【作者】 许德林；

【导师】 欧名豪；

【作者基本信息】 南京农业大学 ， 土地资源管理， 2011， 博士

【副题名】以青岛市为例

【摘要】 工业化和城市化是人类社会不断进步和发展的必经阶段,尤其是我国正处于经济社会快速发展和变革的时期,产业结构、人口结构和土地利用结构均发生着深刻变化,土地作为经济增长的基本要素,不断有农用地和耕地改变用途,成为承载工业化和城市化发展的建设用地,亚洲金融危机以来的这一轮经济景气周期,更是使得农地非农化处于一个高速推进的阶段。按照现行土地管理制度设计,土地市场制度的建立和完善,目的在于发挥市场机制在配置土地资源配置中的基础性地位,同时由于政治体制和经济体制改革尚未完全到位,以计划经济思维管理土地的模式尚未完全转变,土地资源配置市场机制和政府管制手段均在不断的完善和推进过程中。在有限的土地管理制度创新空间内,如何处理好必需的经济社会发展用地需求与农地保护关系,如何优化农地非农化市场机制和政府管制,成为摆在理论研究者和实际工作者面前的难题。土地市场的建立和逐步完善,是政府在追求土地资源利用效率的重要举措。然而,单纯地依靠土地市场是否能够解决农地非农化乃至整个土地资源利用的效率问题,这个问题的本质都是市场与政府在土地利用和管理上的取舍和结合问题。探索有中国特色的农地非农化调控的市场机制与政府管制机制及其结合,成为本文研究的重点问题。本文正是基于以上情况,在理论上对农地非农化问题、市场机制和政府管制及其结合作了有益的探讨,并对青岛市第二轮土地利用总体规划实施以来的农地非农化过程的特征与规律、市场机制效力的发挥以及政府管制行为进行了实证研究。文章首先简要地介绍了问题提出的背景、主要研究内容、主要数据来源,接下来构建了农地非农化问题、市场机制和政府管制及其结合理论分析框架,在此基础上确定了研究的技术路线和研究方法,然后对国内外有关农地非农化的研究动态进行了综述,并对这些研究成果作了简要的评述。文章主体部分首先从程序失范、数量失范、价格失范和收益分配失范四个方面对农地非农化过程中存在的问题进行了梳理,指出了上述问题可能造成农地非农化调控市场机制和政府管制的双重失灵。由此,一方面从价格机制、供需机制、市场失灵和收益分配四个方面对农地非农化市场机制进行了研究,指出了单纯市场机制和我国当前体制下农地非农化调控市场失灵的必然性；另一方面从管制目标、管制工具、管制失灵和管制优化四个方面对农地非农化政府管制进行了研究,指出了我国当前体制下农地非农化调控政府管制失灵的必然性,并就加强和改进政府管制提出了优化措施。在对农地非农化调控市场机制和政府管制分别研究的基础上,运用管制经济学理论对农地非农化调控市场机制与政府管制的结合进行了研究,提出了理论框架改良方向；并就现势条件下通过设立农地发展权交易市场,允许省域范围内新增建设用地指标、易地补划基本农田和易地补充耕地交易市场以及城乡建设用地增减挂钩指标交易进行了探讨,最后对青岛市农地非农化过程进行了实证研究。文章得出以下主要结论：(1)我国农地非农化过程中,出现了形形色色、花样繁多的问题,主要是：以未批先用、非法批地、以租代征、滥用征地权、土地违法处罚不到位等代表的程序失范问题,以数小图大、批少用多、拆分报件为特征的数量失范问题,以压低征地补偿标准、低价出让国有土地、违规减免相关税费为形式的价格失范问题,严重危害农地保护和粮食安全、严重侵害农民合理利益、导致国有土地资产严重流失、加快农地过度非农化,并导致农地非农化市场机制和政府管制的双重失灵。(2)现实制度供给下的农地非农化价格形成机制和驱动机制,决定了单纯市场机制不可能完全发挥对新增建设用地的基础性配置作用,必然导致农地非农化市场机制失灵。研究表明,在我国现有土地管理体制下,无论是农地非农化的农转用征收环节和还是建设用地使用权供应环节,农地非农化价格多数是按照国家和地方政府的相关标准制定的,仅有招拍挂出让价格可视为市场竞争形成的价格,没有形成正常的价格决定机制。通过对农地非农化供给和需求驱动因素的分析,认为农地非农化的需求驱动主要是人口增长、经济增长和城市化推进引起的,农地非农化的供给主要是由经济供给驱动和政绩供给驱动引起的。通过对农地非农化市场失灵的研究,认为无论是在单纯市场机制作用下,还是在现实制度供给的土地市场下,农地非农化市场机制都存在失灵的可能,这种市场失灵的后果将导致农地的过度非农化。通过对农地非农化收益分配的研究,认为农地非农化收益分配朝向各级政府和土地使用者转移,农村集体和农民所占分配呈下降趋势。(3)农地非农化政府管制理论上可以弥补单纯市场机制的不足,但是政府管制目标的异化可能助推农地过度非农化进程。农地非农化政府管制的主要工具是价格管制和规划管制,分别对农地转变为建设用地的过程中涉及到的土地供应方式、相关费用、数量规模、地类结构和空间布局进行管制,从而农地非农化进程控制在既定的规模和空间内。但在现实情况下,地方政府在推进农地非农化过程中,为提高用地批准速度、增加农转用面积、压低补偿标准和出让标准,往往集体发生诸多失范行为,导致农地非农化政府管制失灵。政府管制失灵的直接原因是法律上先天不足、管理上体制不顺,根本原因是分税制改革以来的逐步形成的中央、地方的财权和事权的严重不对等。就加强和改进农地非农化政府管制而言,需要从价格管制、规划管制、计划管制和政府管制四个方面进行优化。(4)在当前土地所有制和土地用途管制制度下,单纯市场机制和政府管制均不能解决农地非农化调控问题,只有二者有机结合才能发挥应有作用。就管制经济学而言,存在二者结合的理论基础,对农地非农化调控理论具有改良意义。在现势条件下,有必要设立农地发展权交易市场,在不改变现有土地用途管制制度前提下,引入新增建设用地指标、易地补划基本农田和易地补充耕地交易市场以及城乡建设用地增减挂钩指标交易市场,既确保省域范围内建设用地总量、耕地和基本农田保有量的政府管制目标的实现,又通过市场机制重新跨区分配用地空间和用地指标,走出传统土地用途管制必然面临的“平等与效率”的两难,使得不同地区在农地保护与经济发展之间可以找到各自的平衡点。(5)通过对青岛市农地非农化的实证研究得出以下结论：①青岛市农地非农化具有显著的阶段性和地域性特征。从土地利用现状变更调查和农转用审批数据可以看出,第二轮土地利用总体规划规划实施以来,青岛市农地非农化呈现明显的先缓慢启动、后加速上升然后逐步回落的阶段性特征,体现了不同经济增长阶段对土地要素的需求变化。在地域空间上,市区农地非农化总量约占县级市总量的一半,但市区比重逐年提高,县级市比重逐年下降。尤其是2006年以来,中心城区所占比重快速提高,县级市所占比重回落明显,市区及中心城区农地非农化呈现急剧加速状态。通过拟合环境库兹涅茨曲线可知,1997-2006年青岛市农地非农化具有典型的EKC特征,三产/二产比在2001年达到峰值后逐渐回落,呈现倒U型曲线特征。尽管2007-2008年不再具备以上特征,但农地非农化和产业结构均朝着土地利用更加集约、产业结构更加优化的方向发展。②青岛市农地非农化已经超越经济增长对土地要素的需求,已经出现农地过度非农化的倾向。通过建立柯布——道格拉斯生产函数可知,建设用地增量对经济二三产业增加值贡献率远低于固定资产投入量。青岛作为山东半岛中心城市,2008年城市GDP排名第9位,在前9名中仅低于长三角城市的上海、苏州和无锡,但其农地非农化弹性系数仅相当于长三角城市的平均水平。因此,应该正确估算和评价建设用地对经济增长的作用,不能夸大建设用地对经济增长的贡献率,慎重推进农地非农化进程,合理把握农地非农化的规模与节奏,使之与经济社会发展水平相适应。通过建立灰色关联模型可知,影响青岛市1997-2008年农地非农化的因素依次是固定资产投资、GDP总量、城镇化水平和总人口,这与这些指标的年均增长率排序一致。但应该注意到两点：一是上述主要指标与当年建设用地增加关联度普遍不高,最高的当年固定资产投资也仅0.6133,可初步认为青岛市农地非农化可能已经脱离正常的经济社会发展拉动轨迹；二是上述主要指标之间差距普遍较小,极差仅0.0718,可初步认为青岛市农地非农化是上述因素相互、共同作用的结果,影响因素主导性不明显。现实存在的大量批而未供和供而未用土地以及相对较低的集约用地水平也证实了这一点。③土地利用总体规划未能对青岛市农地非农化过程起到应有管制作用。从青岛市第二轮土地利用总体规划实施情况来看,主要规划控制约束指标均被远远突破,无论在数量规模上,还是在空间布局上,都未能对农地非农化形成有效的约束和制约,导致以计划代规划现象较为普遍,土地利用总体规划调整较为频繁。除少量市域外易地代保外,基本农田数量虽未减少,但位置调整较大,基本农田质量总体有所下降。此外,青岛市第二轮土地规划实施期间,市级财政对土地出让金的依存度逐年上升；第三轮规划修编过程中发生了面积和金额较大的市域内农地发展权交易；多目标规划预测显示青岛市第三轮土地规划实施难度巨大。基于上述研究成果,文章为我国、青岛市以及同等类型城市加强和改进农地非农化市场机制和政府管制提供了有益的政策建议,包括：设立并确认农地发展权,做到管制与市场有机结合；促进土地市场发育完善,发挥价格机制基础性作用；建立征地补偿长效机制,合理分配农地非农化收益；深化政治体制改革,完善政绩考核与评价体系；深入推进分税制改革,破除地方土地财政依赖；严格界定公共利益内涵,规范地方政府行使征地权；强化规划计划约束机制,严控建设用地供应总量；推进土地节约集约利用,减少对新增用地刚性需求。更多还原

【Abstract】 Industrialization and urbanization are inevitable ways of human social development, especially our country is in the stage that economy and society are in fast development and transformation period, industry structure, population structure and land use structure are changing dramatically. As an essential factor of economic growth, there are many farmland and cultivated land changing into constructive land which bears industrialization and urbanization development. Since this round economic booming cycle, farmland conversion is in a high-speed advancing stage. According to present land management system design, the establishment and improvement of land market system intends to play the market mechanism in allocation of land resources to the fundamental status. Same time, because of political and economic reform has not yet fully in place and planned mode of economic thinking management of land not yet fully changed, allocation of land resources means the market mechanism and government regulation are continually improving and advancing the process.Land management system in the limited space of innovation, how to handle the necessary land for economic and social development needs and protection of agricultural land relations, how to optimize the conversion of agricultural land market mechanisms and government regulation, be placed in front of theorists and practitioners problems. The establishment of the land market and the gradual improvement of government efficiency in the pursuit of an important land use initiatives. However, simply rely on the land whether the market can solve the whole farmland conversion efficiency of use of land resources. The essence of this market and the government in land use and management of trade-offs and integration issues. Explore with Chinese characteristics, conversion of agricultural land market mechanisms and government regulation and control mechanisms combined to become the focus of this paper the problem.This article is based on the above, in theory, the issue of farmland conversion, market mechanisms and government regulation made a useful discussion of its binding, and the second round of Qingdao, since the implementation of land use planning of farmland conversion The characteristics of the process and rules of the effectiveness of market mechanisms and government regulation behavior to play an empirical study.This article first briefly introduces the background issues, the main contents, the main source of data, then construct the issue of farmland conversion, market mechanisms and government regulation and the combination of theoretical framework, on this basis, the study identified Technology roadmap and research methods, and then at home and abroad on study of farmland conversion dynamics are reviewed, and the results of these studies are briefly reviewed.First, the main part of the article anomie from the program, the number of anomie, prices and income distribution anomie four aspects of the process of farmland conversion has combed the problems that may result in the issue of farmland conversion and regulation of market mechanisms Double failure of government regulation. Thus, on the one hand from the price mechanism, supply and demand mechanism, market failures and income distribution on four aspects of the market mechanism of farmland conversion has been studied, that the pure market mechanism and China’s current system of regulation and control of farmland conversion under the market failure Necessity; the other hand, from the control objectives, control tools, control failures and control optimization of the four aspects of government regulation of farmland conversion was studied under the current regime in China that farmland conversion control the inevitability of failure of government regulation And to strengthen and improve the optimization measures proposed government regulation. Farmland conversion in the regulation of market mechanisms and government regulation are based on the study, the use of economic theory of regulation of agricultural farmland conversion control the market mechanism and a combination of government regulation has been studied, improved theoretical framework put forward direction;and Conditions is the potential for agricultural development through the establishment of the right to market, allowing provincial land for new construction within the index, ex situ and ex situ complement planning to add basic farmland and the farmland market indicators linked to changes in urban and rural construction land transactions were discussed, Finally, Qingdao, farmland conversion process in an empirical study. The article draws the following conclusions:(1) Farmland conversion in China, the emergence of all kinds, many tricks of the problem is:the first use is not approved, illegal land grant, rents collected, the abuse of land rights, land law and other penalties on behalf of the procedures in place anomie Problem to a large number of small plans, approved more than less, split the number of reported cases characterized by anomie, so as to suppress the land compensation standard, low-cost transfer of state-owned land, tax violations related to the form of relief for the price of anomie, which seriously endanger Agricultural land protection and food security, serious violations of the legitimate interests of farmers, resulting in serious loss of state-owned land, agricultural land over to speed up conversion, and lead to farmland conversion market mechanisms and government regulation of the double failure.(2) The price formation mechanism and drive mechanism for farmland conversion under realistic supply system, makes market mechanisms can not fully play the basis role of configuration for new construction land, as a result the farmland conversion market mechanisms does not work well. The results show that under the existing land management system of China, whether farmland transformed to construction or the using right supply of construction land, prices are mostly in accordance with the relevant national and local government standard-setting, only auction prices can be recognized as the market price formed by competition, so it doesn’t form the normal price decision mechanism. Through analysis of supply and demand driven factors for farmland conversion, the demand for farmland conversion is mainly driven by population growth, economic promotion and urbanization, and the supply of farmland conversion is mainly caused by economic and performance supply-driven. Through the study of farmland conversion market failure, we conclude that whether under the simplex market mechanism, or under the land market in the real supply system, there is a possibility that the market mechanism of farmland conversion may be failure, and this would increase the risk of excessive conversion of farmland.Land conversion through the distribution of income, that income distribution of land conversion and land users of all levels of government towards the transfer of the share distribution of the rural collectives and farmers decreased.(3) Government regulation of land conversion could theoretically make up for lack of a simple market mechanism, but the goal of government regulation and excessive alienation may boost agricultural conversion process. Government regulation of land conversion is the primary tool for price control and planning control, respectively, of agricultural land into construction land to the land involved in the process mode of supply, related costs, the number of scale, to the class structure and spatial layout of controls, Thus the process of land conversion control in the established scale and space. But in reality, the local government in promoting the process of land conversion, land use approval to increase speed, increase the conversion of agricultural area, compensation standards and transfer standards down, often a lot of anomie collective behavior occurs, leading to land conversion Failure of government regulation. Direct cause of the failure of government regulation is the legal deficiencies, the management system that is not the fundamental reason is the gradual formation of the tax system since the reform of central and local financial authority and powers not so serious. To strengthen and improve government regulation of land conversion, the need to price control, planning control, planning control and optimization of the four aspects of government control.(4) In the current land ownership and land use control system, a simple market mechanisms and government regulation can not be resolved the issue of land conversion control, only two can play its due role combination. For the control of economics, there is a combination of both the theoretical basis for regulating land conversion theory with improved significance. Conditions in the present situation, the need for agricultural land development rights trading market, without changing the existing land use control system under the premise of the introduction of new construction land index, ex situ and ex situ complement planning to add basic farmland and the urban and rural construction land market Sites linked to indicators of market change, both within the building to ensure the provincial total land, cultivated land and basic farmland ownership goals of government control, but also through the market mechanism to re-cross-index distribution of land space and land, out of the traditional land use Control will inevitably face the "Equality and efficiency " of the dilemma, making different parts of the agricultural land protection and economic development can be found between the respective balance.(5) Qingdao city, through empirical conclusions are as follows:①Qingdao’s farmland conversion has remarkable gradualness and regional characteristics. It can be seen from land use present situation change investigation and farmland conversion examination and approval statistics that since the second round overall land-use planning implementation, Qingdao farmland conversion has presented obviously slowly starts, accelerating rise then gradually recedes characteristic, manifested land element demand change of different economic growth stage. In region space, urban district farmland conversion total quantity approximately accounts for half of county-level city total quantity, but urban district proportion enhances year by year, county-level city proportion drops year by year. Especially for recent three years, the proportion of central city area enhanced fast, the proportion of county-level city receded obviously, the urban district and central city area farmland conversion presented a sudden accelerating state. Through taking Chengyang District which be regarded as a representative of city and countryside intersection as a case,it indicates that the speed and scale of burgeoning city area’s farmland conversion in the central city area surpass the whole city and urban district average level.②Qingdao’s farmland conversion has surpassed the demand of land element of economic growth. Through establishing Cobb-Douglas production function may know, the contribution rate of construction land increase to the second and the third industry increase is lower than the fixed asset inputs quantity. As the key city of Shandong Peninsula, GDP of Qingdao placed 9th in 2008, which is only lower than long triangle city’s Shanghai, Suzhou and Wuxi in first 9, but its farmland conversion elasticity coefficient is only equal to the long triangle city’s average level. Therefore, we should estimate and appraise the function of construction land to the economic growth correctly, cannot exaggerate the contribution rate of construction land to the economic growth, advances farmland conversion advancement prudently, controls farmland conversion’s scale and rhythm reasonably, makes it to adapt to the economic and social development level.Through fitting environment Kuznets Curve may know, Qingdao’s farmland conversion has typical EKC characteristic from 1997 to 2006, the rate of the third industry to the second industry production value achieved the peak value after 2001 then receded gradually, presented inverse U curve characteristic. Although Qingdao no longer had above characteristic from 2007 to 2008, but farmland conversion and industrial structure are developing towards more intensive and more optimized.Through establishing gray connection model may know, the factors which affected Qingdao’s farmland conversion are the fixed asset investment, GDP, urbanization level and total population, this is consistent with yearly average rate of increase sorting of these indexes. But it should note two points:First, the interrelated degree between the above major indexes and the same year increased construction land was not high generally, the highest interrelated degree was fixed asset investment which was only 0.6133 same year, so it may think that initially Qingdao farmland conversion has possibly been separated from normal economic and social development drawing path;Second, the disparity among the above major indexes is generally small, miss extremely is only 0.0718, so it may think that initially Qingdao farmland conversion is the result of the above factor mutual and combined action, and the leading nature of influencing factor was not obvious. The massive approves but not to supply, supplies but not to use land as well as relatively low intensive land level also confirmed this point.③Overall land-use planning did not play its restraint role in farmland conversion. Looking from the implementation situation of Qingdao’s second round overall land-use planning, mainly plan control constraint indexes were broken through out and away, whether in quantity scale or in spatial arrangement, could not form the effective restraint and restriction to farmland conversion, caused the phenomenon of "using program instead of plan" to be more common, and overall land-use planning was adjusted more frequently. Besides guarantee outside the city territory, although the basic farmland quantity has not reduced, but the position adjusted greatly, the basic farmland quality dropped. In addition, Qingdao City, during the implementation of the second round of land planning, municipal financial dependence on the land transfer payments increased year by year; the third round of planning revision process took place in the city area and large amount of agricultural land within the development of trading; more Qingdao goal programming forecasts difficult to implement the third round of a huge land planning.Based on the above findings, the article for China, Qingdao, and strengthen and improve the same type of urban land conversion market mechanisms and government regulation provides a useful policy recommendations, including:Established and recognized right to development, agricultural land, so that combination of regulation and market;Strengthen overall land-sue planning and annual land use plan restraint mechanism, and strictly control the total supply of land for construction;To promote sound development of the land market, the price mechanism to play a fundamental role;Establish long-term mechanism of land acquisition compensation, allocate the gain of farmland conversion gain reasonably; Deepen political reform, improve the performance appraisal system;Advance the tax distribution system reform thoroughly, eradicate the dependence of land finance; Strictly define the meaning of public interest, Strictly regulate local government’s behavior in executing land-levying rights;Constraint mechanism to strengthen planning scheme, and strictly control the total supply of construction land;Advance land use frugally and intensively, Reduce the demand for new space rigid and so on.更多还原