【作者】 杨鹭；

【导师】 钟涨宝；

【作者基本信息】 华中农业大学 ， 农业经济管理， 2010， 博士

【摘要】 当前我国以土地承包经营制为基础的现行农地制度,一定程度上对农民起到保障作用,并在新型农村社会保障体系尚未建立的情况下成为一种不可或缺的制度替代。但是农地保障功能的发挥是以牺牲其财产价值为代价的,这种状况阻碍了农地的流转和农地制度改革的深入,虚化了农村社会保障制度的资金基础——集体经济,更固化了既有的城乡二元体制。因此,深入认识农地制度与农村社会保障制度之间的关联性,发挥农地在农村社会保障制度资金筹集中的基础性作用,是建立新型农村社会保障制度的合理路径。为解决上述问题,笔者进行如下研究,并得出相关结论：首先,本文考察了我国农村社会保障制度的历史沿革和现状,得出启示：农村社会保障制度与一定的生产力水平相适应,而农地制度一直在农村社会保障制度的变迁中起着基础性作用。政府作为制度输出者在制度变迁中发挥着重要作用。其次,对依托农地构建农村社会保障体系的政策依据和理论基础进行研究：我国传统思想文化的演变中一直贯穿着对土地问题和保障民生问题的思考,社会保障制度的思想基础和土地制度的思想渊源具有内在一致性；关于社会保障的社会学理论为本研究提供了将农地制度和社会保障制度作为一个系统进行整体思考的有益视角；关于社会保障的经济学理论为农村保障制度构建中的技术问题提供了指导；马克思主义地租理论说明在我国当前经济体制下,发挥农地经济价值,并使之成为农村社会保障制度的资金基础具有理论上的可行性。而我国关于农村社会保障制度的政策、法规,以及制度层面对承包权物权化和农地流转的逐渐认可为依托农地构建农村社会保障体系提供了政策依据。再次,对依托农地构建农村社会保障体系的现实可行性进行研究：本文选取了河南省作为调查点,结合使用问卷调查与个案访谈的方式,调查涉及154户农户,遍布河南17个地级市的17个乡,25个行政村,74个村民小组。在掌握第一手资料的基础上,从如何尊重农民意愿、充分调动广大农户参与农村社会保障制度的积极性出发,从农户对现行农村社会保障制度的了解程度和满意程度分析农户对现行制度的评价,从农户对农地价值的认知和对农地与社会保障关联性的认知分析农户对依托农地构建农村社会保障体系的意愿。以此为依据,本文对依托农地构建农村社会保障体系的具体路径进行了探讨：依托农地构建农村社会保障体系需完成权利和资金的两个转换：一方面要实现农地权利与社会保障权的转换,在农地所有权和使用权分离的基础上,以集体成员权为中介,将农地权利改造为股份公司股东的双重股权——开放股和封闭股,开放股可以自由转让和流通,用以提高农地的财产价值,增强农民自我保障的能力；封闭股不得转让,在保证集体农地所有权主体地位的前提下,作为对集体成员社会保障权的底线安排,并同时增强集体经济实力。其间,考虑因死亡、出生、婚嫁、户籍变动和股东变动引起的权利变动,解决农地资源稀缺和权利变动不断之间的矛盾。通过Logistic模型分析性别、年龄、收入状况和打工经历等因素对农户权利转换意愿的影响,消除农地权利与社会保障权转换的障碍性因素；另一方面,在区分农村社会保障资金的出资主体——国家、集体和农民个人的基础上,对不同主体的出资责任及责任能力进行分析,分类探讨农地经由股份公司运作所产生的收益通过不同主体向农村社会保障资金转化的过程。此外,保证农村社会保障资金的长效、有序运转必须做好如下几方面工作：加强农地权利的物权保护,稳定集体对股份公司的控股地位,实施农村社会保障资金的多层级监管,实现农村社会保障账户的科学管理。在现有的制度框架下,结合农户对依托农地构建社会保障制度的意愿,立足已有的现实和理论基础,探索农地制度和农村社会保障制度的衔接方式,提出结论和相关建议：集体土地所有权是农村社会保障资金来源的最有力保证,对其实施股份化运作是解决农村社会保障资金的良好路径。其间,政府必须承担制度输出者和资金提供者的双重责任,并保证资金运转的可持续性。更多还原

【Abstract】 The existing farmland system based on the household contract responsibility system is playing a role in ensuring the farmers, and becomes an indispensable system for an alternative in the case of that the new type of rural social security system has not been established. However, the protection function is at the expense of the value of property of farmland, this situation has hindered the farmland’s transferring and the agricultral land system reform’s deepening, has weakened the capital base of rural social security system, which is the collective economy, and even has solidified the existing urban-rural dual structure. Therefore, it is a reasonable path of establishing the new type of rural social security system that in-depth understanding of the correlation between the farmland system and rural social security system, playing the fundamental role of farmland in funding. To address these problems, this thesis conducts the following research and draws relevant conclusions.First, the thesis examines the historical evolution and current status of rural social security system in China, and draws the enlightenment:the rural social security system is always adapt to a certain level of productivity, while the farmland system has played a fundamental role in the institutional transition. The government, as the system exporter, plays an important role in the process.Secondly, reaserch on the policy and theoretical basis of constructing the rural social security system based on farmland:the evolution of China’s traditional ideology and culture is permeated with thinking about the land problem and the protection of people’s livelihood, and the ideological foundation for the social security system and the ideological origins of the land system has internal consistency. Sociological theories on social security provides a useful perspective for the research which considers farmland system and social security system as a whole. Economic theory provides guidance on technical issues. The Marxism theories on rent indicates that it is feasible in theory that realize the economic value of farmland and make it become the capital base of rural social security system in the current economic system in China. While the relevant policies, regulations, and the recognition of right of contracting becoming real rights and farmland transferring provide the policy basis.Thirdly, reaserch on the feasibility in reality of constructing the rural social security system based on farmland:this thesis adopting questionaries as well as interviewing, chooses Henan Province as the investigation spot, and investigates 154 households, which are scattered in 17 towns in 17 cities,25 villages, and 74 villager groups. On the basis of the first-hand research materials along with the use of comparative research approach, from the perspective of respectiong wishes of farmers and promotion of farmers’motives of participating rural social security, from the farmers’understanding of the current system and satisfaction with it, this thesis analyses farmers’evaluation of it. The thesis also analyses the farmers’wishes of constructing the rural social security system based on farmland from farmers’cognition of the value of farmland and the association between the farmland and rural social security system.On this basis, this thesis probes into the concrete path of constructing the rural social security system:constructing the rural social security system based on farmland calls for complating two conversions of rights and capital. On one hand, the conversion between the farmland rights and the rights to social security must be achieved. Based on the separation of farmland ownership and usufruct, using the rights to collective membership as the intermediary, the farmland rights should be converted into dual stock ownership owned to stockholders in companies, which are the open-end stock and the close-end stock. The open-end stock is free to transfer in order to advance the value of farmland as property and strengthen farmers’ability to protect theirselves. The close-end stock is prohibted to be transferred. Under the premise of that the position of the collective as the subject of farmland ownership of collective must be ensured. The close-end stock is the lowest arrangement of the rights to social security of the collective members, and at the same time enhancing the economic strength of the collective. In the meantime, the changes of rights caused by death, birth, marriage, residence flow and shareholder rights transferring must be considered in order to solve the contradiction between the scarcity of farmland and the constant changes of the rights. The obstacles of the rights’transferring should be eliminated with the analysis of the effect to the wishes of rights’transferring brought about by factors such as sex, age, income level, and working experience, which is based on the Logistic model. On the other hand, according to the distinction between subjects of the funding of rural social security, which are the country, the collective, and farmers, this thesis analyses the funding responsibility and ability to afford of different subjects, and approaches process of the transformation between the income derived from the operation of the farmland by stock companies which owned to different subjects and social security funds. In addition, several aspects as follows must be prepared to ensure long-term, orderly functioning of rural social security funds:strengthen the protection of farmland rights as real rights, stabilize the controlling position of the collective in the company, implement the multi-level supervision of rural social security funds, and manage rural social security accounts scientifically.Under the current institutional framework, combined with farmers’wishes of constructing the rural social security system based on farmland, to have a foothold on existing practical and theoretical basis, this thesis explores how to join the farmland system and rural social security system, and comes to the conclusion and the resolutions: collective land ownership is the most powerful guarantee of the source of rural social security funds, and the demutualization of it is the reasonable path of solving the problem of rural social security funds. Meanwhile, the government must take the dual responsibilities of institutions output and finance’ providing.更多还原