【作者】 方中友；

【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】 农村土地转让权的赋予以及农地流转的出现可谓是新中国土地制度史上的又一次重要改革。随着农地流转的逐步普及,各地也开始探索不同的流转类型及运行模式,如近年来出现的由乡村集体参与的大规模流转模式,以及部分地区产生的一些专门为农地流转服务的中介组织等。对于现实社会中出现的各种农地流转现象及其产生、运行与发展的内涵如何加以理论层面的归纳,并以此提炼出中国农地流转的运行机制无疑具有十分重要的理论价值和现实意义。这不仅有利于我们更好地把握未来的社会经济改革方向,也能帮助我们指导当前的农地流转实践,促进土地资源的优化配置和高效利用。迄今为止,有关农地流转机制的研究主要是从农地流转中的农户行为、农地流转与规模经营、农地流转的市场机制、农地流转中的市场中介以及农地流转中的政府干预等几方面展开的。通过系统的文献回顾发现,已有的研究并没有对农地流转中出现的一些新现象(如外来农户大量涌入城市郊区从事农业生产,“三资”开始进入农业开发农业等)做出系统的解释,而对于农地流转供需双方的经济行为及流转价格的形成机理、农地流转中介组织及其运行机制等问题的阐述也不多见。为此,本文旨在结合对南京市农地流转发展情况的实地调查深入探讨现阶段农地流转的一般运行机理,具体包括农地流转中的供需双方经济行为及流转价格的形成机理、中介组织在流转中的成因及运行原理、以及制度(政策)改革对于农地流转的影响等方面。考虑到不同类型农地流转模式的产生与发展本质上是与农地流转的不同发展阶段密切相关的。因此,论文首先基于不同发展背景下的农地流转实践,构建了一个反映农地流转运行模式及其演进规律的理论分析框架。从而,为后面深入、系统的理论提炼及实证分析提供了必要的分析视角、范围和逻辑结构。文章首先系统分析了我国农地流转发展的现状与特征。不难发现,当前我国的农地流转正处于不断规范和完善的发展阶段,流转行为主要呈现出五大特征:一是流转市场发育缓慢;二是流转形式多样化;三是流转主体多元化;四是流转价格偏低且地域差异性明显;五是流转的中介组织应运而生。随后,论文还进一步提出当前的农地流转还存在着侵害农民权益和管理滞后等问题。这些都为后面深入探讨农地流转的运行机制提供了研究背景和逻辑基础。基于对农地流转现状与发展特征的深入考察,结合前面所构建的一般理论分析框架,本文开始着重研究农地流转的运行机制。首先,文章从理论层面探讨了农地流转中的供需双方经济行为及流转价格的形成机理。研究指出,农地流转均衡价格的形成是影响农地流转中供给和需求各有关因素共同作用的结果。具体而言,这些因素主要可以归结为自然因素(包括区位和地形条件)、经济社会因素(包括农产品需求变化、地权稳定性等)和政策制度因素(包括农业税费和补贴政策等)三大方面。其次,论文系统研究了农地流转的中介组织及其运行机理。由于农地流转中包含着众多的交易成本,如收集信息的成本、起草合同、谈判的成本、签订合同、执行合同的成本、事后的交易成本等。因此,为节约这些成本,提高农地流转效率,中介组织才有了存在的空间。总体来看,农地流转中介组织的产生,不仅有利于节约大规模农地流转中的交易成本和扩大农地流转的交易半径,克服交易封闭性,也能够有效地将交易成本分摊给众多的交易参与者,避免“搭便车”现象的出现,将农地流转给生产效率更高的使用者。再次,论文还进一步探讨了制度(政策)改革与创新对于农地流转的影响机理。这主要可以区分为中央政府和地方政府两大层面。具体地,中央政府对农地流转的制度供给主要体现在以下三个政策上:(1)财税政策,主要涉及粮食直补和农业税费减免这两项惠农政策,在实施上述政策之后,农地流转的交易数量明显减少,流转价格显著上升;(2)社会保障政策,中央政府通过大力推行农村新型合作医疗制度,并未能从根本上替代土地所承担的种种社会保障功能,土地承担了应由政府提供的社会保障职能,这种职能错位,阻碍了农地流转的供给;(3)土地政策,中央政府从最开始的禁止农地流转到鼓励土地向适度规模经营集中,促进了土地流转和向规模经营集中。当然,地方政府的政策创新在一定程度上也能促进农地流转。地方政府最能了解当地人民对制度的需求情况,能够结合当地的实际进行制度创新,提供最适合当地的政策。此外,在共享外部利润的情况下,中央政府的制度供给和地方政府的制度创新形成了农地供给者、农地需求者、中央政府和地方政府等的共赢。针对上述理论探讨所得出的相关论点,文章接下来结合对南京市的实地调查,分别从南京市农地流转的供需行为、均衡价格的形成、中介组织的运行以及制度变革的效果等方面展开了系统的实证分析。从而获得了以下主要的实证观点:(1)对于南京市的本地一般农户而言,其对土地的供给意愿大于转入土地的意愿;外来农户、种养大户和农业企业的到来则使得土地的供求趋于平衡。而对于农地流转的价格而言,其主要是由农地所在的区位条件、土地产品需求变化、农地流转的期限、地权稳定性、农地的类型、农地的地形条件和国家的宏观政策等因素共同决定的。(2)从南京市农地流转的发展实践来看,过去土地主要是在熟人之间相互流转,因此交易成本很小,故流转的中介组织并未出现。而近年来随着近郊蔬菜生产基地大量的外来农户涌入和大规模土地流转形成的发生,农地流转的中介组织应运而生。此外,南京市的农地流转实际也反映出政府及其代理人——村委会在某种程度上承担了中介组织的功能。政府的职能发生了越位,承担了本应该由市场解决的问题,这和政府逐渐从微观竞争领域不断退出的方向发生了抵触。一旦农地流转发生了纠纷,群众很容易将矛头指向政府,从而不利于政府工作的顺利开展。但是在当前市场中介组织并不健全的情况下,政府及其代理人却又是推动农地向适度规模经营集中的重要推动者,并发挥了节约农地流转交易成本,扩大农地流转交易半径等作用,从而在一定程度上解决了农地流转交易封闭性的问题。(3)南京市近年来出现的一些地方政策和制度创新模式也大大推进了农地流转的发展。具体地,相关地方政策强调了要加强土地流转的区域规划,近郊区和城镇所在地要做好土地流转与城市发展规划的衔接,并规定了农地流转收益的递增机制;加上市郊一些地区出现的土地股份合作制和规模经营等制度创新形式也都很好地印证了南京市的制度(政策)改革与创新对农地流转的积极影响。最后,文章对上述主要研究结论作了简要归纳和总结。总之,通过对农地流转运行机制的理论探讨与相应的实证分析,本文主要阐明了以下四个方面的问题:(1)农地流转均衡价格的决定因素;(2)农地流转意愿的影响因素;(3)交易成本与农地流转中市场中介组织之间的相互关系;(4)中央政府的制度供给和地方政府的制度创新对农地流转的作用机理。基于这些理论研究成果及实证结论,论文也为今后农地流转的有序发展提供了一些政策启示。主要包括:要大力发展农地招商;逐步规范农地流转的相关合同;充分发挥价格机制在农地流转中的作用;积极培育农地流转的市场中介组织;不断完善农村社会保障体系;以及积极探索农地流转的相关制度创新模式等。更多还原

【Abstract】 The right of the rural land transfer and emergence of the rural land transfer is an important reform in Chinese system. With the gradual transfer of agricultural land universal and localities have also begun to explore the transfer of different types and operation mode, such as villages take part in the large-scale circulation patterns in recent years, as well as some intermediary agency participated in the land transfer, and so on. How the connotation of the various land transfer phenomena and its happening operation and development can be summed up theoretical level. Undoubtedly, extract the land transfer operation mechanism, have a very important theoretical value and practical significance. Not only helped us to better grasp the future direction of the socio-economic reforms, but also we can help guide the current practice of the land transfer and promote the optimal allocation of land resources and efficient use.So far, the main research of the land transfer is about: farmer’s behavior, land transfer and scale of operations, the land market mechanism, the intermediary agency and government intervention. Through systematic literature review, we can found that the study did not research on the emergence of some new phenomena (such as the large influx of foreign farmers in suburban areas engaged in agricultural production, "three-capital" has begun to enter the agricultural development, etc.) but didn’t make systematic explanation, only a few articles talk about the economic behavior of the both supply and demand and price formation mechanism of transfer, intermediary agency and its operating mechanism. Therefore, based on Nanjing’s practical development and the case study, discussed the general operation mechanism at this stage, specifically including the supply and demand bilateral economic behavior, and the transfer price formation mechanism, the reason why the intermediary organizations come into being and running principle, as well as the impact of the institution (Policy) reform to agricultural land transfer, and so on.Taking the different types of agricultural land transfer into account, its emergence and development is essentially closely related with the different stages in agricultural land transfer. First of all, based on the transfer development, the article builds an analytical framework about the operation mode and its evolution rule. Thus, provides a necessary analysis perspective, scope and logical structure for the in-depth and systematical theoretical and empirical analysis.First of all, the article analyse the development status and characteristics systemicly. It is not difficult to find that the transfer in China is still in development stage, has five main characteristics: Firstly, the development of the market is slowly; Secondly, the forms is various; thirdly the main partners are diversificated; fourthly, the transfer price is very low and the geographical differences is obviously; fifthly, the intermediary organizations have emerged. Subsequently, there are two issues in the agricultural land transfer, the first one is that the infraction of the farmer’s right and second one is that the transfer managemen is lagged. These are the basis which provided the background and logic for the later study on the agricultural land transfer operating mechanism.Based on the transfer status and transfer characteristics, combine with the former general theory of analytical framework, the paper began to focus on the operational mechanism. First, the article analyse the supply and demand in economic activities and the transfer price formation mechanism from the theoretical level. The results shows that the equilibrium price is affected by the the relevant factors of the supply and demand. Specifically, these factors can mainly be attributed to natural factors (including location and terrain conditions), the economic and social factors (including changes in demand for agricultural products, the right to stability, etc.) and policy and system factors (including agricultural subsidies and tax policies, etc.). Second, the thesis research in the fields of the intermediary organizations, and its operation mechanism. As in the transfer of agricultural land contains a large number of transaction costs, such as the cost of gathering information, the drafting of contracts, the cost of negotiations, signed a contract, the cost of the contract after the transaction costs. Therefore, in order to save costs and improve the efficiency of the circulation of agricultural land, the intermediary organizations have space to be existed. Overall, the intermediary organizations is not only save transaction costs and expand the transaction radius, overcome the closure of the transaction, but also will be able to apportion the transaction effectively to all participants in the transaction, to avoid "free-rider" phenomenon, and transfer the agricultural land to the more efficient users. Third, the paper also further explores the mechanism that the institution (policy) reform and innovation for the transfer of agricultural land. This can be divided into two levels: the central governments and the local governments. Specifically, the central government on the transfer of agricultural land supply system is mainly embodied in the following three policies: (1) fiscal policies, mainly related to the direct food subsidy and agriculture tax relief. After the two policies, the number of transactions decreased significantly and the rent increased significantly, (2) social security policy, the new-type rural cooperative medical care system, can not substitute for land from the fundamental commitment by the various social support functions which shoulf provide by the government. This function is distorted and impeding the transfer of the agricultural land supply, (3) land policy, first the central government ban the transfer, but now they encourage landowners to focus on moderate scale operation, and promote land transfer to the scale of operations and concentrated. Certainly, to a certain extent, the local government’s policy innovation can also promote the transfer of the agricultural land. The local governments understand the needs of the local people best, be able to provide the most suitable policy for the local people. In addition, they are sharing the external profit, the central government’s institution supply and the local government’s innovation formered thesupplierers of agricultural land, the demanders of the agricultural land, the central and local governments to a win-win situation.In response to these derived from the theory of the former arguments, the article followed with a field survey in Nanjing, including the transfer of supply and demand, the formation of the equilibrium price, intermediary organizations, as well as the operation of the system and so on. To obtain the following major empirical perspective: (1) For the local general farmers, their land into land supply will more than the wishes of foreign farmers, cultivating large agricultural enterprises and the arrival of the land is made supply and demand into balance. As for the transfer of agricultural land prices, its mainly by the agricultural land where the geographic conditions, changes in product demand land, the transfer of farmland period, the right to stability, the type of agricultural land, agricultural land terrain conditions and the country’s macro-common factors such as policy decisions. (2) From the transfer development practice in Nanjing, in the past, the transfer is occurred between acquaintances, the transaction costs are small, so the intermediary organization is not happening. In recent years, a large number of foreige farmers come into the suburban vegetable production base and large-scale transfer happened, the intermediary organizations have emerged. In addition, the transfer of agricultural land in Nanjing also reflects theactual Government and its agents——the village committee, to some extent, take on theobligation of the intermediary organizations. It is conflicted with the direction that the government should gradually withdraw from the areas of microeconomic competitiveness. Once the disputes happened, and the masses can easily directed against to the Government, thus not conducive to the smooth implementation of the government work. But the market intermediary organizations isn’t healthiness, the government and its agents are the best promoters to promote moderate scale operation, and can save transaction costs, and expand transfer radius, thus to a certain extent solved the circulation of agricultural land transactions closed issue. (3) In recent years, some of Nanjing’s local policy and institutional innovation model has also greatly promoted the development of the circulation of agricultural land. Specifically, the relevant local policy stresses the need to strengthen the regional land transfer planning, coupled with the peri-urban areas’s transfer and the urban development planning, and provides rent increasing mechanism. The emergence of local policy innovation, such as the shareholding co-operative system and the scale operation are propitious to promote the transfer.Finally, we are drawing a conclusion. In short, the transfer of agricultural land through the operating mechanism of the theory with the corresponding empirical analysis, this paper is mainly to solve the following four aspects: (1) the deciding factor of the equilibrium price, (2) the factors which affect the agricultural land’s transfer willingness (3) transaction costs and its mutual relationship with the intermediary agency (4)the role of the central government institution supply and local government’s institution innovation to the agricultural land transfer mechanism. Based on the results of these theories and empirical research findings, we can draw a conclusion that: We can use agricultural land to attract investment; gradually regulate the contracts; make full use of the price mechanism; develop the intermediary agency; consummate the rural social security system as well as explore the institution innovation.更多还原