1、集体林权制度改革中的林地林木流转研究（作者：谢屹，导师：温亚利教授）摘要 长期以来，我国集体林经营主体多，规模小；经营管理水平落后，收益低；集体林产权不清晰，主体收益缺乏保障。党中央 国务院于 2003 年颁布关于加快林业发展的决定后，我国于 2004 年在福建、江西、浙江、辽宁等省开始了新一轮集体林权制度试点改革。至 2008 年，党中央 国务院出台了关于全面推进集体林权制度改革的意见 ，林权制度改革得以在全国正式实施。此次改革成为深化农村改革的重要内容和重大举措，被认为与“家庭联产承包责任制”具有同等重要的意义，有助于解决“三农”问题中的核心问题“农民增收”问题，并激发林业生产经营积极性和
2、提高林业生产力水平。本研究以江西省集体林权制度改革中的集体林地林木流转作为研究对象，基于对该省集体林权制度改革的分析，总结了流转面对的新制度安排，以及流转对改革目标实现的作用；通过分析流转现状，总结了流转特点，并确定了需深入研究的命题；通过比较农户实际流转收益与理论流转收益，分析了流转收益是否具有合理性；基于林地林木转出方农户的主体特征和流转行为的分析，探析了农户流转行为的影响因素；基于受让方主体特征和流转行为分析，探析了在制度约束下的受让方主体行为；针对流转现状，探析了政策规制的形成、体现及发展趋势；文章最后提出了政策建议。本研究采用了规范研究与实证研究相结合的研究方法。规范研究主要用于分析
3、林地林木流转现状及特点，流转主体特征，流转相关制度安排等方面。在实证研究中，运用了描述统计方法、二分类 Logistic 回归模型、多元线性回归分析模型、福斯特曼（Faustmann）林价公式、林木销售价法等定量分析方法。其中，二分类 Logistic 回归模型用于分析农户是否转出林地林木的影响因素；多元线性回归分析用于确定，在转出林地林木的农户群体中，上述因素的影响是否具有差异。基于福斯特曼林价公式，分别推导了农户理论流转收益、受让方理论管理费计算公式型。林木销售价法用于计算活立木理论流转收益。通过实地调查和二手资料收集，获得了分析所需数据。本研究结论如下：第一，集体林地林木流转的开展情况对
4、于集体林权制度改革目标实现的影响重大；第二，集体林地林木流转现状反映了现行流转制度安排；第三，农户通过流转得以增收，但流转收益并不完全具有合理性；第四，农户转出林地林木行为受制度认知程度、非农生产活动、林业生产投入和家庭状况等多层面因素影响；第五，受制度约束影响，受让方流转行呈现差异性；第六，政策规制的存在，影响了流转市场发育。本研究提出的政策建议为：第一，进一步明确林业管理部门职能，淡化中介服务角色，加强行政管理职能；第二，完善流转市场机制，允许多种流转模式共存；第三，发展中介服务组织，建立中介服务组织资格准入制度和考核制度，以确保中介服务的质量；第四，推动农户合作组织形成，实现生产要素汇集
5、，提高农户流转选择权；第五，完善林业生产制度、采伐限额制度，适度增加采伐指标额度。关键词： 集体林，产权，林地，活立木，流转，规制Study on the Institutional Reform of Collective Forest Property Rights and Forest Transfer in Jiangxi Province(XIE Yi Directed by Prof. Wen Yali）Abstract The main objective of this study is to examine the ongoing property right reform
6、of collective owned forests and to investigate the factors that determine forest land and stumpage transfer. By analyzing the collective forest property right reform, institutional arrangements on forest land and stumpage, and transfer status, we assessed the effects of the forest transfer on the ac
7、hievement of the aims for forest property right reform. The benefits for farmers to manage the forest for timber production were compared with the income from transferring the forest land and stumpage. Through this comparison we determined whether the farmers received reasonable benefits when transf
8、erring their forests. Moreover, based on a examination of farmers characters, the paper analyzed the factors which affect their behaviors. Those who were willing to introduce forest land consisted of companies that were engaged in managing forests, and those to introduce stumpage being timber busine
9、ssmen. Formulation, representation and tendency of policy regulation were disscused by analyzing on current transfer, and then policy advices were put forward in the end.Normative and empirical study methods were jointly applied in the research. The normative study method was mainly used to analyze
10、status and characteristics of forest land and stumpage, characters of the parties involved in the transfer, institutional arrangement of the transfer, etc. The empirical study methods consisted of Descriptive Statistics, Multinomial Linear Regression Model, Binary Logstic Regression Model, Faustmann
11、 Froest Price Formula, Forest Sale Price Method etc. More specifically, a Binary Logstic Regression Model was used to analyze factor affecting whether farmers transferred forestland and stumpage or not, and a Multinomial Linear Regression Model was applied to analyze factors affecting the quantities
12、 of forest land and stumpage transferred by farmers. Based on Faustmann Froest Price Formula, a comparative analysis model was set up to compare benefits from transferring forest land and stumpage and keeping them for producing timber. Another model was used to compare theoretic and actual forest ma
13、nagement costs. The Forest Sale Price Method was applied to calculate theoretic benefit from transferring stumpage. Data for the study were collected by field survey and collection of second-hand material. The main conclusions of the study include: 1) the transfer of collective forest land and stump
14、age will determine to what extent the aims of the current institutional reform will be achieved; 2) at present the transfer is highly affected by the transfer institution, while the requirement of transaction in the market is not suited to farmers; 3) farmers earn money from the transfer, while they
15、 do not benefit reasonably from the transfer; 4) farmers economic activities are not completely rational, and their economic behaviors are affected by cognitive degree on the institution, non-agricultural production activities, investment in forestry, and family status; 5) there are large variations
16、 among those who take over different forest lands and stumpages, however they all try to maximize their owns profits; and 6) policy regulation plays negative influence on the development of transaction market. Five concrete suggestions are put forward in the end. Firstly, marketing mechanism of tran
17、sfer is to be perfected，and multiple transferring models are to be allowed. Secondly, administration of forest management, including the distribution of logging quotas, should be improved. Thirdly, forestry administration agencies should reduce their role as brokers and strengthen their administrati
18、ve function. Fourthly, formulation of cooperation organization for farmer is to be promoted, which will do benefit to forest resource accumulation, and make farmers have more options. And finally, agency service organs should be developed, and relevant institution should be set up to insure service quality. Key words Collective Forest, Forest Land, Property Right, Stumpage, Transfrer, Regulation
