地区间策略互动与建设用地指标管控失灵
|
摘要
对建设用地进行指标管控是中国土地管理领域的一项重要公共政策,但实践中却面临管控失灵的困境。本文从地方政府竞争的视角出发,分析了地区间在建设用地指标执行上的策略互动行为,并进一步探讨了中央监管权集中对其策略互动行为的影响,最后构建空间面板模型对理论假说进行了检验。研究发现,中国式分权体制下,地方政府会充分运用土地的政策工具来展开经济竞争,从而引发地区间在获取超额建设用地空间上的"模仿效应",这造成指标管控的普遍性失灵;中央政府的集中监管能够削弱地区间的策略互动行为,从而有利于减轻指标管控失灵的程度。为此,本文建议应将"自上而下"的集中监管机制嵌入地方政府竞争的环境中去,以遏制地区间"竞次式"的资源管控政策执行行为。
The index control of construction land is an important public policy in the field of land management in China. However, in practice, it is faced with the dilemma of index control failure.From the perspective of local government competition, this study analyzed the tactical interaction on implementation of construction land index among regions and further discussed the effect of supervision centralization of central government on the tactical interaction among regions. Then,we constructed a spatial-panel model to test these theoretical hypotheses. The study found that,under the system of Chinese style decentralization, local government would take full use of land policy tools to participate in economic competition, revealing that there existed a tactical interaction on implementation of construction land index among regions, which was shown as the demonstration effect of gained excess construction land using space. It led to prevalent failure of index control. The regulatory pressure from supervision centralization of central government,which is the national system of land supervision, can impel local governments to keep the extent of index control failure within the level of their rivals when they scrambled to gain excess construction land using space. It was conducive to weaken the inter-regional tactical interaction, thus reduced the extent of construction land index control failure. The conclusion of this study means that, "top-down" supervision centralization system should be embedded in the environment of local governments' competition to containment the "race to bottom" style behavior in the implementation of resource and environment controlling policy among regions. Specifically, this study puts forward the following policy recommendations: to move the supervision to superior government, to set up a vertical management institution, to centralize the supervision from different resource and environment sectors, and to set up a comprehensive institution in department of supervision.
The index control of construction land is an important public policy in the field of land management in China. However, in practice, it is faced with the dilemma of index control failure.From the perspective of local government competition, this study analyzed the tactical interaction on implementation of construction land index among regions and further discussed the effect of supervision centralization of central government on the tactical interaction among regions. Then,we constructed a spatial-panel model to test these theoretical hypotheses. The study found that,under the system of Chinese style decentralization, local government would take full use of land policy tools to participate in economic competition, revealing that there existed a tactical interaction on implementation of construction land index among regions, which was shown as the demonstration effect of gained excess construction land using space. It led to prevalent failure of index control. The regulatory pressure from supervision centralization of central government,which is the national system of land supervision, can impel local governments to keep the extent of index control failure within the level of their rivals when they scrambled to gain excess construction land using space. It was conducive to weaken the inter-regional tactical interaction, thus reduced the extent of construction land index control failure. The conclusion of this study means that, "top-down" supervision centralization system should be embedded in the environment of local governments' competition to containment the "race to bottom" style behavior in the implementation of resource and environment controlling policy among regions. Specifically, this study puts forward the following policy recommendations: to move the supervision to superior government, to set up a vertical management institution, to centralize the supervision from different resource and environment sectors, and to set up a comprehensive institution in department of supervision.
引文
[1]陈宇琼,钟太洋.土地审批制度改革对建设占用耕地的影响-基于1995-2013年省级面板数据的实证研究[J].资源科学,2016,38(9):1692-1701.[Chen Y Q,Zhong T Y.The impact of land examination and approval system reform on cultivated land occupation by construction according to provincial level panel data in China from 1995 to 2013[J].Resources Science,2016,38(9):1692-1701.]
[2]谭明智.严控与激励并存:土地增减挂钩的政策脉络及地方实施[J].中国社会科学,2014,(7):125-142.[Tan M Z.Strict control and incentive:Evolution of the policy of linking decrease of arable land with increase of construction land and its local implementation[J].Social Sciences in China,2014,(7):125-142.]
[3]中华人民共和国国土资源部.2013中国国土资源公报[EB/OL].(2014-04)[2018-03-19].http://www.mlr.gov.cn/xwdt/jrxw/201404/P020140422295411414695.pdf.[Ministry of Land and Resources of the People's Republic of China.2013 China Land&Resources Bulletin[EB/OL].(2014-04)[2018-03-19].http://www.mlr.gov.cn/xwdt/jrxw/201404/P020140422295411414695.pdf.]
[4]Prato T.Evaluating land use plans under uncertainty[J].Land Use Policy,2007,24(1):165-174.
[5]汪晖,陶然.论土地发展权转移与交易的“浙江模式”:制度起源、操作模式及其重要含义[J].管理世界,2009,(8):39-52.[Wang H,Tao R.“Zhejiang mode”oftransformation and transaction of land development right:Institutional origin,operating mode and significant implication[J].Management World,2009,(8):39-52.]
[6]李元珍.央地关系视阈下的软政策执行-基于成都市L区土地增减挂钩试点政策的实践分析[J].公共管理学报,2013,10(3):14-21.[Li Y Z.Soft policy implementation under the perspective of central and local governments'relationship-based on the increase and decrease connection of urban and rural construction land policy practice in L district,Chengdu[J].Journal of Public Management,2013,10(3):14-21.]
[7]周雪光,练宏.中国政府的治理模式:一个“控制权”理论[J].社会学研究,2012,27(5):69-93.[Zhou X G,Lian H.Modes of governance in the Chinese bureaucracy:A“control rights”theory[J].Sociological Studies,2012,27(5):69-93.]
[8]Song W,Pijanowski B C.The effects of China’s cultivated land balance program on potential land productivity at a national scale[J].Applied Geography,2014,46(1):158-170.
[9]Feng J,Lichtenberg E,Ding C R.Balancing act:Economic incentives,administrative restrictions,and urban land expansion in China[J].China Economic Review,2015,36(5):184-197.
[10]郭珍,吴宇哲.耕地保护制度执行过程中的“目标替代”:基于多任务代理模型的研究[J].经济学家,2016,(6):58-65.[Guo Z,Wu Y Z.Objective substitution in the implementation of farmland protection system:Research based on multi-task agent model[J].Economist,2016,(6):58-65.]
[11]范子英,田彬彬.税收竞争、税收执法与企业避税[J].经济研究,2013,48(9):99-111.[Fan Z Y,Tian B B.Tax competition,tax enforcement and tax avoidance[J].Economic Research Journal,2013,48(9):99-111.]
[12]张华.地区间环境规制的策略互动研究:对环境规制非完全执行普遍性的解释[J].中国工业经济,2016,(7):74-90.[Zhang H.Strategic interaction of regional environmental regulation:An explanation on the universality of incomplete enforcement of environmental regulation[J].China Industrial Economics,2016,(7):74-90.]
[13]傅勇,张晏.中国式分权与财政支出结构偏向:为增长而竞争的代价[J].管理世界,2007,(3):4-12.[Fu Y,Zhang Y.Chinese decentralization and deflection of fiscal expenditure structure:The price of competition for the growth[J].Management World,2007,(3):4-12.]
[14]谢炜.中国公共政策执行中的利益关系研究[M].上海:学林出版社,2009.[Xie W.Research on the Benefit Relationship in the Implementation of China's Public Policy[M].Shanghai:Academia Press,2009.]
[15]李涛,周业安.中国地方政府间支出竞争研究:基于中国省级面板数据的经验证据[J].管理世界,2009,(2):12-22.[Li T,Zhou Y A.Research on the expenditure competition between local governments in China:Empirical evidence based on China's provincial panel data[J].Management World,2009,(2):12-22.]
[16]郑思齐,孙伟增,吴璟,等.“以地生财,以财养地”:中国特色城市建设投融资模式研究[J].经济研究,2014,49(8):14-27.[Zheng S Q,Sun W Z,Wu J,et al.Infrastructure investment,land leasing and real estate price:Aunique financing and investment channel for urban development in Chinese cities[J].Economic Research Journal,2014,49(8):14-27.]
[17]杨其静,卓品,杨继东.工业用地出让与引资质量底线竞争:基于2007-2011年中国地级市面板数据的经验研究[J].管理世界,2014,(11):24-34.[Yang Q J,Zhuo P,Yang J D.Industrial land conveyance and the investment quality race in the bottom line:An empirical studybased on the panel data of China during2007-2011[J].Management World,2014,(11):24-34.]
[18]周飞舟,王绍琛.农民上楼与资本下乡:城镇化的社会学研究[J].中国社会科学,2015,(1):66-83.[Zhou F Z,Wang S C.Farmers moving upstairs and capital going down to the countryside:Asociological study of urbanization[J].Social Sciences in China,2015,(1):66-83.]
[19]王塞德,潘瑞娇.中国式分权与政府机构垂直化管理:一个基于任务冲突的多任务委托-代理框架[J].世界经济文汇,2010,(1):92-101.[Wang S D,Pan R J.Chinese decentralization and vertical management of government institutions:A multitask principal-agentframework based ontask conflict[J].World Economic Papers,2010,(1):92-101.]
[20]Anselin L.Spatial Econometrics:Methods and Models[M].Dordrecht:Kluwer Academic Publishers,1988.
[21]王火根,沈利生.中国经济增长与能源消费空间面板分析[J].数量经济技术经济研究,2007,24(12):98-107.[Wang H G,Shen L S.A spatial panel statistical analysis on Chinese economic growth and energy consumption[J].The Journal of Quantitative&Technical Economics,2007,24(12):98-107.]
[22]钟太洋,黄贤金,谭梦,等.土地督察的耕地保护效果评价[J].中国人口·资源与环境,2011,21(5):38-43.[Zhong T Y,Huang XJ,Tan M,et al.Arable land conservation effects of land supervision in China[J].China Population,Resourceand Environment,2011,21(5):38-43.]
[23]谭术魁,张红林,饶映雪.土地例行督察的土地违法遏制效果测算[J].中国土地科学,2013,27(3):36-42.[Tan S K,Zhang H L,Rao Y X.Estimation on the effect of regular land supervision on controlling land law violations[J].China Land Sciences,2013,27(3):36-42.]
[24]罗长林,王天宇.地根经济的微观基础:土地抵押贷款的杠杆放大效应研究[J].财贸经济,2017,38(4):54-70.[Luo C L,Wang TY.Micro foundations of the land economy:On the leverage amplification effect of land mortgages[J].Finance&Trade Economics,2017,38(4):54-70.]
[25]中华人民共和国国家统计局.中国统计年鉴[M].北京:中国统计出版社,2011-2015.[National Bureau of Statistic of China.China Statistical Yearbook[M].Beijing:China Statistics Press,2011-2015.]
[26]中华人民共和国住房和城乡建设部.中国城乡建设统计年鉴[M].北京:中国统计出版社,2010-2014.[Ministry of Housing and Urban-Rural Development of the People’s Republic of China.China Urban-Rural Construction Statistical Yearbook[M].Beijing:China Statistics Press,2010-2014.]
[27]中华人民共和国国土资源部.中国国土资源统计年鉴[M].北京:地质出版社,2011-2015.[Ministry of Land and Resources of the People's Republic of China.China Land and Resources Statistical Yearbook[M].Peking:Geology Press,2011-2015.]
[28]国家土地总督察办公室.国家土地督察公告[M].北京:地质出版社,2010-2014.[Office of State Land Inspector-General.Announcement of State Land Supervision[M].Beijing:Geology Press,2010-2014.]
[29]中华人民共和国国土资源部.全国土地利用总体规划纲要(2006-2020)[M].北京:中国法制出版社,2008.[Ministry of Land and Resources of the People's Republic of China.Outline of National General Land Use Planning(2006-2020)[M].Peking:China Legal Publishing House,2008.]
1)在建设用地分类中,建设用地=城乡建设用地+交通水利及其他用地,由于交通水利等重大项目的用地指标多数由中央政府直接批复,因此地方政府的指标执行行为便主要体现在“城乡建设用地规模”指标上。
[2]谭明智.严控与激励并存:土地增减挂钩的政策脉络及地方实施[J].中国社会科学,2014,(7):125-142.[Tan M Z.Strict control and incentive:Evolution of the policy of linking decrease of arable land with increase of construction land and its local implementation[J].Social Sciences in China,2014,(7):125-142.]
[3]中华人民共和国国土资源部.2013中国国土资源公报[EB/OL].(2014-04)[2018-03-19].http://www.mlr.gov.cn/xwdt/jrxw/201404/P020140422295411414695.pdf.[Ministry of Land and Resources of the People's Republic of China.2013 China Land&Resources Bulletin[EB/OL].(2014-04)[2018-03-19].http://www.mlr.gov.cn/xwdt/jrxw/201404/P020140422295411414695.pdf.]
[4]Prato T.Evaluating land use plans under uncertainty[J].Land Use Policy,2007,24(1):165-174.
[5]汪晖,陶然.论土地发展权转移与交易的“浙江模式”:制度起源、操作模式及其重要含义[J].管理世界,2009,(8):39-52.[Wang H,Tao R.“Zhejiang mode”oftransformation and transaction of land development right:Institutional origin,operating mode and significant implication[J].Management World,2009,(8):39-52.]
[6]李元珍.央地关系视阈下的软政策执行-基于成都市L区土地增减挂钩试点政策的实践分析[J].公共管理学报,2013,10(3):14-21.[Li Y Z.Soft policy implementation under the perspective of central and local governments'relationship-based on the increase and decrease connection of urban and rural construction land policy practice in L district,Chengdu[J].Journal of Public Management,2013,10(3):14-21.]
[7]周雪光,练宏.中国政府的治理模式:一个“控制权”理论[J].社会学研究,2012,27(5):69-93.[Zhou X G,Lian H.Modes of governance in the Chinese bureaucracy:A“control rights”theory[J].Sociological Studies,2012,27(5):69-93.]
[8]Song W,Pijanowski B C.The effects of China’s cultivated land balance program on potential land productivity at a national scale[J].Applied Geography,2014,46(1):158-170.
[9]Feng J,Lichtenberg E,Ding C R.Balancing act:Economic incentives,administrative restrictions,and urban land expansion in China[J].China Economic Review,2015,36(5):184-197.
[10]郭珍,吴宇哲.耕地保护制度执行过程中的“目标替代”:基于多任务代理模型的研究[J].经济学家,2016,(6):58-65.[Guo Z,Wu Y Z.Objective substitution in the implementation of farmland protection system:Research based on multi-task agent model[J].Economist,2016,(6):58-65.]
[11]范子英,田彬彬.税收竞争、税收执法与企业避税[J].经济研究,2013,48(9):99-111.[Fan Z Y,Tian B B.Tax competition,tax enforcement and tax avoidance[J].Economic Research Journal,2013,48(9):99-111.]
[12]张华.地区间环境规制的策略互动研究:对环境规制非完全执行普遍性的解释[J].中国工业经济,2016,(7):74-90.[Zhang H.Strategic interaction of regional environmental regulation:An explanation on the universality of incomplete enforcement of environmental regulation[J].China Industrial Economics,2016,(7):74-90.]
[13]傅勇,张晏.中国式分权与财政支出结构偏向:为增长而竞争的代价[J].管理世界,2007,(3):4-12.[Fu Y,Zhang Y.Chinese decentralization and deflection of fiscal expenditure structure:The price of competition for the growth[J].Management World,2007,(3):4-12.]
[14]谢炜.中国公共政策执行中的利益关系研究[M].上海:学林出版社,2009.[Xie W.Research on the Benefit Relationship in the Implementation of China's Public Policy[M].Shanghai:Academia Press,2009.]
[15]李涛,周业安.中国地方政府间支出竞争研究:基于中国省级面板数据的经验证据[J].管理世界,2009,(2):12-22.[Li T,Zhou Y A.Research on the expenditure competition between local governments in China:Empirical evidence based on China's provincial panel data[J].Management World,2009,(2):12-22.]
[16]郑思齐,孙伟增,吴璟,等.“以地生财,以财养地”:中国特色城市建设投融资模式研究[J].经济研究,2014,49(8):14-27.[Zheng S Q,Sun W Z,Wu J,et al.Infrastructure investment,land leasing and real estate price:Aunique financing and investment channel for urban development in Chinese cities[J].Economic Research Journal,2014,49(8):14-27.]
[17]杨其静,卓品,杨继东.工业用地出让与引资质量底线竞争:基于2007-2011年中国地级市面板数据的经验研究[J].管理世界,2014,(11):24-34.[Yang Q J,Zhuo P,Yang J D.Industrial land conveyance and the investment quality race in the bottom line:An empirical studybased on the panel data of China during2007-2011[J].Management World,2014,(11):24-34.]
[18]周飞舟,王绍琛.农民上楼与资本下乡:城镇化的社会学研究[J].中国社会科学,2015,(1):66-83.[Zhou F Z,Wang S C.Farmers moving upstairs and capital going down to the countryside:Asociological study of urbanization[J].Social Sciences in China,2015,(1):66-83.]
[19]王塞德,潘瑞娇.中国式分权与政府机构垂直化管理:一个基于任务冲突的多任务委托-代理框架[J].世界经济文汇,2010,(1):92-101.[Wang S D,Pan R J.Chinese decentralization and vertical management of government institutions:A multitask principal-agentframework based ontask conflict[J].World Economic Papers,2010,(1):92-101.]
[20]Anselin L.Spatial Econometrics:Methods and Models[M].Dordrecht:Kluwer Academic Publishers,1988.
[21]王火根,沈利生.中国经济增长与能源消费空间面板分析[J].数量经济技术经济研究,2007,24(12):98-107.[Wang H G,Shen L S.A spatial panel statistical analysis on Chinese economic growth and energy consumption[J].The Journal of Quantitative&Technical Economics,2007,24(12):98-107.]
[22]钟太洋,黄贤金,谭梦,等.土地督察的耕地保护效果评价[J].中国人口·资源与环境,2011,21(5):38-43.[Zhong T Y,Huang XJ,Tan M,et al.Arable land conservation effects of land supervision in China[J].China Population,Resourceand Environment,2011,21(5):38-43.]
[23]谭术魁,张红林,饶映雪.土地例行督察的土地违法遏制效果测算[J].中国土地科学,2013,27(3):36-42.[Tan S K,Zhang H L,Rao Y X.Estimation on the effect of regular land supervision on controlling land law violations[J].China Land Sciences,2013,27(3):36-42.]
[24]罗长林,王天宇.地根经济的微观基础:土地抵押贷款的杠杆放大效应研究[J].财贸经济,2017,38(4):54-70.[Luo C L,Wang TY.Micro foundations of the land economy:On the leverage amplification effect of land mortgages[J].Finance&Trade Economics,2017,38(4):54-70.]
[25]中华人民共和国国家统计局.中国统计年鉴[M].北京:中国统计出版社,2011-2015.[National Bureau of Statistic of China.China Statistical Yearbook[M].Beijing:China Statistics Press,2011-2015.]
[26]中华人民共和国住房和城乡建设部.中国城乡建设统计年鉴[M].北京:中国统计出版社,2010-2014.[Ministry of Housing and Urban-Rural Development of the People’s Republic of China.China Urban-Rural Construction Statistical Yearbook[M].Beijing:China Statistics Press,2010-2014.]
[27]中华人民共和国国土资源部.中国国土资源统计年鉴[M].北京:地质出版社,2011-2015.[Ministry of Land and Resources of the People's Republic of China.China Land and Resources Statistical Yearbook[M].Peking:Geology Press,2011-2015.]
[28]国家土地总督察办公室.国家土地督察公告[M].北京:地质出版社,2010-2014.[Office of State Land Inspector-General.Announcement of State Land Supervision[M].Beijing:Geology Press,2010-2014.]
[29]中华人民共和国国土资源部.全国土地利用总体规划纲要(2006-2020)[M].北京:中国法制出版社,2008.[Ministry of Land and Resources of the People's Republic of China.Outline of National General Land Use Planning(2006-2020)[M].Peking:China Legal Publishing House,2008.]
1)在建设用地分类中,建设用地=城乡建设用地+交通水利及其他用地,由于交通水利等重大项目的用地指标多数由中央政府直接批复,因此地方政府的指标执行行为便主要体现在“城乡建设用地规模”指标上。