中国的城市化、农村土地制度和农民工的社会保障外文翻译资料

中国的城市化、农村土地制度和农民工的社会保障

英国牛津大学和中国科学院(CAS)

2005年10月收到最终版本

摘要：由于缺乏对农民工的社会保障导致了暂时迁移,由于频繁的土地再分配导致农村集体所有的土地缺乏安全感以及由于缺乏市场参与的土地过度征用是转型中的中国所面临的主要挑战。尽管有很多的关于此类问题的研究,各种各样的政策建议，但是迄今为止,多数讨论这些问题,忽略了这些问题之间存在着密切的相互关系问题,没能在一个体系范围内分析问题。本文旨在建立这样一个分析框架。通过考虑中国的特点,是一个转型中的大型发展中国家，我们提出宏观的政策方案来解决城乡间的暂时迁移和农村的土地政策。

一、引言

城镇化是发展过程中的关键阶段之一:城市的发展促进了工业建设和城市住宅社区的发展。

从农村转移到城市地区的人口的就业，使得就业从农村农业部门转移到城市的制造业和服务业,这一状况一直持续到从农村国变成工业国以及从落后的国家转变为现代化国家(Chenery Syrquin,1975)。

要实现这一目标,需要满足三个条件:

(1)农业用地转化为工业和城市建设、住房和基础设施,这意味着城市化过程中农民逐步的脱离土地。

(2)存在一系列鼓励农民从农村转移到城市的以及从农业转移到制造业和服务业机制。这将需要一个制度来支撑这样的迁移和确保农民迁移，本质上是一个高风险的过程(Todaro,1969;斯塔克,1969)。

(3)由于发展是一个渐进的和漫长的过程,体制必须那些城市化缓慢的人获得足够的所需要的资源,为了能够让自己准备好继续在未来几年,甚至下一代。

中国作为世界上增长最快的经济体,目前正处于城市化的进程当中。城市化的可持续发展是中国迫切需要的，由于城市的扩张,城市和农村向城市流动被人为的限制。尽管1970年代后期以来的经济改革见证了劳动力流动的限制逐步放宽,在规划期内存在一定的旧制度,以防止城市失业，这是国家户籍制度的一部分(今后户籍制度)尚未从根本上改革,行政区域仍然是永久乡-城迁移和流动的障碍 (Au和亨德森2002)当农民转移到城市找工作,甚至当他们大规模的就业,他们中的大多数依旧被当作二等公民对待。城市官员制订了严格政策限制农民永久从农村迁移到城市地区。农民工不能获得同样水平的社会保障福利,住房补贴以及他们的孩子不能够接受高质量的教育他们的孩子,正因为有些人被户籍制度视为“城市居民”(王,2004)。

法律框架下土地所有权的转变,政府主导的一个更快的城市化的过程,导致数以千万计的农民的补偿和失业,引起了流离失所的农民的投诉(汉,2005)。同时,农村发展破坏了农村土地制度引起了一系列问题。由于农村的人口压力,频繁的农业用地必须进行重新分配(罗泽尔,2002)。

因此,对中国城市化进程的展开将促进国家的现代化,就必须克服在城市化的过程中所面临的具有挑战性的问题。迁移农民需要永久定居在城市所提供的基础和获得公共服务均等化，这需要市政府城市同行。城市发展还需要购买土地,并且这样的交易需要采用市场价格和获得法定方式征用农村集体和农民所有的土地。土地征用后，城乡土地价值的增长,至少部分归因于城市增长和基础设施的发展,采用合理的税收制度使土地开发和得到的收入用于其他地区迁移农民以及在本地被剥夺土地的农民的城市基础设施和社会保障,。还有需要政策允许顺利转移资产(特别是土地)从那些失去土地却依旧住在农村地区农民,这样可以减少释放额外的土地和农村土地重新分配压力。

令人惊讶的是,尽管解决这些问题及其迫切，但到目前为止,很少有文献考察政策过程,因此必须落实到位,以确保中国的城市化以一种健康的方式进行。为了解决缺乏理论研究问题,我们的论文在,一个集成框架下,分析中国在经济转型和发展中所面临的三大政策挑战，即：由于缺乏对农民工的社会保障导致了暂时迁移,由于频繁的土地再分配导致农村集体所有的土地缺乏安全感以及由于缺乏市场参与的土地过度征用是转型中的中国所面临的主要挑战。在分析这些政策之间联系的基础上,，同时提出整体政策方案来解决这些问题。

本文还将有助于从理论层面分析中国在经济转型和发展的早期不同政策的变化,以及如何进一步改革以实现平滑过渡。虽然中国零散的改革方法在过去的两年半相对起到了一定的作用,但需要一个全方面的方法来进一步改革以确保一个完整的过渡。同时,改革策略应该是批判性的继承,而不是抛弃所有。现有制度安排的某些功能,通过激进的调整可以避免和使改革更有弹性。其他篇幅以如下思路进行。在第二部分中,对三大政策问题分别进行了讨论。第三部分概述了目前政府应对这些政策的变化,分析了这些反应的零散性和被动性。第四部分提出用一个综合方法探索三个重要的政策问题之间的联系和分析中国特色的含义,也就是说，一个转型中的发展中大国如何进一步改革。在第五部分,在提出了一种全面的政策改革的系统之后，进一步讨论影响；和第六节总结。

二、主要的政策问题

城市化过程中的暂时迁移

虽然在过去两年来见证了一个渐进放松劳动力流动的经济改革与传统户籍制度的限制的放松，建立在改革时代的旧的制度安排,是户口制度的一部分，还没有从根本上改变城乡流动的障碍，跨行政区域(林，2003)。早期的改革,没有发生大规模的城乡流动,因为农村剩余劳动力大多流向了乡镇企业，在农村地区,国家政策倡导的“离土不离乡”在1980年代和1990年代初,继续阻碍了城市化的发展(Oi,1999)。由于城市经济的快速发展，自1990年代中期以来,劳动力不再从事务农工作而是农村地区的其他工作，形成一个巨大的流动人口主要是从事临时低端城市街道清洁等工作,零售服务、家政服务和建筑(陈和张,1999)。2000年全国人口普查表明,到2000年中国已经有1.21亿名农民工(定义为个体在过去一年至少6个月的流动)，其中9000万被发现在城市地区和8840万起源于农村地区(国家统计局,2002)。杨和周(1999)观察到,中国城乡独特的劳动力流动模式：大规模城市流动人口主要从事临时工作,而在许多其他发展中国家农村人口迁移到城市地区在城市化的过程中发挥了核心作用。据国家统计局(2002),只有百分之七的农民工和他们的家人，尽管一些富裕的农民工永久定居在城市,但绝大多数农民工并没有获得城市户口。

这是一个特别有趣的问题，今天城市户口意味着什么。在计划经济期间,它不仅意味着居民的合法权益,城市就业和与工作相关的福利,如住房、医疗保健和养老金,还享有城市人们的粮食配给口粮的必需品,如谷物和煤油。随着经济改革的深入，与城市户口相对应的权益,如居住的合法权益和商品配给,已经于1980年代末和1990年代初废除。自1990年代中期以来,大多数城市居民开始获得医疗保险，失业保险,养老通过雇主重组国有部门开始,传统的单位系统遭到了破坏。然而,城市居民仍然得到城市所提供的福利特权，这在很大程度上是农民工所不能获得的。目前,主要包括社会救助的特权(在中国的情况下,所谓的“最低生活标准保障计划”)和某些形式的从本地公共住房资助中所提供的城市住房补贴。此外,农民工的孩子通常不能够就读于城市公立学校或者要花很大的代价进入公立学校(邝,2004)。4总的来说,虽然随着经济改革的不断深入，城市中与户籍相关的各种权益不断减少,但户籍制度仍然限制某些为城镇居民户口提供的服务,也限制了城乡永久性迁移。

三、总结

在过去两年中，中国的经济转型受到称赞,因为它采用了实践的方法“摸着石头过河”(林,2003)。然而,中国已经发展到一个阶段,实践的方法,尽管仍然有用,但将不足以促进中国经济的可持续发展。实现到市场经济的完全过渡,需要以系统的方式而不是零碎的方式进行进一步的改革。本文所探讨的户口和农村土地制度的进一步改革,需要国家的支持和地方政府配合。

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Urbanization, Rural Land System and

Social Security for Migrants in China

RAN TAO* amp; ZHIGANG XU**

*University of Oxford, UK and Chinese Academy of Sciences (CAS), Beijing, China,

**Chinese Academy of Sciences (CAS), Beijing, China

Final version received October 2005

ABSTRACT Temporary migration due to lack of social security for migrants, rural land tenure insecurity due to frequent land reallocation and abusive land requisition due to lack of functioning land markets are all major policy challenges that China is facing in its yet-to-be finished economic transition. Although there have been intensive studies and various policy recommendations on these issues, most discussions have so far neglected the close interrelationships between these issues and have failed to analyse them in an integrated framework. The paper aims to establish such an analytical framework. By taking into account the impacts of Chinarsquo;s characteristics, that is a large developing country in transition, on the countryrsquo;s migration and rural land policies, we propose a policy package to address these challenges in a holistic manner.

I. Introduction

One of the key steps in the development process is urbanisation: the growth of cities that allows for the building of factories and urban residential communities. Urbanisation shifts the population from rural to urban areas, allowing employment to shift from rural-based agricultural sectors to the primarily urban-based manufacturing and service sector, and continues until rural nations turn into urban ones and backward countries become modern (Chenery and Syrquin, 1975).

For this to happen, three conditions need to be met:

(1) Conversion of agricultural land that allows the building of factories and urban housing and infrastructure, meaning the displacement of farmers from land around the cities in the process of urbanisation.

(2) A set of institutions that encourage farmers to move from rural to urban, and from agriculture to manufacturing and service sectors. This would require a way to finance such migration and insure the migrating farmers throughout what is inherently a risky process (Todaro, 1969; Stark, 1991).

(3) Since the process of development is a gradual and long one, the system must allow those who are left behind in the first wave of migration to be able to access resources (income) that they need, in order to be able to get themselves ready to move in the coming years, either in this or even the next generation.

China, with the fastest growing economy in the world, is currently in the middle of its drive to urbanise. Sustainable urbanisation is especially needed in the case of China, given its legacy in which the expansion of cities and rural to urban mobility were artificially limited. Though economic reforms since the late 1970s have witnessed a gradual loosening of labour mobility restrictions that used to exist during the planning period to prevent urban unemployment, the old institutional arrangements that were part of the nationrsquo;s Household Registration System (henceforth, the Hukou system) have not been fundamentally reformed and have remained as obstacles to permanent rural-urban migration and to movement across administrative regions (Au and Henderson, 2002)1 When farmers moved to the city looking for work, even when they found productive employment, they mostly were treated as second class citizens. Urban officials place strict limits on permanent migration from rural to urban and across regions. Rural migrant workers cannot have access to the same level of social security benefits, housing subsidies and access to high quality education for their children, as people who are officially classified by the Hukou system as lsquo;urban residentsrsquo; (Wang, 2004).

Under a problematic legal framework for land use change, state-led land requisitions became pervasive in a process of faster urbanisation, which has left tens of millions of farmers under-compensated and jobless, and has resulted in bitter complaints from the displaced farmers (Han, 2005).2 At the same time, rural development has been undermined by existing problems in the rural land system. Owing to demographic pressure within villages, frequent agricultural land reallocation has to be carried out (Rozelle et al., 2002).

Consequently, for Chinarsquo;s urbanisation process to unfold in a way that will facilitate the nationrsquo;s modernization, it has to overcome the particularly challenging set of issues it is facing in the process of urbanisation. Migrating farmers need to settle down in cities on a permanent basis and obtain equal access to public services provided by city governments for their urban counterparts. The purchasing of land for urban development is also needed, and such transactions need to be carried out at market prices and in a way that obtains the approval of the rural collectives and the farmers who own land. Since the rise in land value in the rural-urban land use changes can be, at least partly attributed to urban growth and infrastructure development, there is a rationale to tax the proceeds from such land development and the collected revenue can be spent on urban infrastructure and even social security for migrating farmers from other regions, as well as locally dispossessed farmers. There is also a need for policies that will allow for the smooth shift of assets (especially land) from those that moved out to those that are staying in rural areas, so that extra lands can be released to reduce the pressures on rural land reallocation.

Surprisingly, despite the necessity of addressing these issues, there has been, up to now, very little literature that examines the policy process that would have to be put into place to ensure that Chinarsquo;s urbanisation proceeds in a healthy way. To overcome the absence in literature of a dis

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