【作者】 万健；

【导师】 曲福田；

【作者基本信息】 南京农业大学 ， 土地资源管理， 2010， 博士

【副题名】基于SSP范式的分析视角

【摘要】 随着我国市场经济体制逐步建立和完善,土地的资产属性已经显现。但我国现行土地征收制度排除了农民获取土地增值收益的权利,侵害了农民集体和农民的土地权利与经济利益。农民对土地权利的预期与现实的强烈反差,激发了农民各种形式的抗争行为,激发了农民集体开始各种规避土地征用的自发性的制度创新。这些抗争行为及其基础上的自发性的制度创新随着城市化进程有进一步加速的趋势。与此同时,由于我国社会经济的快速发展,建设用地供给日益紧张。在国有产权建设用地消耗殆尽的情况下,大量闲置或低效利用的集体建设用地市场化就成为政府推动改革深化和经济发展的主要切入点。在此背景下,政府开始探索农村非农建设用地流转制度创新,产生了出让、租凭、作价入股等等集体建设用地流转方式。本文从制度影响理论的角度出发,利用“状态—结构—绩效”(SSP)范式,结合各试点地区的做法,从初始状态、权利结构及运行绩效等方面构建一个能够解释集体非农建设用地流转的理论分析框架,进而分析在初始状态近似的前提下产生不同流转方式原因。.文章首先简要地介绍了研究背景、研究内容和相关基本概念、论文结构、研究方法和数据来源等,回顾了关于集体建设用地流转动因、流转方式、流转收益分配及流转中存在的其他问题等国内外研究动态,并对这些已有成果进行了简要地评述。接下来,文章对地租、土地产权、制度变迁等相关理论进行梳理,并在此基础上构建集体建设用地流转的分析框架。并运用该理论框架分别对集体建设用地的初始状态、制度结构和绩效进行了具体分析,重点从政府、用地企业与农村集体的角度分析了他们之间的行为选择。随后,运用Logistic回归模型进行了实证检验。通过上述研究,得出如下主要结论：(1)由于制度环境的变化导致了外部利润的产生,从而激励着理性经济人努力进行集体建设用地流转制度边际上的创新。随着我国土地使用制度改革的深入,市场经济体制的建立与完善,以及土地供需的突出矛盾,农村集体建设用地流转面临的制度环境不断变化,由此产生了土地增值收益、风险降低和转移、规模经济以及交易费用降低与转移等外部利润。同时,由于国家对土地市场垄断及土地征用制度对农民集体利益的侵害,使得农民集体对集体土地使用制度现状极为不满。因此,随着外部利润的不断积累,从而激励着各地基层政府和农民集体在制度环境不断变化的过程中,努力进行制度边际上的创新。(2)在不同的初始状态下,形成了不同的产权制度结构,并由此产生了不同的行为主体策略,经过各方博弈,允许集体建设用地进行市场化流转成为最优解。通过对集体土地非法流转和合法流转相关案例的剖析进一步证实,地方政府、农民集体、农民以及用地企业对集体建设用地流转有着不同的利益需求,由于集体土地产权结构的安排不同,尽管制度创新源于相关经济主体对外部利润的追求,但并不是所有的主体都会在某项制度创新中获益,这就导致农村集体建设用地流转交易制度改革中各利益集团的博弈行动。(3)在特定制度环境下,集体建设用地流转中各行为主体本身的属性及其风险偏好决定了流转方式的选择。目前,集体建设用地流转的方式主要有出让、租赁、作价入股、联营等。各种出让方式的选择都有用地方和供地方按照交易成本最小化和效益最大化原则进行选择,尽量规避潜在的各种风险。从分析来看,用地方式的选择,实际上就是一种合约形式的确定,而影响合约形式的因素众多,如当前集体建设用地流转的制度环境、政策法规、农民集体的经济人理性等,但作为土地需求者,用地企业的各种属性及其行为也对合约形式的选择具有重要的影响。(4)作为集体建设用地需求者的主要力量——企业,更多的是根据企业法人及企业自身的特性,在当前的制度选择集合中,选择适合自己的流转方式,根据企业的不同,对集体建设用地流转过程中注重的要素偏好也不尽相同。通过实证研究,发现,企业法人代表年龄、企业用地面积、企业投资规模越大,经济发展水平越高,越倾向于采用受让方式获取集体建设用地。反之,则倾向于采用租赁方式获取集体建设用地。企业法人代表学历越低,越倾向于采用租赁方式获取集体建设用地。企业性质、产业类型对企业集体建设用地流转方式的选择无显著影响。基于上述研究结果,提出相关政策建议,主要包括：按同地同权同价的原则统一城乡建设用地土地市场；建立集体建设用地流转的中介服务组织；建立合理的集体土地流转收益分配机制,协调各方利益关系；规范政府的角色定位和管理内容等。更多还原

【Abstract】 With the establishing of market economy in our country, land assets attribute has been visualized in rural areas. However land expropriation system excludes the farmer rights which they can get the land increment proceeds, this badly invade the land rights and economic behalf of farmers. The contrast of anticipation and realism inspired all kinds of resistance, and this resistance will more exasperated with the urbanization speedup, farmers begain spontaneous institution innovation. At the same time, because economy develops fastly, supply of construction land increasing intense. Under the condition of state-owned land use up, collective construction land marketization becomen the key to drive deepen innovation and economic development. With the composition of forces gradually increase, farmers begain spontaneous institution innovation, because of different soci-economic environment, folk-custom, spontaneous institution innovation has difference in material fashion. Under this background, this paper start from the view of institutional influence theory, employ the SSP paradigm, construct a theoretical framework from situation, structure and performance to explain the collective construction land transfer, especially, under the same situation, why appear different transference mode, for example, remise, lease and shareholder, this has connection with the attribute of enterprise. So this paper employ SSP paradigm to analyze the construction land transference, and provide theoretical guidance for collective construction land transference.In the first part of the paper, the research background, theoretical concepts and research contents, analysis framework, research methods, and sources of data used are introduced. The research on reason of transference, mode, proceeds distribution and other issues in china and abroad are reviewed and commented also.Then, this paper hackles the theory of ground rent, land property rights and institution innovation, and constructs the theoretical analysis framework, and employs the theoretical framework to analyze situation, structure and performance, analyze their behaviour choice from the view of government, enterprise and rural collective. Subsequentialy, use the logistic model to demonstration tests.The conclusions are obtained as follows:(1) Because of institution environment changement, exterior proceeds come into being, this stimulate farmers to innovate the transference institution.With the deepen of land use system, establishment of market economy system, and the contradiction of supply and demand, the environment of collective construction land transference gradually change, so this give birth to exterior proceeds. At the same time, because of land market momopolization and invasion to farmers, this inspire collective to institution innovation.(2) Under different situations, form diverse institution structure, it is best fashion to allow the transference of collective construction land.Through the analysis of cases, local government, farmers and enterprise have different behalf demand for construction land transference, property right structure of collective land are diverse, so every body are not obtain proceeds from the institution innovation, this induce game action of every interest group.(3) Under special institutional environment, the transference mode depends on attribute and risk evasion of every action body.Presently, the transference mode mainly has remise, lease, shareholder, etc. every mode according to the principle of cost minimization and benefit maximization. From the analysis, the choice of mode is formation of agreement; there are many factors that affect the agreement mode, for instance, institutional environment, policy rule, sense of farmers, especially, the attribute and action of enterprise have impact on agreement choice.(4) As the main strength of demand for collective construction land, enterprise will choose the appropriate transference mode, according to its attribute, the factors that enterprise pay attentation to be different.Through the demonstration study, more bigger the age of entrepreneur, the area of enterprise, scale of investment, more higher of economic development, the enterprise are more choose the remise mode, contrarily, they are apt to choose lease mode; the lower of education, they are apt to choose lease mode; enterprise property and industry type have no impact on mode choice. Finally, this paper puts forward some useful policy measures based on conclusions, including:unifying the urban land and rurul collective land market; establishing the agency organization of collective construction land transference; setting up mechanism of proceeds distribution of collective land transference; criterion the role of government and its management scale.更多还原