃省农地资源非市场价值测算,发现江苏、湖北和甘肃三省的单位农地资源非市场价值分别达到了65.98万元/公顷、65.66万元/公顷、63.29万元/公顷。其中,在江苏省,单位农地的生态服务价值为22.40万元、单位农地的社会保障价值为22.43万元、单位农地的社会稳定价值为21.15万元,占单位农地非市场价值的比例分别为33.95%、33.99%、32.06%;在湖北省,单位农地的生态服务价值为20.97万元、单位农地的社会保障价值为23.28万元、单位农地的社会稳定价值为21.41万元,占单位农地非市场价值的比例分别为31.94%、35.46%、32.60%;在甘肃省,单位农地的生态服务价值为18.95万元、单位农地的社会保障价值为26.11万元、单位农地的社会稳定价值为18.23万元,占单位农地非市场价值的比例分别为29.94%、41.26%、28.80%。从结果分析来看,农地资源的非市场价值呈现从东到西逐步递减的趋势,但农地的社会保障功能呈现逐步递增的趋势,这主要是因为农地的社会保障功能与当地经济发展水平及非农就业收入成反相关系。(4)合理选择农地非农化的数量是协调农地保护与经济增长两者之间矛盾的唯一办法。理论上,应根据土地资源在非农部门和农业部门的边际收益相等的原则来确定最优的农地非农化数量。结合我国实际非农化过程,农地非农化的代价性损失数量是促进农地非农化配置从两难到双赢的合理的度。通过对江苏、湖北和甘肃省的实证研究发现,由于市场失灵,1997-2004年,江苏、湖北和甘肃省农地非农化过度性损失I的数量分别为47642公顷、14810公顷和5542公顷,占实际农地非农化数量的31.77%、38.21%和44.12%,可见,由对农地资源非市场价值的忽视而产生的资源浪费程度比较严重。这也说明西部地区的生态脆弱性,在经济发展过程中,应从全国层面进行主体功能区划,针对各区域不同的地理区位、生态环境及发展潜力分别划分为不同级别的开发区域。基于上述研究结果,文章为我国今后提高农地非农化配置效率、纠正市场失灵提供了有益的政策措施,包括:实施农地社会生态保护补偿机制;实施“绿色GDP”考核办法,改变地方政府农地非农化的激励结构;重新认识农地资源价值,并将农地非市场价值纳入到征地补偿体系;积极推进资源价值评估及公共政策体系创新;明确主体功能区划,优化区域国土开发格局等。更多还原

【Abstract】 Industrialization and 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, land supply and demand, ecological environment issues; farmland conversion is the direct effect of industrialization and urbanization. Since reformation and opening in china, on the one hand, farmland conversion provides impetus for economic development, and plays an important role in economic growth; on the other hand, a lot of negative effects appear in the process of farmland conversion, for example, much loss of arable land resources, by which results in a series of social, economic and environmental problems. Farmland conversion is an inevitable trend during the economic development process. However, as indispensable natural resource, farmland has such societal value as food and ecological security, besides economic value. Enough farmland is the guarantee a country achieves sustainable development. As a result, many countries intervene in the course of farmland conversion. Our government has also been concerning it and constituted the strictest system of cultivated land protection and land management to control it. In fact, farmland conversion still is a necessary cost for economic development in present and in the future of china, which is reasonable, because the cycle of farmland conversion is consistent with economic growth cycle. Simultaneously, there are a lot of additional costs for economic development that hiding in the course of farmland conversion: one is ubiquitous market failure in the course of land resource allocation; another is the government failure in the course of land resource allocation. The essential reasons of excessive loss that result from the market failure are fragmentary system of resource value and distorted farmland resource price, which result in ignoring the latent expense of land resource that has ecological and social value during the farmland conversion. So, this paper put forward the system of farmland soci-ecological value based on restruction of farmland resource value, and then amending the economic decision function of farmland conversion by the results of farmland resource valuation, aiming to validating the excessive loss of farmland conversion induced by market failure, and searching the countermeasures to weaken the excessive loss, providing the foundation of theory and practical for land resource reasonable allocation.In the first part of the paper, the research background, theoretical concepts and research contents, analysis framework, research methods, and sources of data used are introduced. The research on ecosystem service function, farmland conversion allocation and farmland resource valuation in china and abroad are reviewed and commented also.Then, this paper hackles the theory of resource allocation and public goods, and constructs the framework of farmland allocation of low efficiency. Subsequently, this paper proceeds with the connotation of farmland social-ecological value, and concretely come up with the social-ecological service function of farmland, also discuss the action mechanism between service function and farmland conversion, and then emphasizly analyzes the efficiency loss of farmland conversion induced by market failure from the viewpoint of market failure, loss of farmland value and farmland excessive conversion. Subsequently, this paper classified the non-market value of farmland, and concretely determines the valuation method of farmland non-market value. When accounting the non-market value of farmland, we employ the method of replacement market, shadow price for calculation, and take Jiangsu, Hubei and Gansu province as an example. Based on above, investigateing the social-ecological loss of farmland through the rate of farmland conversion and index of ecological sensitivity, and use the C-D production function to establish the model to analyze the excessive loss of farmland conversion.The conclusions are obtained as follows:(1) Farmland land not onlu has the economic production function, but also has much important social-ecological function, and with the economic development, the social-ecological service function of farmland was payed more attention. According to the theory of modern resource value and sustainable development, and refer on the research of ecosystem service, the author consider that the social-ecological system service function is the natural environmental conditions and effects that formed during the farmland ecosystem and ecological process, which provide the support for human life. These functions can also been divided into several categories, for instance, gas regulation, environment purification, water conservation, soil conservation, nutrient cycling, biodiversity maintenance, recreation, cultural etc. it just because the non-market value of farmland, present farmland conversion has negative effect on economic sustainable development.(2) Market failure result in farmland excessive loss, the reason is that the social-ecological service value cannot embody on market, so various regulation measures and means have no obvious effect. During the farmland conversion, market mechanism only has effect on economic production function; the social-ecological service value of farmland was precluded from the price system, conduce to market failure. From the formation mechanism of farmland conversion price, these service functions cannot been dealed because of either no property rights or boundary fuzzy or consumption exclusivity, and then lack of the guidance of price signal, so easily cause the excessive waste and low efficiency use. Because of the defect of traditional market system and the public attribute of social-ecological service function of farmland, make farmland protection cannot simply dependent on regulation. In order to entirely solve the low efficiency of farmland allocation, it is necessary to embody the price of social-ecological service function of farmland, and to incentive peasant to protect farmland, thus promote the role and significance of these service functions in the process of farmland conversion decision-making.(3) The non-market value of farmland is comparatively high, and market failure lead to resource loss; furthermore, the losses have certain regional difference. Take Jiangsu, Hubei and Gansu as an example, the value of non-market service function of farmland is 659800 yuan/ha, 667600 yuan/ha and 632900 yuan/ha, among of them, in jiangsu province, the ecological value is 224000 yuan/ha, accounted for 33.95%; the value of social security is 224300 yuan/ha, accounted for 33.99%; the value of social stability is 211500 yuan/ha, accounted for 32.06%. In Hubei province, the ecological value is 211200 yuan/ha, accounted for 31.64%; the value of social security is 242300 yuan/ha, accounted for 36.30%; the value of social stability is 214000 yuan/ha, accounted for 32.06%. In Gansu province, the ecological value is 189500 yuan/ha, accounted for 29.94%; the value of social security is 261100 yuan/ha, accounted for 41.26%; the value of social stability is 182300 yuan/ha, accounted for 28.80%.(4) The unique method of harmonizing the farmland protection and economic growth is reasonably to select the amount of farmland conversion. According to the theory, when the marginal income of land of agricultural and non-agricultural sector is equivalent, then the amount of farmland conversion is optimal. Combination with fact of farmland conversion in china, the pricable loss of farmland conversion is the reasonable amount that promotes the allocation of farmland conversion from the dual-difficulty to the double-win. Take Jiangsu, Hubei and Gansu as an example, because of market failure, in 1997-2004, the area of farmland excessive conversion I respectively is 47642 ha, 14810ha and 5542ha, also respectively making 31.77%, 38.21% and 44.12% of the amount of practical farmland conversion. It is obvious that resource waste that result from ignoring the social-ecological value of farmland is severe.Finally, this paper puts forward some useful policy measures for the improvement of allocation of farmland conversion and the correction of market failure, including: implementing the compensation mechanism of farmland social-ecological protection; practising "green GDP" assessment method; changing the incentive structure of local government for farmland conversion; reunderstanding of farmland value, and bring the non-market value into the compensation system of land expropriation; actively pushing the valuation of resource and innovation of public policy system.更多还原