【作者】 肖屹；

【导师】 钱忠好； 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】 农地非农化是经济发展过程中的一个必然现象。从土地资源空间和行业配置的角度分析,工业化、城市化的过程表现为农地非农化的过程。在当今中国,通过土地征用实现土地由农业用途转变为非农业用途的同时,也严重侵害了失地农民的土地权益.尽管现有研究对现行征地制度进行了深刻的分析,并从征地程序、补偿标准、补偿机制、安置办法、社会保障等方面探讨了改革的途径,但是,现有研究大多未能将征地制度改革与农地产权制度创新联系起来.因此,从农地产权视角探讨失地农民权益受损与中国征地制度改革问题,就具有特别重要的意义.本研究重点从农地产权视角探讨失地农民权益受损与中国征地制度改革问题.在对中国现行征地制度进行简略的概括和分析的基础上,运用土地增值收益空间分析模型定量分析土地征用中农民土地权益受损程度,分析失地农民土地权益受损的原因,从产权视角探讨失地农民土地权益受损机理,并进一步分析农民土地产权认知与地意愿的关系探讨如何深化中国征地制度的改革.全文共分九章.第一章:绪论.作为全文的开篇,首先介绍为什么要从产权的视角研究失地农民权益受损与中国征地制度改革问题,然后围绕农地产权制度改革和土地征用中农民权益受损两个方面对现有理论研究进展进行简要介绍和述评.在此基础上,介绍本研究的研究目的、研究思路及主要的研究内容.第二章:交易费用、产权和制度:基础理论考察。在对交易费用、产权、制度等基础理论进行梳理的基础上,重点分析制度环境、交易费用与制度创新的关系,从而构建全文研究的分析框架。制度环境的变化使得原有制度安排下无法获得的外部利润不断积聚,激励着经济当事人产生新的产权需求。但是,产权的界定需要花费交易费用,最优产权边界由界定产权的边际成本与边际收益相等所决定.最优产权边界的确定相应地形成新的制度均衡,制度变迁得以完成,并在最优产权边界之外形成产权公共域。第三章:中国征地制度的历史变迁。本章首先对新中国成立以来征地制度历史沿革进行简要的回顾,在此基础上,总结中国现行征地制度的主要特征,并通过对征地制度变迁时滞之谜的分析,探讨征地制度缺陷原因之所在.中国土地征用制度在建国后历经变迁,其产生有其特殊的时代背景和制度环境.它在财力有限的情况下有效地解决政府特别是地方政府财力不足的问题,保证国家社会和经济发展所需的土地,具有国家是土地征用的唯一主体、集体所有土地是土地征用的唯一客体、征地补偿和农民安置带有明显的计划经济色彩、土地征用的政府垄断性等典型特征.但是,由于政府征地制度供给不足,使得中国征地制度变迁表现出一定的时滞,并与制度环境不相适应,征地制度因而存在土地征用目标泛化、征地补偿标准偏低、安置办法“不完善”,征地程序不合理等缺陷.第四章:土地征用中农民土地权益受损程度分析。研究者构建了土地增值收益空间分解模型,分析工农产品价格“剪刀差”、政府垄断、市场失灵对农民分享土地增值收益的影响,并运用土地增值收益空间分解模型、利用江苏的数据,对征地过程中农民土地权益受损程度进行测度.结果表明,现行征地制度使政府不仅获取了自然增值收益,而且获取了工农产品价格“剪刀差”、政府垄断以及市场失灵等带来的增值收益,农民分享土地增值收益比例过低,农民土地权益受损程度严重。土地征用中农民权益受损主要包括由于政府压低征地价格造成的价值损失、因工农产品价格“剪刀差”扭曲造成的价值损失、因市场失灵无法体现农地社会保障价值造成的价值损失。第五章:土地征用中农民土地权益受损成因的系统考察.本章在一般性地分析土地征用中农民受损原因的基础上,深入分析征地制度、农地产权、农民自身能力对农民土地权益受损的影响,从中离析出农民土地权益受损的产权因素.土地征用中农民土地权益受损既源于政府征地行为不规范,又源于农民缺乏维权的行动能力。现行征地制度不规范使政府的征地行为缺乏有效约束;产权主体缺失、缺乏排他性以及权能限制不当导致农民缺乏维权的产权基础;组织化程度偏低,自身能力偏弱使得农民在面对政府侵权时无法有效维护自身权益.要在土地征用中切实保护农民土地权益,就必须改革现行的征地制度和农地产权制度.第六章:基于产权视角的农民土地权益受损机理分析.本章从制度环境的变化入手,通过构建产权公共域分析模型,分析当事人界定权利的成本和收益,研究产权公共域的产生及变化,在此基础上,进一步从产权的视角细化农民土地权益受损的机理。主要的研究结论是:在土地征用中,由于人们对土地价值计量的困难以及公共利益内容界定不清、正式规则对农地产权界定的表述歧义等,使一部分土地产权留置于公共域Ⅰ中;制度环境变化带来的外部利润,征地制度变迁的时滞,使得农民不得不放弃部分本该属于自己的权利,形成土地产权公共域Ⅱ。面对留置在产权公共域的产权,我国农民却因为组织化程度较低、缺乏维权能力而无法以一个平等者的身份来分享、获取这部分的土地产权,导致土地征用中农民土地权益受损.第七章:农民产权认知、征地意愿与征地制度改革——基于江西鹰潭、江苏南京的实证研究。在本章中,研究者主要利用在江西鹰潭、江苏南京地区实地调研数据,重点从微观角度考察农民土地产权认知对土地征用制度评价的影响,并藉以探讨征地制度改革问题。调研结果表明,大多数农民对现行征地制度不满。突出表现为:大部分农民不愿意土地被征用;征地补偿费难以维持农民长久生活的需要;农民缺乏参与权和知情权;尽管征地补偿费分配考虑到失地农民的社会保障,但操作上仍不尽规范。农民土地产权认知是影响农民土地征用制度评价的重要因素.对土地所有权、土地增值收益权、土地征用谈判权认知的不同直接导致了农民征地意愿的分化,且当土地产权更多的指向农民时,农民越不愿意土地被征用。当征地制度能更好地符合农民土地产权认知时,农民的征地意愿会发生显著的改变。这表明,要提高农民对现行征地制度的满意程度,就必须根据农民的土地产权认知改革现行的征地制度。进一步地,由于土地的社会保障功能日益得到农民的重视,因此,在设计未来的征地政策时,要特别注意凸现农地所承担的社会保障功能,并在土地补偿费中体现其价值.基于以上的研究结果,文章为未来中国征地制度改革和保护失地农民土地权益提供了一个框架性建议,包括:以“尊重农民土地财产权利”作为中国征地制度未来改革的指导思想;通过强化农民土地财产权利以规范政府土地征用行为:同时,需要进一步完善现行征地制度,结合农民产权认知,推动现行征地制度改革以缩小农地产权公共域,进而保护失地农民土地权益。更多还原

【Abstract】 Farmland conversion is inevitable during the course of economy development. From the perspective of spatial and industrial allocation of land resource, the expansion of industrialization and urbanization are manifested as farmland conversion. With a great deal of agricultural lands transform into non-agricultural use in China, farmers’ land property rights have been suffering extensive and serious damages. Until now, researchers have made abundant discussions related to expropriation standard, expropriation procedure, compensation mechanism, settlement approach, social security and so forth. But few studies have connected expropriation reform with farmland property-right innovation. Therefore, it becomes significant and urgent to make research from property-right perspective.From the property-right perspective, this study mainly focuses on the land-lost fanners’ rights impairment and land expropriation system reform in China. On the basis of reviewing evolvement of China’s land expropriation system, firstly, the author analyzes the characteristics and limitations of current expropriation system. Then measures the extent of interest impairment using spatial analysis model for the land increment income, and discusses the inner reason and mechanism for impairment. Finally, combining with farmers’ cognition and some helpful experiences from other countries and areas, the author put forward useful measures for land expropriation system reform mainly from the property-right perspective.This researching item consists of nigh parts as follows.Chapter 1: Exordium. In the first part of this paper, the author introduces why he makes this study from the property-right perspective. As for farmers’ interest impairment and land expropriation system reform, the literature summary and comment are expounded. Following, the author shows us the researching purpose, researching contents and technique route.Chapter 2: Theoretical foundation: Trade cost, property-right and institution. On the basis of explaining famous theories on trade cost, property-right and institution, the author designs an analyzing framework through seeking the relationship between institution environments, trade cost and institution innovation. i.e. External profits will accumulate gradually with institution environment changes, which can not get from the original institution. Therewith, farmers will bring forward their impulse to obtain more right demands. However, trade cost is inescapable during right definition. The optimal property-right will appear when marginal cost is equal to marginal revenue, and then institution innovation will be accomplished. Finally, a new institutional equilibrium and its corresponding public domain will be created.Chapter 3: Institution evolvement of China’s land expropriation system. In the following study, the author looks back the institution evolvement of land expropriation system since 1494, analyzes the characteristics and defects of current expropriation system, and also makes an institution analysis about the reasons that caused these defects. It is pointed that China’s expropriation system was produced following a special era and policy background, which not only mitigated the huge financial pressure especially for local governments, but also provided effective guarantee of land resource for social-economy growth. The state constitutes the exclusive subject and rural collective land is the sole object; both compensate and allocation mechanisms are endowed with characteristics of planned economy; farmland expropriation was monopolized by governments, all these above can be considered as the typical features of such expropriation system. However, as institution innovation is lagged behind the institution environment change, current expropriation system presents some defects, such as the over extensive target, low compensation standard, irregular allocation measure and unreasonable procedure.Chapter 4: Analysis of the extent to which farmers’ interest lost during farmland expropriation. In order to find out the extent to which farmer’s rights have been bereaved, in the fourth part of this paper, the researcher designs a spatial analysis model for the land increment income. Besides, using the data of Jiangsu province, the author makes a detailed analysis about the influence of "scissors" price, governmental monopoly, market failure on land increment income got by farmers. It’s found that, under current expropriation system, farmers’ right lost is consisted of three parts: the first part is the lower price caused by governmental monopoly, the second part is the unfair price derived from the discrimination between agricultural and industrial products, the third part is the value lost of farmland’s social security function because of the market failure. However, all kinds of farmers’ lost above were taken away by governments finally. The proportion that framers can share is very low. It is clear that farmers’ rights were bereaved severely in the course of land expropriation.Chapter 5: Analysis of the reason why farmers’ interest lost during farmland expropriation. On the basis of usual factors that lead to right impairment, the author explores causes in term of expropriation system, farmland property-right and farmers’ own ability, and then searches out the real reason from the perspective of property right. It is not difficult to understand that farmers’ lost is caused by the irregular governmental behavior and also the incompetence in protecting their own rights. The irregular expropriation system leads to impotent restriction to governmental behavior. Farmers’ right-safeguard ability has been bereaved by the absence of property-right base, exclusiveness of land property-right and unfair limitation together. And what’s more, the low organization ability also leads to the inability in protecting rights. Therefore, for the sake of protecting farmers’ rights and interests, it is indispensable to impel innovation both of current expropriation system and farmland property-right institution.Chapter 6: Inner mechanism of farmers’ interest impairment from the perspective of property-right. The researcher set up a model of public domain of property right, in order to analyze the cost and benefit that farmers get during the course of distinguishing land rights and study how public domain occurs and changes. Finally, the inner mechanism in which farmer’s right is deprived is found out. It is found that certain rights are kept in public domain I finally, because it is difficult to make an absolute definition to land value and public interest, and it is incapable for the ordinary rules to explain farmland property-right clearly. When institution environment changes and external profits impel more right demand, farmers bring forward their impulse to define right further. However, deferred system makes cost too high for farmers to create a new right definition. As a result, farmers have to give up their certain rights, and meanwhile, public domain II appears. However, because of the low organization ability and the difficulty of right-safeguard, it is impossible for farmers to get the property rights kept in public domain I and II equality. That is why their rights have to be bereaved to certain extent.Chapter 7: The relationship among property-right cognition, farmer’s will and expropriation reform. Taking Nanjing city in Jiangsu province and Yingtan city in Jiangxi province as examples, the author explores the influence of property-right cognition on farmers’ appraisal towards expropriation system. It is found that most farmers are unsatisfied to current institution, which can be described as follows: most of them refuse expropriation; compensation is not enough to support farmers’ long term livelihood; both farmers’ participation right and information right are absent; besides, the mechanism of social security is imperfect in practical implementation, although it has been considered in the compensation distribution. Farmers’ evaluation is greatly depended on their property-right cognition, so the diversity of cognition in land ownership, land increment right and expropriation negotiation right lead to differences of expropriation will. If farmer can hold more rights, their unwilling emotion will be more obvious. If expropriation condition can be transferred to suit farmers’ property-right cognition, their unwillingness will be reduced remarkably. That is to say, it is necessary to promote reform according to farmers’ land property-right cognition. Meanwhile, policy makers should care more about the social security function of farmland and then bear out the corresponding value in expropriation compensation, which is attached much importance by farmers.According to the researching standpoints concluded above, useful policy suggestions are put forward towards improving China’s expropriation system and safeguarding farmers’ land interest. i.e. Under the guiding principle that fanners’ rights and interests should be protected, China’s expropriation system reform should come true through the following ways. On the one hand, we should standardize government’s behavior in virtue of emphasizing farmer’s rights. On the other hand, we should facilitate reform and dwindle the public domain of property right to safeguard fanner’s right effectively, combining with fanners’ cognition right.更多还原