【作者】 石冬梅；

【导师】 王健； 许月明；

【作者基本信息】 河北农业大学 ， 农业经济管理， 2013， 博士

【副题名】以河北省农村土地流转为例

【摘要】 “三农”问题是多数发展中国家普遍、长期存在的问题，温铁军（2009）认为，中国绝大多数的农民，不仅需要务工经商，也需要返乡务农，生活才能得到保障。在这种农业兼业化的情况下，解决好农村土地的流转问题，直接决定了农村家庭承包经营土地的配置效率和利用效率，而且间接影响农村社会的安定团结和国家粮食安全。农村土地规范合理的流转对于农业的产业化、规模化经营，农村劳动力转移，城乡统筹发展等均具有积极的作用。本文以统计年鉴、农村经营管理统计资料、农户问卷调查和相关部门的工作总结汇报的数据为基础，综合运用基于非对称信息条件的逆向选择理论、委托-代理理论、博弈论和机制设计等理论，采用定性与定量分析相结合、文献研究与实证研究相结合、理论与实践相结合等方法，从宏观和微观两个方面分析了我国的农村土地流转问题。宏观方面主要分析了我国的土地制度变迁、土地流转的现状、成效、问题和土地流转的宏观驱动力、影响因素等。微观方面从非对称信息的角度，研究了土地流转信息的传递方式、建立了土地流转信息非对称的测度模型、分析了流转中的逆向选择、道德风险问题以及信息非对称对土地流转产生的影响；并从流转主体利益出发，找出了流转主体的利益博弈均衡，建立了规范土地流转的激励与监督机制。本文的主要研究结论有以下几个方面：第一，研究认为我国的农村制度变迁的本质是农村土地制度的变迁，农村土地流转问题与我国的土地制度密不可分，正是由于土地制度的变迁才促成了土地流转的发展存在着自由流转、限制流转和规范发展等的阶段性，也正是由于产权归属的变化，使得我国的土地流转变的更加复杂。第二，通过对大量数据的分析可以看出，我国的土地流转正在逐步规范化发展，流转合同的规范程度正在逐步提高，流转的方式也从2002年以前的单一转包形式变为出租、转让、入股、委托代耕等多种方式，土地流转的用途也由最初的粮食种植逐步发展为经济作物的种植、生态农业和农产品的深加工等，流转的对象从最初的农户之间的简单流转增加了规模流转、企业统一经营、合作社股份经营等多种流转主体。但是，随着土地流转的不断发展，由于土地流转市场的不健全、土地流转信息传递的滞后、农户过多的追求短期经济利益和监管缺失等因素，我国的农村土地流转也出现了一些潜在的风险，例如农地非粮化、非农化造成的粮食安全风险，生态环境保护风险以及由于强迫流转造成的社会风险等。第三，通过对一些促进土地流转的经济因素、科技因素、制度因素等统计数据进行多元回归和曲线回归分析，回归结果证明在土地制度不断变迁的推动下，农村经济的发展、农业比重的下降、农民纯收入的提高、农业兼业化的发展、农村劳动力的转移和农业科技水平的提高、农业机械化的发展等因素，都在不同程度上成为我国农村土地流转规模不断增加的驱动力。通过对30个地区的农业贡献度、科技发展水平、流转平台建设和流转比率进行聚类分析，结果表明我国的土地流转呈现出不同的地域特色，并得出土地信息化的发展是土地的规模流转的重要驱动力。第四，通过分析土地流转的信息供需状况、信息传递方式等问题，建立了土地流转的信息非对称的测度模型和土地流转中的委托-代理关系，分析了签约前土地流转中的代理人隐藏信息问题和签约后的委托人隐藏行动问题，认为由于土地流转中的信息非对称会对土地流转造成耕地质量不能保护、流转的低效率、资源不能合理配置等不利影响。第五，通过分析土地流转主体的利益机制，建立农户之间、农户与集体经济组织等的博弈均衡。均衡结果表明，在土地流转中农户主要考虑租金和劳动力转移收入，只有流转后有合理的收益才可以流转；流入方主要考虑经营收益，有合适的经营收益才会流转土地；政府部门主要考虑经济收入和对当地经济的贡献是否合理，只有实现流转主体之间的利益均衡，土地才能顺利流转。第六，综合流转中的信息问题的分析和利益关系分析，还表明合理解决农村劳动力转移是土地流转的供给动力，出于利益的考虑，经营大户的土地流转具有非粮化和非农化的倾向，政府部门经常由于利益的驱动，违规流转，损害农户的利益，考虑到监督成本的问题，经常对流转行为监管不力，造成了贪污腐败、改变土地用途等问题的发生，危害到农户和国家的利益，形成潜在的粮食安全、社会稳定和生态环境保护等风险。第七，应用机制设计理论，从土地流转的委托-代理关系出发，建立了规范土地流转的激励与监督机制模型，求解的激励因子表明，代理人的最优激励强度与他的调研成本、随机干扰项、努力成本、风险态度和经营能力等因素相关，委托人应采用入股或分成制以达到最好的激励效果，并严格对业主资质进行审查、建立询问制度、建立健全完备的惩处机制等监督机制。第八，在全文对土地流转问题进行的宏观分析和微观分析的基础上，结合我国农村土地流转的实际情况，减少农村土地流转中的信息非对称状况，解决由于信息非对称造成的土地流转中的逆向选择和道德风险问题，提高土地流转和资源配置效率，提出了加强农民职业技术培训、建立农村土地流转信息系统、完善相关政策、加强农村职业教育培训、大力发展土地托管经营等政策建议。更多还原

【Abstract】 “three dimensional rural issues” is a most common and long-term problem in mostdeveloping countries. Wen tie-jun (2009) said: In order to maintain a normal life Chinesefarmers not only need to work in city but also farming in the countryside. Therefore,farmers who are the vast majority of the China’s population have two “free” need to beprotected--not only need to freely to do business, but also need to be free to return homefor farming to make a living. Only to protect the two "free"--enter and exit, our socialcan maintain stability. Under this circumstance of agriculture by-business, it is need tosettle well the problems of rural land circulation, which directly determines the allocationefficiency and utilization efficiency of the contracted land in rural areas, besides,indirectly affect rural social stability and unity and national food security. It is useful thatrural land specification and reasonable circulate for positive effect on theindustrialization of agriculture, the scale management of agriculture, rural labor forcetransfer and balancing urban and rural development, etc. Therefore, the way ofgovernment guidance, social intermediary organizations involved, farmers who are inactive participation can promote land circulate for standardization and orderly, which is anecessary choice to solve defects of the household contract responsibility system, theoverall planning for urban-rural development and improving the rural land system are theinevitable requirement, which is an urgent need to solve the fundamental problem torealize the agricultural intensification, industrialization and modernization and constructthe new socialist countryside.The article analyzed our country’s rural land circulation problems from the macro andmicro two aspects, based on the date of statistical yearbook, rural management statistics,peasant household questionnaire survey and related department working summaryreports, etc, integrated used some asymmetric information theory of adverse selectiontheory, principal-agent theory, game theory and economic mechanism design theory, andused the methods of combination of qualitative and quantitative, the combination ofliterature research and empirical research, methods of the combination of theory withpractice. From a macro perspective, the article analyzed the following aspects such as themain institutional change of China’s land, the macro driving force of the status of theland transfer, effectiveness, problems and impact factors of land transfer. From themicroscopic point of view mainly analyzed some aspects as follows. Supply and demandinformation of circulate market, circulate information transfer mode, model of asymmetric information measure in land transfer, the impact of land circulation becauseof information asymmetry, analyzed interest relations of land transfer main body,analyzed adverse selection and moral hazard problems of land circulation in thecondition of asymmetric information, carried on empirical study in sixth chapterresearched in Hebei province as an example, on the basis of micro analysis. The articleestablished incentive and supervision mechanism to standard land circulation based onthe principal-agent relationship of land circulation and used incentive mechanismconstruction theory. The article main research conclusions are the following aspects.First, the change nature of the Chinese rural system is the rural land system changes,rural land circulation question is closely connected with our country’s land system,because of the change of our country’s land system to contribute to the development ofthe land circulation, there are several stage as free flow, restrict flow and standardizedevelopment. And it is because of the change of property right, land flow transitionbecame more complicated in China.Second, through analyzed of large amounts of statistical data, it can be seen that landcirculation had great change in our country. It has gradually developed standardized,contract specification level is gradually improving, circulation way from an initialsubcontract into a variety of ways, such as to lease, transfer, buy a share. The landcirculate purpose from the initial grain grow gradually developed to the planting ofeconomic crops planting, deep processing and the scale plant of the agricultural products.Circulation objects from simple flow between farmers increased variety of subject toparticipate transfer such as scale flow, unified management, the cooperative stockmanagement. But, with the continuous development of land circulation and due to theinfluence of various factors, such as imperfection of land circulation market, the landcirculation of information transmission lag, farmers have short-term economic interestspursue and lack of government regulation and so on, China’s rural land circulationemerged some potential risk, such as non-agriculturalization and non-grain oriented offarmland use could cause food safety risk, as well as ecological environment protectionrisk, by forced circulation could caused social risk and so on.Third, the article used multiple regression and curve regression analyzed statistic data ofpromoting land circulation factors such as economic factors, technology factors andinstitutional factors, the regression results show that driving force of promoting landcirculation as follows. The factors are land system constant change, rural economicdevelopment, the decline in the proportion of agricultural, the development of farmers’net income increase, agriculture development, the transfer of rural labor force, raising the level of agricultural science–technology and the development of agriculturalmechanization. Used methods of clustering analysis for30areas date of contribution ofagriculture, science and technology development level, construct circulation platform andcirculation ratio and so on. The result shows that land circulation presents differentregional characteristic in our country and the development of land information is animportant driving force of scale land circulation.Fourth, through analysis the situation of the information supply and demand of landcirculation, the condition of information transmission, the transmission way, the articleestablished measure model land circulation asymmetric information. The article set upthe principal-agent relations in land circulation, and based of this relationship, analyzedhide information action of agent before sign contract and hidden action of client aftersign contract, and the analysis result is information asymmetry could take several adverseimpact to the land circulation, it is land circulation quality cannot protect arable land, thelow efficiency of circulation and not rational allocation of resources, etc.Fifth, through the analysis of the benefit mechanism of land circulation main body,establish game equilibrium of farmers, between farmers and the collective economicorganizations. Equilibrium results show that the farmer main consideration circulationrent and labor transfer income, only have reasonable returns and well work after the landcirculation to flow; for translate into party mainly consider operating earnings, if they canobtain right operating earnings would land circulation; government main considerationeconomic income and reasonable contribution to the local economy, only achieves thebenefit game equilibrium between the main flow, land transfer can smoothly.Sixth, comprehensive thinking the analysis result of information problem and interest inthe land circulation, we can have several conclusion, it is that reasonable solutions rurallabor transfer is supply power of land circulation; consideration of the interests, largeland circulation has non-grain trend and non-agriculture tendency; due to interestsdriving the government departments often do some illegal flow and damage the interestsof farmers; considering of the cost of the supervision, the government departments oftenpoor regulation of flow behavior, causing some problems, such as corruption, changes ofland use, harm the interests of the farmers and countries and so on, formed the potentialrisk of food safety, social stability and ecological environment protection, etc.Seventh, above of all microscopic analysis, the article used mechanism design theory,based on the principal-agent relationship of land circulation, establish the standardincentive and supervision mechanism model of land circulation, the incentive factors show that agent optimal incentive intensity is related to his research cost, randomdisturbance item cost, effort cost, risk attitude and the ability to operate and so on, theprincipal should use buy a share and share-cropping to achieve the best incentive effect,and to establish supervision mechanism which is ask system, examine the qualificationsof the owner, improve the comprehensive punishment mechanism.Eighth, under the foundation of macro analysis and micro analysis, combined with thepractical situation of rural land circulation in our country, put forward the followingpolicy recommendations, such as strengthen farmers’ vocational and technical training,establish the information system of rural land circulation, improve relevant policies,strengthen training of the rural vocational education, develop greatly trusteeshipmanagement of land and so on.更多还原