附件4：
论文中英文摘要格式
作者姓名：谭荣
论文题目：农地非农化的效率：资源配置、治理结构和制度环境
作者简介：谭荣，男，1981年11月出生，2004年09月师从于南京农业大学曲福田和李元教授，于2008年12月获博士学位。
中 文 摘 要
农地非农化，即土地从农业用途向非农建设用途的转变，是世界各国工业化、城镇化进程中的普遍现象。农地非农化对于现阶段中国经济增长、城市化和工业化做出了巨大贡献。然而，过快的农地非农化（1989～2006年均15.06万公顷）也造成中国经济低效增长、粮食安全受损、生态环境退化、农民权益受损等问题。同时，由于中国农地的产权特征（公有与模糊）和农地非农化治理的特殊性（政府主导），造成原本只属于自然资源配置范畴的农地非农化，成为涉及经济、社会和环境多方面的重大公共管理问题，这使得如何构建符合可持续发展原则的农地非农化政策，成为中国现阶段主要的公共政策目标之一。
为了有效解决农地非农化这一资源管理问题，提高农地非农化配置的效率成为最主要的理论和政策取向。许多文献在规划管制、配额控制、市场配置及立法等方面进行广泛讨论，但很少涉及到农地非农化的效率本身。从公共管理角度对农地非农化的效率内涵及其计量的研究，在国际上也几乎空白（Buitelaar, 2007）。因此，从自然资源的公共管理视角出发给出农地非农化效率的标准将成为理论和实践的首要任务，同时还需要探究何种因素对效率提高产生影响。
对具有外部性特征的资源的治理，新古典经济学理论（比如庇古学派）认为，因为该类资源的利用经常忽视资源的非市场价值，导致出现了私人成本和社会成本的分歧，因此需要政府通过配额、税费、补贴等方式进行调节，以实现资源利用的效率。然而，现实中大量的诸如“森林砍伐”、“渔业捕捞”、“草场放牧”等行为，几乎很少也很难通过计算理论上的“最优砍伐量”、“最大捕捞量”或“最佳放牧量”等来设定配额、税费或补贴。这不禁让人产生了一个疑问，为什么理论和现实出现了如此“分歧”？
当认识到市场本身运转也需要成本（即交易费用），而这些费用又包括很多不能准确测算的成本，新制度经济学开始对传统理论提出质疑——尽管计算难以准确把握的边际成本和收益仍有一定意义，但对于解决效率问题很可能是徒劳的。如果从另一个角度，即通过合理的制度安排和治理结构设计可以实现资源利用过程中交易费用的减少，则当总收益一定时，资源利用效率必然能得到提高。
理解了上述经济理论中效率内涵的变化，现有公共领域资源利用效率的理论也就需要拓展了。因此，本文的研究目的就是尝试回答下列问题：①如何从经济效率本质出发，把新古典经济学和新制度经济学在效率研究上的贡献衔接起来，给出一个公共管理视角下资源利用（农地非农化）的效率标准（定义），同时发展出一个适合自然资源的公共管理问题的分析框架；②对中国农地非农化现有效率进行评价；③探寻农地非农化效率改进的途径。
为了实现上述目标，本论文设计了五个部分的研究内容。第一部分包括第1~4章，是本文的理论基础，从讨论资源利用效率的定义出发，把新古典和新制度经济学衔接起来，给出公共管理视角下资源利用（农地非农化）的效率定义。同时建立一个包含资源配置、治理结构和制度环境三个层次的分析框架。第二部分包括第5~6章，是在资源配置层次对农地非农
化效率进行判断。第三部分是第7章，是在治理层次对农地非农化效率进行判断。第四部分是第8章，是在制度环境层次对农地非农化效率进行判断。最后第五部分是第9章，即研究的结论和政策建议。
论文第一部分是对效率概念的梳理和对效率本质的讨论，这是分析农地非农化效率的理论基石。首先对经济学范畴内的效率概念进行了总结，并对这些概念的历史进行了回顾。然后，从前提假设和理论逻辑的角度归纳了这些概念的贡献和缺陷，进而引申出公共管理视角下资源利用的效率标准：即，效率应该同时包含资源配置、治理结构和制度环境三个层次上的内涵。第一，在资源配置层次上，效率是指符合边际效率，即，边际（社会）成本和边际（社会）收益相等。第二，在治理结构层次上，效率是指相比较而言被选择的治理结构能够更小化交易费用。第三，在制度环境层次上，效率是指制度环境有利于尽可能地最小化治理结构产生的交易费用。这个定义其实融合了新古典和新制度经济学在效率判断上的标准。所以，本文对农地非农化效率的定义是，行为人应该能够不断捕获判断农地非农化成本收益的大小及其变化，将其作为改善现有行为的决策参考，同时，还必须考虑交易费用的大小，通过不断调整治理结构和制度安排来尽可能减少农地非农化过程中的交易费用，以实现农地非农化净收益的不断提高。这个效率的定义，避免了现有概念的缺陷，更重要的是对公共资源利用效率定义的拓展——区分了私人领域和公共领域资源在追求效率上的差别，即需要通过资源配置、治理结构和制度环境三个层次分析公共管理领域资源的效率。为此，第一部分还建立了包含资源配置、治理结构和制度环境三层次的农地非农化效率分析框架。这个框架探讨了各层次在研究农地非农化效率上的逻辑关系，同时细化了不同层次上资源利用（农地非农化）效率的分析思路。
论文第二部分是对资源配置层次上农地非农化效率进行判断。试图运用新古典经济学方法，对中国农地非农化在数量和质量上效率的考察。该部分首先提出了农地非农化代价性损失、过度性损失I和过度性损失II的理论划分。代价性损失是指市场功能完整的条件下，区域经济增长必需的农地非农化数量，即经济增长必须付出的、合理的代价，而过度性损失则是指经济增长过程中，由于市场失灵和政府失灵引起的本可以避免的农地资源消耗，分别对应过度性损失I和过度性损失II。在此基础上，提出了两个重要假设：①我国农地非农化普遍存在市场失灵，主要表现为农地利用的非市场价值未能反映在土地利用决策框架之中而导致农地非农配置效率降低；②我国土地资源配置还存在着严重的政府失灵，即表现为政府严重扭曲土地价格和市场运行机制，从而导致市场不能在配置过程中发挥主导作用。接着，该部分通过生产函数模型估计土地资源在农业和非农业部门的边际效益曲线，计算出1989~2003年间中国农地非农化的代价性损失比例为33.4%，过度性损失I比例为44.9%，过度性损失II的比例为21.7%。这个结果证明了前面的假设，并提出加快市场化进程以提高效率的建议。
论文第二部分还进行了第二个实证，运用新古典经济学的方法，分析了治理结构对农地非农化效率和社会福利变化的影响。该部分建立了一个包括农地征用、城市一级和城市二级三个土地子市场的农地非农化“多市场均衡模型”，并运用典型案例，计算出现有土地市场结构造成农地过度非农化占总非农化面积的33.7%。而且农地所有者的福利损失有27.6%转移给了工业企业，7.6%转移给了地方政府，其余64.7%成为社会福利净损失而浪费掉了。上述实证分析表明，现有治理结构和制度环境下，资源配置层次的低效率是必然，如果不对现有的治理结构和制度环境进行改变，则效率改善无法实现。
论文第三部分将视角转移到治理结构的层次，用新制度经济学的方法来分析农地非农化效率的改进问题。为了有效解决新古典经济学因无法准确测量交易费用而难以提出农地非农化效率改进途径的问题，该部分将农地非农化看作是由各种不同的“交易”组成的，构建了研究农地非农化管理的交易费用、交易属性及治理结构关系的模型。然后通过H市的实证，判断了交易费用的影响因素，估计了政府或者市场两种治理结构下的交易费用函数，测算了两种治理结构的交易费用，进而判断了市场与政府的边界。研究发现，如果政府不干预农地非农化，由于负外部性造成的总交易成本反而会大大增加。如果政府适当调整部分市场和政府的分工，交易总成本会降低11.3%。基于此，研究认为现阶段的农地非农化还应以政府治
理为主，辅以市场制。当然长期来看，在完善了相应的土地产权和规划管制等制度后，应该让市场更多地参与治理。研究同时也证明了新古典经济学因忽视交易费用的存在而不能全面地提出资源效率改善的路径和建议。
论文第四部分讨论如何从制度环境层次上进一步实现农地非农化的效率改进。该部分首先运用经济史分析方法（历史的纵向比较）和比较制度分析方法（国家间的横向比较）对现阶段农地非农化的制度环境进行了评价。然后，通过辨析中国土地资源和农地非农化的特征，遵循Ostrom公共池塘资源治理的原则来判断制度环境的改进途径，进而为改进农地非农化的公共政策体系服务。主要结论是，中国农地非农化管理在经济史的角度上是符合效率改进的，但是，与德国、荷兰等国相比，在产权、规划、市场、行政、司法等方面存在缺陷，制约了农地非农化管理绩效的进一步提升。缺陷就是潜在的改进方向，是否可行的判断标准是改进产生的交易费用小于改进节省的交易费用。基于此，该部分讨论了如何通过产权、规划、市场、行政管理和司法体系等方面改革来实现效率的改进。
第五部分是全文的总结。全文通过拓展公共管理视角下资源利用效率的概念，在三个层次上对中国农地非农化的效率进行了考察。资源配置层次的研究发现，现阶段中国农地非农化存在效率损失，同时，为了实现农地非农化的效率改进，需要上升到治理结构和制度环境层次。治理结构层次的研究发现，现阶段在产权和规制两大制度尚不完善的情况下单纯依赖市场机制并不是适宜的农地非农化治理结构。而一旦土地产权明晰、规划制度有效，治理结构还应该以市场治理为主。制度环境层次的研究结论要求在产权、规划、市场、行政和司法等方面进一步提升农地非农化的效率。基于三个层次上的研究结论，全文也提出了相应的政策建议，主要包括理顺政府和市场的关系、实现现有土地公共政策的三步调整、建立科学有效的规划控制机制、发挥土地市场配置能力、加强土地监管体系等。
全文最重要的创新就在于从效率的本质出发，将新古典经济学和新制度经济学的相关理论联系在一起，形成公共管理视角的资源利用（农地非农化）的效率定义和分析框架，这是一个理论上的飞跃。同时，各个层次上的研究能够将国际上主流的研究方法与中国农地非农化的现实问题联系在一起，既促进了中国农地非农化效率问题研究的创新，也能够为现阶段政府宏观决策提供有战略价值的政策建议，同时使得本论文的研究能够得到国际学术界的认可和关注。
关键词： 效率；农地非农化；政府与市场；交易费用；中国
Study on the Efficiency of Farmland Conversion: Resource Allocation,
Governance Structure and Institutional Environment
Tan Rong
ABSTRACT
Farmland conversion, i.e., the change from agricultural to nonagricultural land uses, is almost unavoidable during the process of urbanization and industrialization all over the world. Farmland conversion has also significantly contributed to economic growth, urbanization and industrialization in China. However, the rapid farmland conversion in China recently (e.g., 150.6 thousand ha per year between 1989 and 2006) caused certain negative effects, such as fast economic growth at the cost of excessive resource input, food insecurity due to the loss of farmland, environmental degradation in the pier-urban area, and the unstableness of the lost-land farmers. Meanwhile, because of the character of farmland property, i.e., collectively owned but with ambiguous definition on the bundles of property rights, and because of the character of governance structure of farmland conversion, i.e., the dominating role of the government, farmland conversion in China therefore becomes an important issue of resource use related with economy, society, and environment in public domain, which originally belongs to a simple natural resource allocation issue. Thus, how to adjust the current policies of farmland conversion in accordance with the sustainable development rules becomes one of the main tasks of Chinese policy makers and the researchers.
In order to solve the issues of farmland conversion in current stage, the improvement of the efficiency becomes the main direction. There are many literatures discussing how to solve the problem through land planning, quota controls, market or juristic methods, however, the direct discussion on the efficiency of farmland conversion is quite seldom. The study on defining the efficiency of farmland conversion from public administration perspective and its quantitative assessment almost did not exist or hadn’t attracted the scholars’ attentions world widely (Buitelaar, 2007). Thus, to give a definition of efficiency for farmland conversion through the viewpoint of public administration is the prerequisite of theoretical research and policies in practice. Furthermore, the factors influencing the efficiency are also needed to be examined.
Regards to governing public resource use with externalities, the neoclassical economics, e.g. the Pigouvian theory, argues that because there are divergence between marginal private cost and social cost due to the ignorance of the so-called non-market value of natural resource, the government should adjust the resource use through quota, tax, or subsidy in order to dismantle the divergence. However, the practical resource use, e.g., forest harvesting, fishery capturing, or pasturing, seldom follows the rules defined by neoclassical economics through calculating the theoretical best amount of harvesting, fishing, or pasturing. This leads to a suspicion, i.e., why there is the divergence between theory and practice?
When it is accepted theoretically that running market also needs cost (i.e., transaction cost, including the costs that are almost impossible to measure), the New Institutional Economics (NIE) has its suspicious in that the arguments of neoclassical economics, i.e., although the calculation of marginal revenue and cost is still meaningful to some extent, it is helpless to solve the practical problem of improving efficiency. Thus, NIE argues that it could be better to avert the viewpoint on how to improve efficiency, i.e., reducing the transaction cost through reasonable institutional
arrangements and governance structures that can ensure the better performance of resource use if the total revenue is fixed as given.
If the above evolution of economic concepts on efficiency is acceptable, the theory on efficiency of natural resource use in public domain then needs to be extended. Therefore, the purpose of this thesis is attempt to answer the following questions: 1) how to combine theoretically the contribution of neoclassical economics and NIE on economic efficiency and provide a new definition on efficiency of resource use (i.e., farmland conversion) in public domain, and meanwhile develop a conceptual framework that suitable for analyzing efficiency of governing public resource; 2) assess the efficiency of current farmland conversion in China; 3) seeking measures to ameliorate the efficiency of farmland conversion.
In order to fulfill the purposes, the thesis is composed by five parts. The first part (including chapters 1, 2, 3 and 4), is the theoretical basis, which discusses the concept on efficiency of resource use in public domain (i.e., farmland conversion) through the viewpoint of traditional definitions of efficiency and the combination of logics of neoclassical economics and NIE. Furthermore, it establishes a three-level analysis framework, including resource allocation, governance structure and institutional environment. The second part (including chapters 5 and 6) is the efficiency assessment of farmland conversion on the level of resource allocation. The third part, i.e., chapter 7 is the efficiency assessment on the level of governance structure. The fourth part, i.e., chapter 8, is the efficiency assessment on the level of institutional environment. The fifth part, i.e. chapter 9, is the conclusion and providing policy recommendations.
In the first part of the thesis, the concepts of efficiency are revisited and the essence of efficiency is discussed, which forms the theoretical basis for analyzing efficiency of farmland conversion. After the summary of economic efficiency, a criteria for efficiency of resource use in public domain is extended: the essence of efficiency should refer to three levels, including resource allocation, governance structure, and institutional environment, and 1) on the level of resource allocation, efficiency means marginal revenue equals marginal cost; 2) on the level of governance structure, efficiency means the chosen governance structure can comparatively minimize the transaction cost; 3) on the level of institutional environment, efficiency means the design of institutional environment can comparatively minimize the transaction cost caused by governance structure. The extended concept actually combines the efficiency criterion of neoclassical economics and NIE. Thus, the definition of efficiently governing farmland conversion is that actors could continuously capture the changing of revenue and cost of farmland conversion and assess it, which is used as reference for decision making. Meanwhile the actors should consider the transaction cost, and continuously adjust governance structures and institutional arrangement in order to reduce the transaction cost of farmland conversion and ensure the improving of net revenue of farmland conversion. This concept of efficiency avoids the flaws of existing ones, and furthermore it extends the efficiency into resource use in public domain, which distinguishes the efficiency in private domain. Based on this, the first part further establishes a three-level framework for analyzing the efficiency of farmland conversion, which discusses the logics among the three levels, and provides the analysis route line in detail on different levels.
In the second part of the thesis, the methods of neoclassical economics are used to assess the efficiency of Chinese farmland conversion in terms of quantity and quality. A theoretical category on the loss of farmland conversion is proposed, i.e., expense loss, excessive loss I and excessive loss II. Expense loss means the necessary construction land input for economic growth converted from farmland in a completely competitive market situation, i.e., the reasonable cost of farmland. On the contrary, excessive loss I and II are the losses of farmland due to market failure and government failure respectively, which theoretically should be avoided. Based on the category, two assumptions are further proposed: 1) market failure is common phenomenon in the process of
farmland conversion in China; 2) government failure is also serious in China due to the distorted land prices and market mechanism influenced by government intervention. Thus this part builds a C-D production model to estimate the marginal revenue curves of land in both agricultural and nonagricultural sectors, and the calculated expense loss, excessive loss I and II are 33.4%, 44.9%, and 21.7% respectively from 1989 to 2003. The empirical study verifies the assumptions and also provides some policy recommendations on improving the role of market.
The second part also conducts another empirical study, in which neoclassical method is used again to analyze the impacts of current governance structure on the efficiency of farmland conversion and the social welfare change. This part establishes a multi-market equilibrium model including farmland acquisition market, urban primary land market, urban secondary land market, and further applies the model into a case study. The results show that the over conversion of farmland due to current land market structure (comparing with an defined efficiency standard) accounts for 33.7% of the total converted amount, and the welfare loss of farmers is transferred to the industries, the local government, and the social welfare net loss with proportion of 27.6%,
7.6%, and 64.7% respectively. The empirical study shows that the inefficiency of farmland conversion on the level of resource allocation is unavoidable given the current fixed governance structure and institutional environment. If the latter two does not changed, the improvement of efficiency will not be fulfilled.
In the third part of this thesis, the NIE method is used to analyze the ways to improve efficiency of farmland conversion on the level of governance structure. Farmland conversion in this chapter is considered as a combination of different transactions. A model described the relation between transaction cost with the attributes of transactions and governance structures is built and applied into a case study in H city. Two transaction cost functions representing the governance structures of market and government are estimated. Based on the functions the transaction costs therefore can be calculated. The results show that if government does not intervene with farmland conversion at all, the total transaction cost will unexpectedly increase due to the negative externalities of farmland conversion. If the choice between market and government is solved appropriately according to the rule of minimizing transaction cost, the total transaction cost will be reduced 11.3%. Based on this, the part argues that the governance structure of farmland conversion in current stage should be that the government as a major mean and complemented with the market. However, if related institutional environment, e.g., land property and land planning, is ameliorated in a long run, market should take its priority. The results also verify that neoclassical economics only provides biased solutions.
In the fourth part of the thesis, economic history analysis and comparative institutional analysis are used to assess the efficiency of farmland on the level of institutional environment. The characters of Chinese farmland resource and farmland conversion are summarized. Based on it and further according to the rules of sustainably governing common pool resource from Ostrom (2005), the ways to improve the institutional environment are discussed and policy recommendations are proposed. The main results are that although the governing of farmland conversion in China is efficient according to the perspective of economic history, it has its disadvantages on land property, land use planning, land market, land administration system and related laws comparing with western countries, which constrains the further improvement of efficiency of farmland conversion. Flaws are potential reform direction. Thus the part further discusses how to improve the efficiency through the mentioned aspects in current land policies in China.
The fifth part concludes the whole thesis. The efficiency of Chinese farmland conversion is assessed through the three-level framework and based on the extended concept of efficiency in public domain. The findings on the level of resource allocation are that current Chinese farmland
conversion is inefficient, and it is necessary to solve the problem on other two levels. The findings on the level of governance structure are that pure market mechanism is not suitable for current farmland conversion in China until land property and land use planning is reformed appropriately. The findings on the level of institutional environment are that property, planning, market, administration, and legislation need to be ameliorated in order to improve the efficiency. Based on the findings of the three levels, policy recommendations are proposed, including distinguishing appropriately the relation between market and government, enhancing the role of market in allocating land resource, strengthening the monitoring and enforcing mechanism of land administration, and so on.
The most important innovations in this thesis are the new defined and extended efficiency concept for resource use in public domain and the three-level analysis framework for farmland conversion, which are based on the combined concepts of efficiency of the neoclassical economics and the NIE. This could be seen as a theoretical achievement. Meanwhile, the analysis on every level of the framework applies the popular methods used in world-leading studies, which not only qualifies the research, but also provides valuable strategic policy recommendations for Chinese government, and furthermore, it thus can attract the attention and recognition of the foreign scholars.
Key words: Efficiency; Farmland Conversion; Market and government; Transaction Cost; China
附件4：
论文中英文摘要格式
作者姓名：谭荣
论文题目：农地非农化的效率：资源配置、治理结构和制度环境
作者简介：谭荣，男，1981年11月出生，2004年09月师从于南京农业大学曲福田和李元教授，于2008年12月获博士学位。
中 文 摘 要
农地非农化，即土地从农业用途向非农建设用途的转变，是世界各国工业化、城镇化进程中的普遍现象。农地非农化对于现阶段中国经济增长、城市化和工业化做出了巨大贡献。然而，过快的农地非农化（1989～2006年均15.06万公顷）也造成中国经济低效增长、粮食安全受损、生态环境退化、农民权益受损等问题。同时，由于中国农地的产权特征（公有与模糊）和农地非农化治理的特殊性（政府主导），造成原本只属于自然资源配置范畴的农地非农化，成为涉及经济、社会和环境多方面的重大公共管理问题，这使得如何构建符合可持续发展原则的农地非农化政策，成为中国现阶段主要的公共政策目标之一。
为了有效解决农地非农化这一资源管理问题，提高农地非农化配置的效率成为最主要的理论和政策取向。许多文献在规划管制、配额控制、市场配置及立法等方面进行广泛讨论，但很少涉及到农地非农化的效率本身。从公共管理角度对农地非农化的效率内涵及其计量的研究，在国际上也几乎空白（Buitelaar, 2007）。因此，从自然资源的公共管理视角出发给出农地非农化效率的标准将成为理论和实践的首要任务，同时还需要探究何种因素对效率提高产生影响。
对具有外部性特征的资源的治理，新古典经济学理论（比如庇古学派）认为，因为该类资源的利用经常忽视资源的非市场价值，导致出现了私人成本和社会成本的分歧，因此需要政府通过配额、税费、补贴等方式进行调节，以实现资源利用的效率。然而，现实中大量的诸如“森林砍伐”、“渔业捕捞”、“草场放牧”等行为，几乎很少也很难通过计算理论上的“最优砍伐量”、“最大捕捞量”或“最佳放牧量”等来设定配额、税费或补贴。这不禁让人产生了一个疑问，为什么理论和现实出现了如此“分歧”？
当认识到市场本身运转也需要成本（即交易费用），而这些费用又包括很多不能准确测算的成本，新制度经济学开始对传统理论提出质疑——尽管计算难以准确把握的边际成本和收益仍有一定意义，但对于解决效率问题很可能是徒劳的。如果从另一个角度，即通过合理的制度安排和治理结构设计可以实现资源利用过程中交易费用的减少，则当总收益一定时，资源利用效率必然能得到提高。
理解了上述经济理论中效率内涵的变化，现有公共领域资源利用效率的理论也就需要拓展了。因此，本文的研究目的就是尝试回答下列问题：①如何从经济效率本质出发，把新古典经济学和新制度经济学在效率研究上的贡献衔接起来，给出一个公共管理视角下资源利用（农地非农化）的效率标准（定义），同时发展出一个适合自然资源的公共管理问题的分析框架；②对中国农地非农化现有效率进行评价；③探寻农地非农化效率改进的途径。
为了实现上述目标，本论文设计了五个部分的研究内容。第一部分包括第1~4章，是本文的理论基础，从讨论资源利用效率的定义出发，把新古典和新制度经济学衔接起来，给出公共管理视角下资源利用（农地非农化）的效率定义。同时建立一个包含资源配置、治理结构和制度环境三个层次的分析框架。第二部分包括第5~6章，是在资源配置层次对农地非农
化效率进行判断。第三部分是第7章，是在治理层次对农地非农化效率进行判断。第四部分是第8章，是在制度环境层次对农地非农化效率进行判断。最后第五部分是第9章，即研究的结论和政策建议。
论文第一部分是对效率概念的梳理和对效率本质的讨论，这是分析农地非农化效率的理论基石。首先对经济学范畴内的效率概念进行了总结，并对这些概念的历史进行了回顾。然后，从前提假设和理论逻辑的角度归纳了这些概念的贡献和缺陷，进而引申出公共管理视角下资源利用的效率标准：即，效率应该同时包含资源配置、治理结构和制度环境三个层次上的内涵。第一，在资源配置层次上，效率是指符合边际效率，即，边际（社会）成本和边际（社会）收益相等。第二，在治理结构层次上，效率是指相比较而言被选择的治理结构能够更小化交易费用。第三，在制度环境层次上，效率是指制度环境有利于尽可能地最小化治理结构产生的交易费用。这个定义其实融合了新古典和新制度经济学在效率判断上的标准。所以，本文对农地非农化效率的定义是，行为人应该能够不断捕获判断农地非农化成本收益的大小及其变化，将其作为改善现有行为的决策参考，同时，还必须考虑交易费用的大小，通过不断调整治理结构和制度安排来尽可能减少农地非农化过程中的交易费用，以实现农地非农化净收益的不断提高。这个效率的定义，避免了现有概念的缺陷，更重要的是对公共资源利用效率定义的拓展——区分了私人领域和公共领域资源在追求效率上的差别，即需要通过资源配置、治理结构和制度环境三个层次分析公共管理领域资源的效率。为此，第一部分还建立了包含资源配置、治理结构和制度环境三层次的农地非农化效率分析框架。这个框架探讨了各层次在研究农地非农化效率上的逻辑关系，同时细化了不同层次上资源利用（农地非农化）效率的分析思路。
论文第二部分是对资源配置层次上农地非农化效率进行判断。试图运用新古典经济学方法，对中国农地非农化在数量和质量上效率的考察。该部分首先提出了农地非农化代价性损失、过度性损失I和过度性损失II的理论划分。代价性损失是指市场功能完整的条件下，区域经济增长必需的农地非农化数量，即经济增长必须付出的、合理的代价，而过度性损失则是指经济增长过程中，由于市场失灵和政府失灵引起的本可以避免的农地资源消耗，分别对应过度性损失I和过度性损失II。在此基础上，提出了两个重要假设：①我国农地非农化普遍存在市场失灵，主要表现为农地利用的非市场价值未能反映在土地利用决策框架之中而导致农地非农配置效率降低；②我国土地资源配置还存在着严重的政府失灵，即表现为政府严重扭曲土地价格和市场运行机制，从而导致市场不能在配置过程中发挥主导作用。接着，该部分通过生产函数模型估计土地资源在农业和非农业部门的边际效益曲线，计算出1989~2003年间中国农地非农化的代价性损失比例为33.4%，过度性损失I比例为44.9%，过度性损失II的比例为21.7%。这个结果证明了前面的假设，并提出加快市场化进程以提高效率的建议。
论文第二部分还进行了第二个实证，运用新古典经济学的方法，分析了治理结构对农地非农化效率和社会福利变化的影响。该部分建立了一个包括农地征用、城市一级和城市二级三个土地子市场的农地非农化“多市场均衡模型”，并运用典型案例，计算出现有土地市场结构造成农地过度非农化占总非农化面积的33.7%。而且农地所有者的福利损失有27.6%转移给了工业企业，7.6%转移给了地方政府，其余64.7%成为社会福利净损失而浪费掉了。上述实证分析表明，现有治理结构和制度环境下，资源配置层次的低效率是必然，如果不对现有的治理结构和制度环境进行改变，则效率改善无法实现。
论文第三部分将视角转移到治理结构的层次，用新制度经济学的方法来分析农地非农化效率的改进问题。为了有效解决新古典经济学因无法准确测量交易费用而难以提出农地非农化效率改进途径的问题，该部分将农地非农化看作是由各种不同的“交易”组成的，构建了研究农地非农化管理的交易费用、交易属性及治理结构关系的模型。然后通过H市的实证，判断了交易费用的影响因素，估计了政府或者市场两种治理结构下的交易费用函数，测算了两种治理结构的交易费用，进而判断了市场与政府的边界。研究发现，如果政府不干预农地非农化，由于负外部性造成的总交易成本反而会大大增加。如果政府适当调整部分市场和政府的分工，交易总成本会降低11.3%。基于此，研究认为现阶段的农地非农化还应以政府治
理为主，辅以市场制。当然长期来看，在完善了相应的土地产权和规划管制等制度后，应该让市场更多地参与治理。研究同时也证明了新古典经济学因忽视交易费用的存在而不能全面地提出资源效率改善的路径和建议。
论文第四部分讨论如何从制度环境层次上进一步实现农地非农化的效率改进。该部分首先运用经济史分析方法（历史的纵向比较）和比较制度分析方法（国家间的横向比较）对现阶段农地非农化的制度环境进行了评价。然后，通过辨析中国土地资源和农地非农化的特征，遵循Ostrom公共池塘资源治理的原则来判断制度环境的改进途径，进而为改进农地非农化的公共政策体系服务。主要结论是，中国农地非农化管理在经济史的角度上是符合效率改进的，但是，与德国、荷兰等国相比，在产权、规划、市场、行政、司法等方面存在缺陷，制约了农地非农化管理绩效的进一步提升。缺陷就是潜在的改进方向，是否可行的判断标准是改进产生的交易费用小于改进节省的交易费用。基于此，该部分讨论了如何通过产权、规划、市场、行政管理和司法体系等方面改革来实现效率的改进。
第五部分是全文的总结。全文通过拓展公共管理视角下资源利用效率的概念，在三个层次上对中国农地非农化的效率进行了考察。资源配置层次的研究发现，现阶段中国农地非农化存在效率损失，同时，为了实现农地非农化的效率改进，需要上升到治理结构和制度环境层次。治理结构层次的研究发现，现阶段在产权和规制两大制度尚不完善的情况下单纯依赖市场机制并不是适宜的农地非农化治理结构。而一旦土地产权明晰、规划制度有效，治理结构还应该以市场治理为主。制度环境层次的研究结论要求在产权、规划、市场、行政和司法等方面进一步提升农地非农化的效率。基于三个层次上的研究结论，全文也提出了相应的政策建议，主要包括理顺政府和市场的关系、实现现有土地公共政策的三步调整、建立科学有效的规划控制机制、发挥土地市场配置能力、加强土地监管体系等。
全文最重要的创新就在于从效率的本质出发，将新古典经济学和新制度经济学的相关理论联系在一起，形成公共管理视角的资源利用（农地非农化）的效率定义和分析框架，这是一个理论上的飞跃。同时，各个层次上的研究能够将国际上主流的研究方法与中国农地非农化的现实问题联系在一起，既促进了中国农地非农化效率问题研究的创新，也能够为现阶段政府宏观决策提供有战略价值的政策建议，同时使得本论文的研究能够得到国际学术界的认可和关注。
关键词： 效率；农地非农化；政府与市场；交易费用；中国
Study on the Efficiency of Farmland Conversion: Resource Allocation,
Governance Structure and Institutional Environment
Tan Rong
ABSTRACT
Farmland conversion, i.e., the change from agricultural to nonagricultural land uses, is almost unavoidable during the process of urbanization and industrialization all over the world. Farmland conversion has also significantly contributed to economic growth, urbanization and industrialization in China. However, the rapid farmland conversion in China recently (e.g., 150.6 thousand ha per year between 1989 and 2006) caused certain negative effects, such as fast economic growth at the cost of excessive resource input, food insecurity due to the loss of farmland, environmental degradation in the pier-urban area, and the unstableness of the lost-land farmers. Meanwhile, because of the character of farmland property, i.e., collectively owned but with ambiguous definition on the bundles of property rights, and because of the character of governance structure of farmland conversion, i.e., the dominating role of the government, farmland conversion in China therefore becomes an important issue of resource use related with economy, society, and environment in public domain, which originally belongs to a simple natural resource allocation issue. Thus, how to adjust the current policies of farmland conversion in accordance with the sustainable development rules becomes one of the main tasks of Chinese policy makers and the researchers.
In order to solve the issues of farmland conversion in current stage, the improvement of the efficiency becomes the main direction. There are many literatures discussing how to solve the problem through land planning, quota controls, market or juristic methods, however, the direct discussion on the efficiency of farmland conversion is quite seldom. The study on defining the efficiency of farmland conversion from public administration perspective and its quantitative assessment almost did not exist or hadn’t attracted the scholars’ attentions world widely (Buitelaar, 2007). Thus, to give a definition of efficiency for farmland conversion through the viewpoint of public administration is the prerequisite of theoretical research and policies in practice. Furthermore, the factors influencing the efficiency are also needed to be examined.
Regards to governing public resource use with externalities, the neoclassical economics, e.g. the Pigouvian theory, argues that because there are divergence between marginal private cost and social cost due to the ignorance of the so-called non-market value of natural resource, the government should adjust the resource use through quota, tax, or subsidy in order to dismantle the divergence. However, the practical resource use, e.g., forest harvesting, fishery capturing, or pasturing, seldom follows the rules defined by neoclassical economics through calculating the theoretical best amount of harvesting, fishing, or pasturing. This leads to a suspicion, i.e., why there is the divergence between theory and practice?
When it is accepted theoretically that running market also needs cost (i.e., transaction cost, including the costs that are almost impossible to measure), the New Institutional Economics (NIE) has its suspicious in that the arguments of neoclassical economics, i.e., although the calculation of marginal revenue and cost is still meaningful to some extent, it is helpless to solve the practical problem of improving efficiency. Thus, NIE argues that it could be better to avert the viewpoint on how to improve efficiency, i.e., reducing the transaction cost through reasonable institutional
arrangements and governance structures that can ensure the better performance of resource use if the total revenue is fixed as given.
If the above evolution of economic concepts on efficiency is acceptable, the theory on efficiency of natural resource use in public domain then needs to be extended. Therefore, the purpose of this thesis is attempt to answer the following questions: 1) how to combine theoretically the contribution of neoclassical economics and NIE on economic efficiency and provide a new definition on efficiency of resource use (i.e., farmland conversion) in public domain, and meanwhile develop a conceptual framework that suitable for analyzing efficiency of governing public resource; 2) assess the efficiency of current farmland conversion in China; 3) seeking measures to ameliorate the efficiency of farmland conversion.
In order to fulfill the purposes, the thesis is composed by five parts. The first part (including chapters 1, 2, 3 and 4), is the theoretical basis, which discusses the concept on efficiency of resource use in public domain (i.e., farmland conversion) through the viewpoint of traditional definitions of efficiency and the combination of logics of neoclassical economics and NIE. Furthermore, it establishes a three-level analysis framework, including resource allocation, governance structure and institutional environment. The second part (including chapters 5 and 6) is the efficiency assessment of farmland conversion on the level of resource allocation. The third part, i.e., chapter 7 is the efficiency assessment on the level of governance structure. The fourth part, i.e., chapter 8, is the efficiency assessment on the level of institutional environment. The fifth part, i.e. chapter 9, is the conclusion and providing policy recommendations.
In the first part of the thesis, the concepts of efficiency are revisited and the essence of efficiency is discussed, which forms the theoretical basis for analyzing efficiency of farmland conversion. After the summary of economic efficiency, a criteria for efficiency of resource use in public domain is extended: the essence of efficiency should refer to three levels, including resource allocation, governance structure, and institutional environment, and 1) on the level of resource allocation, efficiency means marginal revenue equals marginal cost; 2) on the level of governance structure, efficiency means the chosen governance structure can comparatively minimize the transaction cost; 3) on the level of institutional environment, efficiency means the design of institutional environment can comparatively minimize the transaction cost caused by governance structure. The extended concept actually combines the efficiency criterion of neoclassical economics and NIE. Thus, the definition of efficiently governing farmland conversion is that actors could continuously capture the changing of revenue and cost of farmland conversion and assess it, which is used as reference for decision making. Meanwhile the actors should consider the transaction cost, and continuously adjust governance structures and institutional arrangement in order to reduce the transaction cost of farmland conversion and ensure the improving of net revenue of farmland conversion. This concept of efficiency avoids the flaws of existing ones, and furthermore it extends the efficiency into resource use in public domain, which distinguishes the efficiency in private domain. Based on this, the first part further establishes a three-level framework for analyzing the efficiency of farmland conversion, which discusses the logics among the three levels, and provides the analysis route line in detail on different levels.
In the second part of the thesis, the methods of neoclassical economics are used to assess the efficiency of Chinese farmland conversion in terms of quantity and quality. A theoretical category on the loss of farmland conversion is proposed, i.e., expense loss, excessive loss I and excessive loss II. Expense loss means the necessary construction land input for economic growth converted from farmland in a completely competitive market situation, i.e., the reasonable cost of farmland. On the contrary, excessive loss I and II are the losses of farmland due to market failure and government failure respectively, which theoretically should be avoided. Based on the category, two assumptions are further proposed: 1) market failure is common phenomenon in the process of
farmland conversion in China; 2) government failure is also serious in China due to the distorted land prices and market mechanism influenced by government intervention. Thus this part builds a C-D production model to estimate the marginal revenue curves of land in both agricultural and nonagricultural sectors, and the calculated expense loss, excessive loss I and II are 33.4%, 44.9%, and 21.7% respectively from 1989 to 2003. The empirical study verifies the assumptions and also provides some policy recommendations on improving the role of market.
The second part also conducts another empirical study, in which neoclassical method is used again to analyze the impacts of current governance structure on the efficiency of farmland conversion and the social welfare change. This part establishes a multi-market equilibrium model including farmland acquisition market, urban primary land market, urban secondary land market, and further applies the model into a case study. The results show that the over conversion of farmland due to current land market structure (comparing with an defined efficiency standard) accounts for 33.7% of the total converted amount, and the welfare loss of farmers is transferred to the industries, the local government, and the social welfare net loss with proportion of 27.6%,
7.6%, and 64.7% respectively. The empirical study shows that the inefficiency of farmland conversion on the level of resource allocation is unavoidable given the current fixed governance structure and institutional environment. If the latter two does not changed, the improvement of efficiency will not be fulfilled.
In the third part of this thesis, the NIE method is used to analyze the ways to improve efficiency of farmland conversion on the level of governance structure. Farmland conversion in this chapter is considered as a combination of different transactions. A model described the relation between transaction cost with the attributes of transactions and governance structures is built and applied into a case study in H city. Two transaction cost functions representing the governance structures of market and government are estimated. Based on the functions the transaction costs therefore can be calculated. The results show that if government does not intervene with farmland conversion at all, the total transaction cost will unexpectedly increase due to the negative externalities of farmland conversion. If the choice between market and government is solved appropriately according to the rule of minimizing transaction cost, the total transaction cost will be reduced 11.3%. Based on this, the part argues that the governance structure of farmland conversion in current stage should be that the government as a major mean and complemented with the market. However, if related institutional environment, e.g., land property and land planning, is ameliorated in a long run, market should take its priority. The results also verify that neoclassical economics only provides biased solutions.
In the fourth part of the thesis, economic history analysis and comparative institutional analysis are used to assess the efficiency of farmland on the level of institutional environment. The characters of Chinese farmland resource and farmland conversion are summarized. Based on it and further according to the rules of sustainably governing common pool resource from Ostrom (2005), the ways to improve the institutional environment are discussed and policy recommendations are proposed. The main results are that although the governing of farmland conversion in China is efficient according to the perspective of economic history, it has its disadvantages on land property, land use planning, land market, land administration system and related laws comparing with western countries, which constrains the further improvement of efficiency of farmland conversion. Flaws are potential reform direction. Thus the part further discusses how to improve the efficiency through the mentioned aspects in current land policies in China.
The fifth part concludes the whole thesis. The efficiency of Chinese farmland conversion is assessed through the three-level framework and based on the extended concept of efficiency in public domain. The findings on the level of resource allocation are that current Chinese farmland
conversion is inefficient, and it is necessary to solve the problem on other two levels. The findings on the level of governance structure are that pure market mechanism is not suitable for current farmland conversion in China until land property and land use planning is reformed appropriately. The findings on the level of institutional environment are that property, planning, market, administration, and legislation need to be ameliorated in order to improve the efficiency. Based on the findings of the three levels, policy recommendations are proposed, including distinguishing appropriately the relation between market and government, enhancing the role of market in allocating land resource, strengthening the monitoring and enforcing mechanism of land administration, and so on.
The most important innovations in this thesis are the new defined and extended efficiency concept for resource use in public domain and the three-level analysis framework for farmland conversion, which are based on the combined concepts of efficiency of the neoclassical economics and the NIE. This could be seen as a theoretical achievement. Meanwhile, the analysis on every level of the framework applies the popular methods used in world-leading studies, which not only qualifies the research, but also provides valuable strategic policy recommendations for Chinese government, and furthermore, it thus can attract the attention and recognition of the foreign scholars.
Key words: Efficiency; Farmland Conversion; Market and government; Transaction Cost; China