【作者】 刘洋；

【导师】 欧名豪；

【作者基本信息】 南京农业大学 ， 土地资源管理， 2008， 博士

【摘要】 中国正处于工业化、城镇化快速推进时期,随着经济社会的快速发展,各项建设对土地的需求日益增加。在粮食安全和生态环境安全等多重压力下,农田整理已不能完全满足建设占用补充耕地的需求,亟需寻求新的途径。因此,对存量建设用地进行内涵挖潜成为必然。农村居民点用地总量大,在建设用地中占比最高,闲置、粗放利用现象严重,存在巨大的潜力挖掘空间。可以预见,农村居民点整理将成为中国未来一段时期补充耕地的重要途径。2005年国土资源部出台的“挂钩”政策明确提出了大力推进农村居民点整理的政策导向。农村居民点整理作为一项综合的系统工程,需要大量资金投入和一定的技术支持,为保障和促进农村居民点整理的顺利实施和广泛开展,需要多方主体的积极参与和配合,而这必然需要完善的制度体系作保障。因此,如何激励多方主体的积极性,构建农村居民点整理激励机制,已成为推进农村居民点整理持续、健康发展的重要研究课题。本研究针对这一现实,试图运用制度经济学的相关理论,对中国农村居民点整理的制度演进和激励绩效进行分析与评价,考察现行制度安排缺陷对相关利益主体参与农村居民点整理积极性的影响,在此基础上从产权机制和收益分配机制两方面构建农村居民点整理的激励机制,以期为推进农村居民点整理更广泛深入的实施提供理论依据和政策参考。论文共8章,分为五个部分：第一部分是农村居民点整理激励机制相关理论分析；第二部分是农村居民点整理及其制度激励的分析与评价；第三部分是农村居民点整理激励机制构建；第四部分是实证研究；第五部分是主要结论与政策建议。第一部分包括3章,第一章绪论、第二章文献综述和第三章理论基础。通过对国内外有关农村居民点整理的内涵、模式、驱动力与主体行为以及激励机制等相关研究进展进行回顾与评述,明确了论文的研究方向与目标；并运用公共物品理论、外部性理论、机制设计理论和产权理论,分析了农村居民点整理激励机制研究的理论基础。第二部分是第四章对中国农村居民点整理及其制度激励的分析与评价。从农村居民点整理的特性及制度的功能出发,阐述了农村居民点整理与制度激励之间的关系；在对农村居民点整理实践中存在的问题及进一步发展的背景进行分析的基础上,对农村居民点整理的制度演进及其激励缺陷进行剖析,并进一步分析了农村居民点整理激励不足的原因,在此基础上提出了完善农村居民点整理激励机制的对策途径。第三部分包括2章,第五章农村居民点整理产权激励机制和第六章农村居民点整理收益分配激励机制。第五章在阐述产权、土地产权以及土地产权制度内涵的基础上,分析农村居民点整理过程中相关权利人的产权关系变化情况,剖析农村居民点整理现行产权制度的缺陷及其对农村居民点整理实施过程中行为主体激励的影响。在产权理论和机制设计理论的指导下,借鉴国内外整理实践经验,构建了农村居民点整理产权激励机制。第六章在分析农村居民点整理投资和收益构成、各参与主体相互关系的基础上,深入剖析中国农村居民点整理现行收益分配机制的缺陷及其对农村居民点整理实施过程中行为主体激励的影响。在借鉴国内外农村居民点整理实践经验的基础上,运用机制设计、委托—代理等理论构建了农村居民点整理收益分配激励机制。第四部分是第七章实证研究。主要从两个方面展开分析：一是对有待开展农村居民点整理的江苏省如东县(R县)和湖南省邵东县(S县)进行考察,分析农村居民点整理产权机制和收益分配机制对农户意愿和积极性产生的影响；二是运用天津市宅基地换房的典型案例,分析总结“挂钩”试点地区农村居民点整理的激励机制及其绩效,对前面的主要理论假设进行检验。通过上述研究,主要得出以下几点结论：(1)在中国现行制度安排下,农村居民点利用呈现明显的负外部性,农村居民点整理呈现出一定的正外部性,而这些外部性未得到很好的内在化,导致农村居民点整理市场失灵和政府失灵同时存在,进而导致农村居民点整理对主体激励不足,这是当前中国农村居民点整理供给不足的理论根源。(2)不同的制度安排会对行为主体形成不同的激励。中国农村居民点整理现行制度安排还存在经济激励不足、多元融资难,产权激励阻碍重重以及合理的收益分配机制尚未建立等激励缺陷。为纠正农村居民点整理的市场失灵和政府失灵,激励多方行为主体参与农村居民点整理的积极性,应从产权和收益分配两方面构建农村居民点整理激励机制。(3)中国现行农村居民点整理产权制度安排存在农村宅基地所有权主体的虚位和权利的受限制性、使用权权能的不完整性和使用权主体的特定性、宅基地初始取得的无偿性和“一户一宅”制以及对宅基地流转的严格限制和土地登记制度滞后等制度缺陷,使得农村居民点整理容易受农民的思想抵触、宅基地产权交易难以实现、农民的合法权益得不到有效保障等问题存在。应通过农村宅基地产权的重构、农村土地产权登记制度的完善、宅基地入市流转以促进城乡统一的房地产市场等方面构建与完善农村居民点整理产权激励机制。(4)中国农村居民点整理现行收益分配制度安排较为粗糙,缺乏对农村居民点整理实践的完善的、系统的政策指导,存在对地方政府激励措施单一、对农民的无形补偿激励不足以及对社会其他成员的投资激励不足等缺陷,应通过对地方政府、村民小组和农户、用地方以及土地整理机构等激励对象之间委托—代理关系的重构,根据不同激励对象在农村居民点整理中可能投入要素的不同而采取不同的收益分配激励措施,促进多方主体积极参与推进农村居民点整理产业化等构建农村居民点整理收益分配激励机制。(5)农村居民点整理产权机制和收益分配机制对待整理区农户是否支持和愿意投资投劳参与农村居民点整理产生一定的影响,且区域之间存在差异性。认为宅基地所有权归村委会或村民小组的农户比认为所有权归自己的农户对农村居民点整理的支持率高22.8%,如果农村宅基地允许流转,将有85%以上的外出农户愿意将其宅基地及其房屋进行流转,且所要求的补偿金额较低；在预设合理的收益补偿条件下,愿意投资投劳参与农村居民点整理的农户由75位增至115位。S县的农户对农村居民点整理的支持率比R县要高38.4%。S县的农户更倾向于就业安置和资金补偿,而R县的农户则更倾向于社会保障安置和房屋补偿。(6)天津“挂钩”试点主要采取以宅基地换房的办法推进农村居民点整理。其主要成功经验在于坚持科学规划、坚持产业立镇、尊重农民自愿、实行制度创新以及在政策上给予大力支持等。在集体建设用地流转制度创新方面,主要是指所有参与“宅基地换房”的试点村庄的村民,交出其宅基地换取的小城镇住宅,都具备大产权,可以上市交易；在建设融资方面,采取政府和市场相结合的办法；在社会保障制度方面,注重因地制宜,政府将部分土地增值收益用于还迁农民的社会保险。天津宅基地换房办法的实施,取得了良好的经济效益、社会效益和生态效益。基于以上研究结论,论文为今后中国农村居民点整理的持续、健康发展提供了一些有益的对策建议,包括：完善农村宅基地产权体系和土地登记制度,促进农村宅基地使用权流转,构建城乡统一的房地产市场；重构农村居民点整理委托—代理关系,依据不同主体制定不同的优惠政策和鼓励措施；改革土地税费体系,出台农村居民点整理权属调整和收益分配的规范和办法,成立土地整理专项基金和司法仲裁机构,对农村居民点整理实行全程监管等。更多还原

【Abstract】 With the rapid development of economics, China is in the period of fast promotion of industrialization and urbanization. At the same time, the construction land keeps a trend of rapid increase in recent years. Under the pressure of food security and ecological security, the traditional methods of farmland consolidation and unutilized land exploitation cannot meet the demand of supplement of cultivated land. Therefore, it is necessary to realize the potential of constructive land. As the biggest type of constructive land, rural residential land is abundant, while its usage is inefficient and extensive which has large potential. Obviously, rural residential land consolidation will become the important way to supplement cultivated land in the future in China. The policy of "association between the increase of urban constructive land and decrease of rural residential land" unveiled in2005by the Ministry of Land and Resources brings up some measures to promote it. As a comprehensive system project, rural residential land consolidation needs huge capital, professional technology, besides of association of all subjects which based on the perfect mechanism system. Hence, it is necessary to study the incentive mechanism of rural residential land consolidation in order to increase the enthusiasm every subject.Based on the reality, this thesis tries to apply the theories of institutional economics to analyze the institution and practice of rural residential land consolidation at present in China, and investigate the defects of institution and its influence on subjects’enthusiasm for taking part in rural residential land consolidation. Then, it constructs the incentive mechanism by two aspects of property rights and income distribution. Finally, some suggestions are present for promoting rural residential land consolidation to a widen implementation.This thesis consists of eight chapters and can be divided into five parts. They are successively the study on the theoretical basis, the analysis on present institutions and its incentive efficiency, the incentive mechanism’s design, empirical studying, and conclusions and suggestions. Major contents of every part show as follows:The first part is composed of three chapters. The first chapter is an introduction, the second one is on the summary of the research and the third is the theoretical basis. By reviewing and commenting the related research progress of the connotation, model, driving force, subjects’ behavior and incentive mechanism of rural residential land consolidation, the research orientation and targets of this thesis are definited. Then the theoretical basis of this thesis are analized, which cotains of the theories of public goods, externality, mechanism designing and property rights.The second part is the fourth chapter, of the analysis on present institutions and its incentive efficiency of rural residential land consolidation in China. Firstly, it analyzes the characteristics of rural residential land consolidation, the functions of institutions, and the relationship between them.Then, it analyzes the problems of now and background of future on rural residential land consolidation. Based on the analysis of the reasons of incentive deficiency of rural residential land consolidation, incentive mechanism consisting property rights and income distribution of rural residential land consolidation are proposed.The third part is composed of two chapters. The fifth chapter is property rights incentive mechanism design of rural residential land consolidation. On the basis of analysis on the inner meanings of property rights, land property rights and land property rights mechanism, it analyzes the changes of the related obliges’ property relation. Then, it analyzes the defects on rural residential land consolidation of the institution arrangement on rural residential land property rights and its rearrangement, and its influences on behavior subjects during the process of rural residential land consolidation. Based on theories of property rights and mechanism design and practical experiences of rural residential land consolidation at home and abroad, it constructs property rights incentive mechanism of rural residential land consolidation. The sixth chapter is income distribution incentive mechanism design of rural residential land consolidation. On the basis of analysis on the composition of the investment and income and behavior subjects’ relationship of rural residential land consolidation, it analyzes the defects of the income distribution mechanism and its influences on the stakeholders’behavior. Then, based on practical experiences of rural residential land consolidation at home and abroad and theories of principal-agent and mechanism design, it constructs income distribution incentive mechanism of rural residential land consolidation.The fourth part is the seventh chapter of the empirical research. In order to test mainly of the theoretical hypothesis in former chapters, they are analized in two ways. One way is to spect the mechanisms’ effects on farmers’ willingness and enthusiasm of property rights and income distribution in Shaodong county of Hunan province and Rudong county of Jiangsu province, where rural residential land consolidation are undo. Another way is to analysize the incentive mechanism and its performance by appling the classical case of exchanging commercial house by rural housing land in Tianjing, which is one of the first pilot cities of "association between the increase of urban constructive land and decrease of rural residential land".According to theoretical analysis, conclusions come out as follows:(1)Under current institution of rural residential land consolidation, the use of rural residential land presents external diseconomy and rural residential land consolidation presents external economy, which lead to both market failure and government failure, so that the stimulation for suppling public goods of rural residential land consolidation is deficient.(2)Different institution arrangement will have diffirent stimulation on subjects. There are incentive defects of current rural residential land consolidation such as deficient economic stimulation, difficulties of multiple financing, property rights mechanism and income distribution. In order to correct market failure and government failure, stimulate all of the subjects’enthuasim to participate rural residential land consolidation, incentive mechanism should be built by property rights and income distribution.(3)There are many mechanism defects on current rural residential land consolidation of property rights, such as the diastem of ownership subject of rural housing land and its limitation, the imperfection of use right power and its specific subject, the gratis initial obtaining and "One Household, One Housing", and the lagging of land registration system. Which brings up to some problems such as to the thought collide by farmers, hard to property rights of housing land transaction and the uncertain security of farmers’interests. So the incentive mechanism of property rights on rural residential land consolidation should be built by reconstructing property rights of housing land, perfecting land registration system and permitting housing land transaction to promot urban-rural untited real estate market.(4)There are many mechanism defects on current rural residential land consolidation of income distribution, such as the lack of perfect policies guidance on practice and the single measure of local government, which leads to the inventive deficiency of farmers and subjects of land use property. So the incentive mechanism of income distribution on rural residential land consolidation should be constructed through reconstructing the principal-agent relationship of rural residential land consolidation, taking different measures according to different behavior subjects’ input factors, promoting the industrialization of rural residential land consolidation.(5)It is obvious that the incentive mechanism of property rights and income distribution have effects on farmers’s attitude and willingness of inputting labor and money on rural residential land consolidation, on which exists differences in different regions.The farmers who taking regard housing land ownership as village committee or villagers’ group are22.8%higher than those of taking it as their owns.If rural housing land is allowed to transacting,85%of the outer farmers are willing to transferring their housing land at a low price. In condition of reasonable income compasing, the amount of the farmers who is willing to input labor and money is increased from75to115. The supporting rate of the farmers in S County is38.4%higher than those in R County, and farmers in S county are more likely to employment settlemet and money compensation, while farmers in S county are social security settlement and house compensation.(6)The way of Tianjin City to promot rural residential land consolidation is changing rural housing land as house in urban. The successful experiences lie in science planning, developing urban by industrial, respecting farmers’voluntary, institutional innovation and policies supporting. It takes farmers changing rural housing land as house in urban which permitting transferring in the market in the way of collective constructive land transferring innovating, by means of both government and market investing and paying attention on local condition in social security settlement. Good benefits in economic, social and ecological are obtained by implementing the method of changing rural housing land as house in urban.Based on the above conclusions, some suggestions for promoting the sustainable and heath developing are put forward as follows:At first, in order to promote the circulation of rural residential land use right, the mechanism of property system and land registration should be perfected, and a unified urban and rural real estate market should be established, too;Then, after reconstructing the principal-agent relationship of rural residential land consolidation, the government should make favorable policies and take encouraging measures according to different subjects; Eventually, the government should reform the system of land tax and fee, evil specifications and methods about land right adjustment and income distribution of rural residential land consolidation, establish land consolidation special funds and judicial arbitral agency, and carry out supervision the whole process of rural residential land consolidation.更多还原