【作者】 彭开丽；

【导师】 张安录；

【作者基本信息】 华中农业大学 ， 土地经济管理， 2008， 博士

【摘要】 著名经济学家黄有光(2005)曾经说过:“虽然价值不等同于福利,但任何价值都必须由福利来解释”。也就是说,判断一项社会经济活动是否有价值,其唯一的标准是分析它的社会福利效应是否为正。农地城市流转是当今我国经济发展和乡村城市化进程中普遍的社会经济现象,是现阶段城市增量土地的唯一合法来源。农地城市流转不论是其所产生的社会效益还是经济效益,从总体与长远的角度来看都是积极有效的,但也存在着明显的负作用,如造成我国人地矛盾不断加剧、粮食安全效益降低、生态环境退化、失地农民收入水平下降、其社会保障受到严重威胁等等。那么,农地城市流转给人们带来的国民经济福利的增长是否足以弥补其由于效率低下和不公平而引起的社会福利损失,即这项社会经济活动究竟带来怎样的社会福利效应?在此过程中,各权利主体将发生怎样的福利变化?这正是本文要研究的主旨。为了实现这一目标,论文从以下七个方面展开了论述:绪论部分在介绍论文研究背景的基础上提出了研究问题——从公平和效率角度研究农地城市流转的社会福利效应,并分析实现目标的路径;接着对国内外关于农地城市流转的相关研究动态进行了回顾并作了简要评述;最后对本文研究的目的、意义、技术路线、方法和可能的创新点进行了归纳。接下来是论文的理论基础,依次梳理了福利经济学理论、公平和效率理论、外部性理论和集体选择理论的相关观点。其中福利经济学的基本观点始终贯穿全文,指导本文的构思;效率和公平是论文的两大主线,通过分析我国农地城市流转的效率和公平现状,可剖析造成我国土地利用效率低下和社会不公的原因所在;通过外部性理论可剖析土地征收过程中的外部性问题和市场失灵问题;集体选择理论可帮助探寻如何从农地城市流转中各权利主体的不同选择到集体选择,从而分析实现目标的有效路径。第三章以福利经济学为理论基础,通过探讨农地城市流转中不同权利主体的福利变化,提出农地城市流转的社会福利目标是:社会的总体福利水平达到或超过流转前的水平,各权利主体的福利水平应该随着农地城市流转的进程逐步增加,失地农民应该有平等的机会分享农地资源城市化配置增加的社会福利;通过建立农地城市流转的福利分配模型,得出结论:社会福利绝对量的大小和各权利主体所得相对量的大小均与一定阶段内农地城市流转的速度密切相关;政府应确定一个公平、合理的征地价格,才足以弥补农民失地后损失的经济收益和社会保障;并通过构建农地城市流转的社会福利函数,分析了社会福利最大化的实现条件,结果表明:农地城市流转后增值收益的分配不公是导致各个权利主体福利不均衡的主要原因,政府必须按照农业用地边际生产效益等于非农用地边际生产效益的原则配置土地资源,方可兼顾农地非农化配置的效率和公平,并实现土地资源的可持续利用。第四章在对湖北省武汉市、仙桃市、荆门市和宜昌市城乡交错区实地调研的基础上对农地城市流转前后集体经济组织和农户的福利变化进行了分析,调查的重点在土地征收后村集体和农户的经济收入变化、征地意愿及价格意愿、补偿情况和社会保障状况等方面。研究结果表明:农民,作为相对弱势的权利主体,因获得的补偿标准较低,很难分享到农地流转后增加的土地收益,其中大多数人的福利正在逐步减小。村集体所获的土地征收补偿款往往不足以维持村组的集体经济发展并用于村民的福利改善。在进行微观分析之后,论文第五章从国家的宏观角度研究了农地城市流转的社会福利效应。首先定性分析了农地城市流转的正福利效应和负福利效应,接着阐述了判断福利改进的标准和福利测度的方法,然后运用C-D生产函数和国家1994-2005年宏观统计数据对我国12年来农地城市流转的需求和供应曲线进行了模拟,以农地边际生产效益等于非农用地边际生产效益的原则计算出最优流转量,并通过最优流转量与实际流转量之间的比较,计算出社会福利的损失量,得出我国存在着农地城市流转效率损失与农地过度流转的结论。公平与效率的统一是土地资源配置的理想条件,也是实现社会福利最大化的必要条件。为此,论文第六章深入分析了我国农地城市流转的效率和公平现状,并探讨了造成市场配置效率低下和机会不公、结果不公的深层次原因。因此,必须从社会福利最大化原则出发,将市场机制、政府宏观调控和社会制衡机制统一起来,兼顾公平和效率,实现资源的最优配置。最后,论文进行了总结和归纳,提出了研究结论和不足之处,并结合集体选择理论针对我国土地市场机制、收益分配机制和失地农民的社会保障机制中存在的问题提出了相关的政策建议。论文可能的创新点在于:①从理论上提出了我国农地城市流转的总体目标,是实现公平与效率的统一及社会福利的最大化;②从方法上建立了农地城市流转中不同权利主体的福利均衡模型及社会福利函数,分析农地城市流转中各权利主体福利均衡增长的条件和社会福利最大化的实现条件,为类似的宏观经济研究提供了有益的借鉴;③以大量调研所获第一手资料与国家统计数据为基础,从宏观和微观层次对我国农地城市流转的公平与效率现状及其对社会福利的影响进行了实证研究,检验了现行农地资源非农化配置的市场失灵、政府失灵、配置不公和效率不高的现象,并提出了政策建议。更多还原

【Abstract】 Huang Youguang, a well-known economist, once said in 2005: "Although it is not equivalent to welfare, any value must be explained by welfare." That is to say, the only criterion to determine whether a socio-economic activity is valuable is to analyze if its social welfare is positive. Rural-urban land conversion is currently the general social economic phenomenon during the process of economic development and rural urbanization in China, which is the only source of urban construction sites. Rural-urban land conversion is positively effective as far as social and economic benefits are concerned, but its negative effect is also evident, resulting in such problems as low efficiency, rural land configuration, environmental degradation, declining income levels and loss of social welfare. Consequently, are the benefits of national economic growth brought by rural-urban land conversion sufficient to make up for welfare losses caused by its inefficiency and unfairness? That is to say, what kind of social welfare effects does this socio-economic activity bring? And how the benefits of different interest groups change in this process? These are precisely the aim of this paper.The scheme of the paper, which was displayed in more detail in the analytical table of Contents, displays as follows:After introducing the research background, this chapter put forward study issues -to reveal the social welfare effects of rural-urban land conversion from the perspective of fairness and efficiency, and to analyze the paths of achieving goals. Then it reviewed and evaluated domestic and foreign related research outcomes. At the end of this chapter, purpose of the study, methodology, technical routes, and possible innovation were summarized.Chapter 2 which included theories of welfare economics, equity and efficiency, external and collective choice, is the theoretical basis. Welfare economics, the basic viewpoints, guided to build the whole frame of the full paper. Efficiency and equity were the two main lines of the thesis. By analyzing efficiency and equity situation of China’s rural-urban land conversion, reasons of land-use inefficiency and social injustice could be concluded. Externality problems and market failures of land expropriation could be analyzed by externality theory. And collective choice theory was helpful for analyzing how to achieve the effective paths of rural-urban land conversion from individual choice to collective choice.Based on the theories of welfare economics, chapter 3 advanced the social welfare objectives of rural-urban land conversion by discussing the welfare changes of various interest groups. That is, the overall social welfare level should reach or exceed the level before land conversion, while welfare levels of all interest groups should increase gradually in the process of rural-urban land conversion, and landless peasants have equal opportunities to share the increasing social welfare. By building the model of welfare distribution of rural-urban land conversion, following results are gotten: Firstly, the absolute and opposite value of social welfare is closely related with the speed of rural-urban land conversion. Secondly, governments should provide fanners and collectives fair compensation to make up the utility lose caused by land expropriation. And by analyzing the conditions of maximizing social welfare, conclusions are drawn: Governments should allocate land resource in accordance with the principle that marginal productivity of farmland is equal to that of non-agricultural land, which is the only way to balance efficiency and equity and to achieve the sustainable use of land resources.Chapter 4 analyzed welfare changes of the collective economic organizations and farmers facing land expropriation based on the field survey of urban and rural fringes in Wuhan municipality, Xiantao City, Yichang City and Jingmen City of Hubei Province. The survey focused on changes of economic income, willingness of land expropriation and price, compensation and social security situation, and so on. Results of the survey show that it is difficult for farmers, as a relatively vulnerable group, to share increased land benefit because of the low compensation standard. As a result the welfare level of most of them is gradually being reduced. Simultaneously, the amount of land requisition compensation due to village collectives is often not sufficient to maintain economic development and improve the welfare of the villagers.After conducting microscopic analysis, chapter 5 studied the social welfare effects of rural-urban land conversion from the national perspective. Firstly, it qualitatively analyzed the positive and negative social welfare effects of rural-urban land conversion and described the methods of determining welfare improvement and measuring welfare. Secondly, it simulated demand and supply curves of China’s rural-urban land conversion in 12 years by using CD production function and the macro state statistics data from 1994 to 2005, and then calculated the optimal amount of land conversion guided by the principle that the marginal productive benefit of agricultural land should be equal to that of non-agricultural land. Finally, it calculated the amount of social welfare and draws a conclusion that there are inefficient loss and excessive loss of farmland conversion by comparing the optimal and actual amount of land conversion.Balanced equity and efficiency is the ideal and necessary condition of allocating land resources and achieving social welfare maximization. Therefore, Chapter 6 elaborately analyzed the current efficiency and equity situation of China’s rural-urban land conversion, and explored the deep-seated reasons of low efficiency and injustice of opportunities and allocation. Consequently, in order to realize the optimal allocation of resources, it is necessary to observe the principle of maximizing social welfare, to integrate market system, government’s macro-control, and public participation mechanism, and to balance equity and efficiency.The last chapter, i.e. chapter 7, summarized the full dissertation and advances inadequate problems and prospect of this research. Finally, relevant policy recommendations about land market system, income distribution mechanism and social security mechanism of landless farmers were put forward based on collective choice theory.The possible new ideas of this dissertation are as follows:①It put forward the overall object of rural-urban land conversion which is to balance equity and efficiency and to achieve the maximization of social welfare;②It builded model of welfare distribution and social welfare function to analyze situations of balancing benefits between different interest groups and maximizing social welfare, which provides a useful reference to similar macroeconomic researches;③It examined the phenomenon of market failure, government failure, inefficiency and unfair allocation by empirical studying on the current situation of land conversion’s equity and efficiency from micro and macro viewpoints based on large amount of first-hand information and national statistic data, and then puts forward relative policy recommendations.更多还原