【作者】 王本兵；

【导师】 高强；

【作者基本信息】 中国海洋大学 ， 农业经济管理， 2011， 博士

【摘要】 加快城镇化进程已成为我国国家战略。但城镇化是一项复杂的、长期的系统工程,尤其是我国城乡关系长期受计划经济的桎梏,以往有些制度相互掣肘,束缚了城镇化的发展。如何建立新型城镇化制度体系,已成为我国社会经济发展的迫切要求。本文以加快城镇化进程为出发点,在研究我国农村城镇化的主要影响因素、农民迁徙规律及现实制度障碍的基础上,系统研究了我国城镇化制度体系,探索了符合市场经济演进规律城镇化制度创新安排,主要研究内容及结论如下:(1)在我国城镇化制约因素分析方面,首先,在理清我国城镇化进程的基础上,对我国农村城镇化现状进行了系统分析,发现我国城镇化进程整体呈现平稳上升态势,但城镇化区域发展不平衡,且滞后于经济发展程度、工业化水平和产业结构调整步伐;然后,剖析了影响农村城镇化推进的资源条件、经济产业条件和政策文化条件,并运用主成分分析法,计算出各因素对城镇化影响的大小,具体可以归结为农村推力与城镇拉力两个方面;接着,对城镇化进程影响因子作用的优劣与国家相关政策的制定之间的相关性进行分析,发现当前体制因素、政策因素是制约农村城镇化的主要因素,由此提出在推进城镇化的进程中,要逐步适应市场机制的发展方向,把握城镇化的主要影响因子,进行相应的制度改革,以推进城镇化顺利发展。(2)在农民迁徙障碍研究方面,首先,依据经济学理论,构建了农民迁徙经济决策模型;然后,利用历史数据,剖析了我国农村劳动力资源及其利用状况,并将1978年以来农村剩余劳动力的转移历程划分为4个阶段;随后,着重研究了我国农村剩余劳动力现阶段转移的就业途径、人口特征、接纳地区和转移行业,发现农村剩余劳动力转移受体制政策影响大、转移人口特征明显、转移区域差距大、转移兼业性显著;接着,将影响我国农村剩余劳动力转移的障碍归结为六个方面:户籍制度制约、土地流转不畅、乡镇企业下滑、城镇建设滞后、城镇管理体制不健全、社会保障制度缺失;最后,在系统分析的基础上,构建了我国城镇化制度体系创新框架。(3)在户籍制度创新方面,首先,梳理了我国户籍制度的由来,剖析了传统户籍制度对农民、农村、农业、农民工以及城镇发展的影响;然后,评述了我国户籍制度的渐进式改革进程,提出当前我国户籍制度改革的主要瓶颈在于城镇户口准入门槛高、改革政策偏于表面化、基础教育资源分配不公、缺乏法律引导、公共设施与服务严重匮乏;随后,在设定户籍制度改革目标的前提下,制定了户籍制度“三步走”的改革方案,并分析了户籍制度改革的时机和应遵循的原则;最后,从加快新农村建设、推进农村物权资本化、引入现代管理手段、改变行政资源配置方式等角度给出了户籍制度改革的配套措施。(4)在土地制度创新方面,首先,剖析了我国城市现行土地制度的变革历程及存在问题;然后,制定了我国城市土地制度的改革措施,具体包括:创新现行土地所有权制度、统一部门管理权限、建立健全委托代理制度、完善交易市场及价格机制、理清利益分配关系等;接着,系统分析了我国农村土地制度变革历程、现状及存在的问题;针对其现有弊端,构建出适应城镇化发展的三种农村土地创新模式,即完善土地经营权创新模式、变革土地集体所有权创新模式、再造土地制度创新模式;最后,从明晰农村土地承包经营权、实现土地经营权自由流转、强化国家管理权、丰富失地农民安置等角度提出了改革的具体措施,并进一步指明了改革过程中应注意的问题。(5)在乡镇企业制度创新方面,首先,详细分析了乡镇企业产权改造给城镇化和非农经济带来的影响;然后,从国家政策支持乡镇企业向城镇转移、乡镇企业发展给农村带来负面影响、农村条件无法满足乡镇企业发展需求、城镇为乡镇企业发展提供保障和条件、乡镇企业为城镇发展创造广大空间等全方位视角剖析了乡镇企业向城镇聚集的可行性;最后,给出了乡镇企业向城镇集中发展的具体改革举措,具体包括:提供法律法规支持、大力改善投资环境、建设企业工业园区、调整产业产品结构、搞好配套制度改革、走可持续发展道路等。(6)在城镇基础设施建设体制创新方面,首先,探究了城镇基础设施建设对城镇化的具体推进作用;然后,从融资渠道、建设总量、经营效率、规划布局等方面,剖析了当前城镇基础设施建设存在的诸多问题;随后,指出我国城镇基础设施建设制度改革的目标是科学定位政府的职能,促进相关管理和法律制度的创新,实现投资主体的多元化,促进市场化进程,建立以市场为导向的新型投融资体制;最后,制定了城镇基础设施建设体制改革的具体措施,并进一步指出了改革过程中应注意的问题。(7)在城镇管理体制创新方面,首先,剖析了城镇管理体制现状及特征,认为我国现行城镇管理体制与城镇化发展的社会需求不匹配;然后,对当前我国城镇管理体制存在的主要问题进行了系统分析,并对其产生根源进行了探究;随后,在设定城镇管理体制改革应遵循原则的基础上,提出将“小机构、大服务”,“小政府、大社会”作为新型城镇管理体制改革的目标,并给出了具体的改革思路;最后,从转变政府职能、完善公共管理功能、促进行政权力正常化、调整城镇行政区划、重构城镇行政体系、推进机构合理化设置、提高财政管理技能、健全信息服务等方面,制定了改革的具体策略。(8)在社会保障制度创新方面,首先,总结了我国社会保障的现状,认为我国现行的社会保障制度具有城乡二元性、逆向调节性、试探性与多样性等特点;然后,针对社会保障制度存在的保障范围较小、保障层次较低、保障责任不均衡等问题,探讨了我国社会保障制度存在缺陷的根本原因;接着,提出社保制度改革应在遵循法制化、因地制宜、公平与效率相结合、近期目标与远期目标相结合等原则的基础上,走“从两元到三面再到一统”的新型道路;最后,从社会救助、社会保险、社会福利与住房保障制度等方面逐一给出了社会保障制度改革的具体措施。本文创新之处主要有:(1)视角上独特。城镇化是一长期的、复杂的过程,涉及方方面面的问题。以往有些制度、政策相互掣肘,束缚了城镇化的发展,本文既对阻碍城镇化的主要制度、政策措施现状及其诟病进行了系统分析,又对它们的改革方案进行了全面研究,提出制度创新的整体思路。在研究视角上突破就城镇化研究城镇化、就单一制度研究单一制度的缺陷,从城镇化各项相关制度出发,构筑了复杂的制度体系,以为顺利推进城镇化铺平道路。(2)实证有特色。系统测算并研究我国城镇化进程及农村剩余劳动力转移的发展变迁及现状,确定我国城镇化的发展格局和所处阶段,构建数学模型,定量分析阻碍城镇化发展的影响因素,实证分析了各影响因素对城镇化制约的程度大小,并依据相关结论对目前制约我国城镇化的主要制度:户籍制度、土地制度、乡镇企业制度、城镇基础设施和公用设施建设制度、城镇管理体制、社会保障制度进行了全面研究,保证了研究的客观性、科学性和系统性。(3)结论有创新。在分析各制度对城镇化影响的基础上,归纳这些制度的现状、特点及其对进一步推进城镇化的阻碍,详细设定了各项制度下一步改革的目标、思路和方案,对户籍制度、土地制度、乡镇企业制度、城镇基础设施和公用设施建设制度、城镇管理体制、社会保障制度制度均提出了一些创新思路,尤其是提出的户籍制度“三步走”、实行多种土地制度创新模式、社会保障制度走“从两元到三面再到一统”的道路等,都有一定新意。更多还原

【Abstract】 Speeding up urbanization has become our national strategy. However, urbanization is a complex, long-term systematic process. Especially, due to the long-term shackle of planned economy in the past to urban-rural relations, some institutions of mutual constraints hampered the development of urbanization. Therefore, how to establish new institutions of rural and urban areas and accelerating urbanization process become an urgent requirement to our social and economic development.In view of this, this paper based on the research of the main factors to urbanization, farmers migration patterns and its practical obstacles, with accelerating urbanization process as a starting point, making a systematic study of support security institutions to China’s urbanization system, and exploring institutional arrangements of urbanization system which is compatible with the principles of market economic evolution, in order to bring some useful insights for the reform of our urbanization institutions and provide theoretical support for formulating relevant policies. In the course of the study, this paper draws the following conclusions:(1) During 1978 to 2008, as a whole, China’s urbanization process presented a steady upward trend, but regional urbanization was imbalanced and seriously lagged behind the level of economic development, the level of industrialization and industrial structure adjustment. Based on the analysis of the main factors to urbanization such as resources, economic industry, policy and culture, we can calculate the average per capita living space of urban, middle or higher education proportion of the rural population, the number of ten thousands of agricultural technicians, the number of total power per hectare of cultivated land, rural per capita net income and other factors have relatively big influences to urbanization process by using principal component analysis method. All the factors can be specifically concluded to two aspects: rural thrust force and urban pull force, but their pros and cons are associated with the national policies. Therefore, in the urbanization process, we must grasp the main factors, adapting to the direction of market mechanism gradually and making timely relevant institutional reforms in order to create conditions for rural resident migrating to cities.(2) On the premise of constructing economic decision-making model in peasant movement, make an analysis of China’s rural labor resources and their utilization. The rural surplus labor transfer process since 1978 was divided into four stages. This paper focused on the employment of rural surplus labor force transfer in this stage, demographic characteristics, reception area and transfer industries, finding that the transfer of rural surplus labor force was great impacted by institutional policy, significant characteristics of transfer population, wide gap of the regional transfer and notable by-business character. Obstacles to the development of urbanization were concluded to six aspects: constraints of the household registration system, difficulties in land transfer, downgrade of the rural enterprises, lag construction of small towns, incomplete labor market and deficiency of social security system.(3) With the development of market economy, the contradictions between the traditional household registration system and new system have become increasingly prominent, which have not only greatly hampered the development of farmers, rural areas and agriculture, but also profoundly impacted the operation of urban society. The current household registration system reform in China exists a number of bottlenecks, such as high barriers to entry urban registration, superficial reform policies, inequitable distribution for basic education resources, lack of legal guidance, seriously short of public facilities and services; so reinforcing reform such as gradually stripping the rights and welfare attached to household registration, to seek household registration which can be balanced between fairness and efficiency and required supporting resource management system is necessary. For this reason, the aim of the reform of household registration system and“three-step”reform plan were proposed; in the meantime, the household registration system reform program from the angles of speeding up new rural construction, impelling capitalization of rural property rights, introduction of modern management, changing collocation methods of administrative resources was presented.(4) Against the problems of urban land system such as the less percentage of land market collocation, the lack of effective control of the price formation mechanism, serious localism of income distribution, incomplete relevant laws and regulations, reform countermeasures as innovating the existing land tenure system, unifying department management authority, establishing and completing agency system, improving trade market and price mechanism and clearing benefits distribution were presented; as for the disadvantages of fuzzy rural land property rights, small-scale crushing operations, non-normal land transfer, unreasonable land requisition system and frequent land contract changes, innovative models of rural land system like the clarity of rural land contractual management, free circulation of land management rights, strengthening national management, rich resettlement modes for landless peasants and so on while adhering to diversity and measures that suit local conditions, perfect rural financial system, establishment of healthy social security system, solving problems of loss of land exchange entitlements and strengthening its legislative work.(5) In-depth analysis of impacts from property rights transformation of town enterprises to urbanization and non-agricultural economy, from the full range of national policy supporting town enterprises into cities and its negative impact to rural development, rural condition cannot meet development demands of town enterprises, cities providing protection and conditions to the development of town enterprises, town enterprises creating broad perspective of space to the development of cities. The feasibility of town enterprises gathering to cities was analyzed; and strategic initiatives like providing legal support, improving the investment environment, constructing industrial enterprises park, adjusting industrial product structure, matching system reform and the path of sustainable development were proposed.(6) The essay explored the basic boost of infrastructure construction to the progress of urbanization , analyed the current problems of urban infrastructure that existing , the essay also extracted the principles and content that should be followed in reform and drafted the future infrustructure planning of the urban construction, and apart from that ,it come up with the measures of increasing the urban infrastructure to broaden the financing channels, total, advancing market reforms and establishing a perfect the market economy system , taking the concept of low carbon to the agenda of the urban infrastructure construction as well. The author believes that the urban infrastructure construction should be start from the reality and avoid "image projects" overflowed, and all kinds of projects development ought to layout to reduce the environmental pollution. it also need to strengthen international exchanges and cooperation so as to take the advanced experience of developed country for reference, in addition to this, we should perfect the relevant laws and regulations, and pay much attention to deal with the quality problems and the construction.(7)In the detailed analysis of the situation and characteristics of urban management system, thinks that the urban management system does not match the social needs of urban development, the scientific characteristics of existing system is not strong, the administration ignores the laws, and lack the rights for ordinary people to participate in the management system. Thus explores in depth of the root causes of current issues of urban management system, proposes "small body, big service ", "small government, big society " as new specific goals of the urban management system, and in order to reform the current urban management system ,should take measures from the aspects of transforming of government functions to improve public management functions; promoting the normalization of the executive power of urban government; appropriately and reasonably adjusting the urban administrative divisions; promoting the rationalization of urban institutions to reduce administrative costs; building administrative level-distinct towns system; improving the financial management skills.(8)The existence of the coverage of China’s social security systems is small, security level is low, security responsibilities are not balanced, also with duality, reverse regulatory, exploratory and diversity, and in the particularly urban farmer-workers and landless farmers are usually lack of social security, which has a great relationship with the current land reform and development of agricultural production technology and the market economy, thus proposes reform of the social security system should follow the principles of legal system, local conditions, the combination of equity and efficiency, short-term objectives and long-term goals ,and takes the road of "from two to three sides and then unification ", and launching reforms in social assistance, social insurance, social welfare and housing support, so as to ensure the smooth progress of urbanization.Innovations in this essay:(1)Innovation in perspectives. Urbanization involving all kinds of issues is a longtime and complex process. A number of regulations and policies used to conflict with each other, which restricted the urbanization progress. Not only analyzing the regulations and policies that advance the urbanization process, but also researching the relationships between them, the essay provides an overall idea of system innovations. Instead of focusing on the existing urbanization, the essay starts with the complicated urbanization system, and paves a smooth and solid foundation for the urbanization process.(2)Unique analysis. The essay analyzes the process of China’s urbanization and the evolution and the status quo of the surplus rural labors, and indicates the phase that China’s urbanization is at in its course. It builds mathematical models to analyze the factors that restrict the urbanization process, and evaluates how much each factor will restrict the process. On the grounds of the conclusions, the essay researched the related regulations that effect China’s urbanization, namely; household registration system, land system, the system of township enterprises, urban infrastructure and public facilities systems, urban management system, and the social security system.(3) The essay brings forward a few innovations within the household registration system, land system, the system of township enterprises, urban infrastructure and public facilities systems, urban management system, and the social security system. It summarizes the characters and the status quos of these systems and puts forward their influences on the urbanization. The suggestions the essay offers such as the household registration system, the multiple land systems and the social security systems are of certain innovative highlights.更多还原