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1、华中科技大学博士学位论文农业产业化过程中均分地权和规模化经营研究姓名：邵春杰申请学位级别：博士专业：管理科学与工程指导教师：邹珊刚20050427 I 摘 要 中国长期的农耕经济在很大程度上支撑了人口增长的同时也带来了对工商业的抑制人口的激增最终使人地关系高度紧张演化成了长期抑制工业强盛的资源强约束新中国成立后的周边地缘政治紧张和工业强国思想必然形成以国家的力量推动重军工业发展的战略为了降低和亿万小农交易的成本政府采取了农地集中以全额抽取农业剩余城乡分割和控制城市居民收入全额抽取城市剩余的三位一体战略措施短期内就在全国范围内建立了相对完整的国民经济体系但按人口平均分配生活资料的利益机制所导致的
2、鼓励人口增加投入抑制进一步降低了禀赋条件并最终导致农村集体经济制度的自行瓦解重新恢复了农地个人使用的制度安排 人地关系的日益紧张成为长期约束后农地使用权的均分就成为农村社会经济稳定的必然选择这就必然导致农业经营的细碎化特征在国家无力支撑庞大农业人口基本保障功能的现实约束下这种功能也就自然落在了农地上同时农地通过实行归集体所有禁止市场化流转和承包制 50 年不变来最大限度地保证农地个人使用的长期稳定性但也因此造成农地基本保障功能以外的商品化比率低下农地的规模化经营难以采用以市场的力量集中农业资源加以推进 承包制的制度激励和农业技术进步的双重作用使农地产出率不断增加导致农户由生存目标转向市场化目标
3、小农细碎化经营在面对农产品庞大市场需求过程中无疑会造成交易成本畸高不下市场风险居高难降的局面追求规模化经营就成为亿万小农满足生存目标之后市场化经济目标的迫切要求另一方面随着城市居民生活水平的提高原有的农产品流通环节国家垄断经营的模式已经远远不能满足居民对鲜活农产品的需求农产品流通领域开始产生了向较大规模资金集中的市场推动力农业流通企业得以迅速成长为了保障有稳定的农产品来源农业流通企业和众多小农交易也面临着交易成本不断推高市场风险不断加大的局面将为自身提供农产品的小农加以规模化组织就成为农业企业追求稳定经营的迫切需求因此在农地使用权均分和农产品流通市场需求的双重作用下农业规模化经营得以产生 II
4、 基于上述现实约束本文从以下几个方面对均分地权条件下农地规模化经营进行了研究提出以下重要观点 第一提出农业规模化经营模式是采用企业化的形式得以实现均分地权制度安排下的农业经营现状是农业分散经营的非组织化所产生的高昂交易成本以公司+农户的规模经营组织模式在农产品流通市场体制不健全的条件下不可避免地导致高的违约率同样推高交易成本针对前者的现状论证了要通过农业产业化经营来有效降低交易成本针对后者现状应用交易成本理论论证了现实中以订单农业为农业产业化组织模式同样无法有效降低交易成本由此提出有效降低交易成本的产业化经营就是农业产业化过程的企业化实现模式将农户和企业间的市场交易行为转变成企业内部的经营管理
5、行为并论证了只有实现这种行为的转变才能有效降低农业产业化过程中的交易成本 第二提出农业流通环节规模化经营的企业化实现模式是农产品市场的企业化运作农业产业化过程的企业化实现首先要实现农产品流通环节的企业化运作但流通环节在农地均分之后走向两极政府的垄断经营和农户的细碎经营由此形成两种市场结构共存局面垄断性市场和竞争性市场两种市场结构都会极大地抬高市场交易成本能够有效降低交易成本的产业组织应是市场竞争和规模垄断的平衡因此 综合运用交易成本理论 全面分析目前我国农产品流通环节的市场特征 提出 流通环节产业化过程的企业化实现模式这种模式具有以下市场特征首先能够有效降低流通环节的资产专用性高交易不确定性大
6、和交易频率高所产生的高昂的交易成本其次产业经济学理论中的产业组织 SCP 分析框架认为市场结构决定市场行为进而市场行为决定市场绩效但企业化运作模式则是企业化运作所产生的良好市场绩效能够促进农业产业化组织形成合理的市场结构进而产生规范的市场行为最后从目前订单农业的产业化经营模式来看运用不完全合约理论解释了我国目前市场经济制度不健全的条件下农产品合约履约率低下的内在原因在于合约具有 先天不完全 的特征 这种特征会极大地抬高市场不确定性所导致的交易成本由此论证了采用农产品流通市场企业化运作的模式能够有效降低交易成本和消除订单农业中低的履约率 III 第三提出农业生产环节规模化经营企业化过程的低成本实
7、现运用制度经济学理论提出企业化过程应采用变更地权实现形式将农户和企业之间由商品买卖关系转变为生产管理关系从农地使用权均分所产生的农业生产细碎化的现实出发提出农产品生产环节只有通过将农户纳入企业实现生产环节企业化才能消除订单农业所导致的履约障碍并应用委托-代理理论中提出不完全信息下企业化过程的低成本均衡实现就是在低效率农户产量增加给企业带来的边际收益和高效率农户所获得的信息租金给企业带来的边际成本之间取得平衡并通过对合约设计对不同效率的农户给予最大效用的租金选择并对低效率的农户设计严格为负的效用以此建立遴选机制来促使高效率的农户和企业签订生产合约并由此选定和高效率农户建立长期合作关系生产环节的企
8、业化过程由此可以实现低成本均衡 第四提出开放条件下农业规模化经营的政府职能的作用开放条件下农业在国内市场国际化竞争开始显现的情况下必须加强政府对农业的扶植在农业用地均分地权的产权制度安排下研究在开放的国内国际市场环境条件下构建农业规模化组织的合理市场结构和规范农业企业的市场竞争行为提出政府对农业规模化经营的政策导向为在中国特定环境中提高农业产业化经营的效率提供理论依据实现在宏观政策层面上对农业产业化目标的推进 由此可见均分农地使用权条件下农业规模化经营要通过企业化得以实现而企业化实现形式在流通环节表现为能够有效降低交易成本的流通市场企业化运作在生产环节则表现为通过合理设计合约选择高效率的农户从
9、而有效提高生产效率降低生产成本的企业化过程 关键词农业产业化 均分地权 交易成本 农业企业化 IV Abstract While the Chinas long-term farming economy has sustained to a large degree the growth of Chinese population,it gives rise to the constraint of industry and commerce.The harsh demographic growth finally has turned“the intense tension between
10、land and people”to a strong resource constraint which has confined the prosperity of industry for a long time.The peripheral political tense and the idea of“powerful industrial country”after the foundation of New China are bound to stimulate the formation of new strategies,casting new nation-wide im
11、petus to accelerate the development of heavy industries.In order to cut off the transaction cost with billions of farmers,the government adopted a“triple”strategic policy including drawing out full bill of agricultural surplus by concentrating the farm land,and drawing out all urban surplus through
12、urban-suburban division and controlling urban citizens income,and thus established a comparatively consummate national economic mechanism in a nation-wide scale.Whereas the distribution mechanism that conventionally allocated the living material according to heads number has led to the growth of pop
13、ulation and input constraint,which further receded the endowment conditions and ultimately gave birth to the automatic disintegration of urban collective economic system,and resumed the assignment of private using of farm land.Since the continuous tense between people and land had been a rooted impe
14、diment,the fractionizing of farm lands ownership has now become an inevitable choice for stability of urban social economy,yet which then leads to the fracturing characteristics of agricultural operation.Under the condition that our government could not afford to the basic sustenance function of agr
15、icultural population,the function naturally falls back to the farm land.And at the same time our government strives at their outmost to ensure the persistent stability of private using of farmland through collective ownership,banning of market circulation and constancy of responsibility system in 50
16、 years.However,because of this,it creates the current situation of low merchandising rate of products of non-basic ensuring functions of farmland,and the handicapped development of farmlands scaled V operation through converging the market forces.The stimulation of responsibility systemand dual effe
17、cts of agricultural technological development has worked out a constant increase in farmland productivity,and turned the conversion of farmers initial focus on subsistence to now marketabilization.Confronted with enormous demand of farming product,the“fracturing”characterized small-scale farming eco
18、nomy will surely lead to the birth of tortured high transaction costs and extremely high market risks.The pursuit of scaled operation then becomes the pressing demand for marketabilized economy of billions of farmers after their satisfying the basic requirement for subsistence.On the other hand,with
19、 the rise of living standards of urban citizens,the original state-monopolized operation pattern of farming product circulation has now been a far cry from that which is capable of fulfilling the peoples demand for fresh farming products.Market impetus characterized by a conspicuous convergence to l
20、arge-scale capital has now begun to take birth in the farming products circulation fields with which agricultural circulation enterprises spring up promptly.Purposed to guarantee the stable farming product sources,both agricultural circulation enterprises and numerous small-sized economies should se
21、t out to handle the problems of increasing transaction cost and rise of market risks.Thus it becomes an urging priority for agricultural enterprises to organize their suppliers in considerable dimensions.Therefore,under the dual influences of average ownership system of farming land and constant dem
22、and for farming products in circulation market,agricultural scaled operation takes its birth.Based on practical constant above,this article conducts the analysis to agricultural scaled operation under average ownership system of rural land in following phases and proposes several following views:Fir
23、st of all,the realization of agricultural scaled operation should be via the form of agricultural corporation operation.The current condition of agricultural operation under average ownership system of rural land is that the disorganization of disparate agricultural operation stemming high bill of t
24、ransaction cost and“corporations&farmers”organization pattern of scaled operation will both inevitably give birth to high-rocketed default ratio and a further stimulus of high transaction cost under the handicapped mechanism of farming products circulation markets.VI This paper,as far as the current
25、 situation of the former,proves that the way to reduce transaction cost should be in the form of agricultural industrialization,and as for as the later,by transaction cost theory,proves that we still cant reduce transaction cost efficiently with“order agriculture”working as the organizational mode o
26、f agricultural industrialization.Therefore,the paper suggests that the industrialization to cut down transaction cost efficiently is“agricultural industrialization in the form of corporation operation”,which transform the market transaction between farmers and companies into the companies internal o
27、peration.This paper also establishes that its the only way to efficiently reduce the transaction cost in the process of agricultural industrialization is the implementation of this kind of transformation.Secondly,propose that corporation operation on farm products market is the implemented pattern o
28、f corporation operation scaled in agricultural circulation.In order to implement companization in the process of agricultural industrialization,we need to implement corporation operation in farm products circulation firstly.But the circulation process goes into two poles after averaging farmlands:on
29、e is governmental monopolized managing,the other is individual management by peasants.Thus,there are two market structures,monopolistic market and competitive one.Both of them can drive up infinitely the transaction cost.The structure of industry with balance between competitive and monopolistic can
30、 reduce transaction cost efficiently.Hence,we present the companization implementation mode in the industrialization process of circulation by the theory of transaction cost synthetically and analyzing present market characteristics of our farm products in circulation process roundly.This mode has m
31、any market characteristics as follows:first of all,reduce large transaction cost efficiently in circulation process which is caused by the high exclusive assets,the big uncertainty and high frequency in transaction.Secondly,SCP analyzing frame in the theory of Industrial Economics told us the perfor
32、mance is determined by activities and the activities is determined by the structure of the market.However,corporation operation mode is goof performance by operating companization,and can promote organization in agricultural industrialization to form reasonable market structure,VII thus it can bring
33、 normative activities.Finally,seen from present“order agriculture”of Industrialization management pattern,the theory about incomplete agreement can explain why agreements about farm produce have low rate of fulfilling on condition of present handicapped policies of market economy.The ultimate reason
34、 is innate incompletion of the agreements.This character can drive up infinitely the transaction cost by market uncertainty.All of these prove that using the pattern of corporation operation in farm products circulation can reduce transaction cost efficiently and enhance the rate of fulfilling in“or
35、der agriculture”.Thirdly,propose how to implement low cost in the process of scaled running in agricultural production.The writer proposes four issues.First,adopting implementation pattern of varying land ownership can translate the relationship between farmers and enterprise from commodity buy-sell
36、 to manufacture-manage by the theory of Institutional Economics.Second,none can eliminate“order agricultural”obstacle about fulfilling,but bring farmers into enterprise and implement companization in agricultural production,considering the truth of agricultural production divided in pieces because o
37、f averaging the land ownership.Third,how to implement low cost equilibrium in the process of companization with incomplete information is keeping a balance between the enterprises marginal income brought from increasing low efficient farmers production and enterprises marginal cost brought from the
38、farmers information rent who own high efficiency.Four,found choosing regulation to promote high efficient farmers and enterprise to sign production agreements,thus establish long time relationships with high efficient farmers already chosen,meantime,implement low cost equilibrium in the process of p
39、roduction companization by designing agreements,providing utility-maximization choices of rent for farmers with different efficiency and designing strictly minus utility for low efficient farmers.Finally,present the role government plays in the scaled agriculture management under opening condition.U
40、nder opening condition,agriculture begins to have international competition in home market,so government must strengthen the support for agriculture.Under the arrangement of property right institution about averaging farming land VIII ownership,we investigate constructing reasonable market structure
41、 for scaled agricultural organization and standardizing agricultural enterprises competing activities on condition of opening home and international market,then propose government oriented scaled agricultural management by policies.All of these are to provide theory for enhancing agricultural indust
42、rialization management efficiency and to advance the goal of agricultural Industrialization in the macro policy layer.All of these shows that scaled agricultural management need companyization to implement under averaging farm land ownership.The implement pattern displays corporation operation in ci
43、rculation market with reducing transaction cost in circulation efficiently,and a process of companization about designing reasonable agreements to choose high efficient farmers,thus improving production efficiency and cutting down production cost in the process of production.Key Words:Agricultural i
44、ndustrialization Average land ownership Transaction cost Agricultural corporation operation 1 1 引言 1.1 主题提出 新中国在刚刚建立之初就以平均分配地权的制度安排为农户按人口数量均分了土地但随着国家主导的以经济赶超为主体战略思路的工业化的全面开启在地缘政治关系紧张的环境下不可避免的要实行以自我剥夺为主的工业化道路在中国这种资源禀赋结构低下的农业大国实行工业化不可避免地要面对高度分散和剩余太少的传统小农进行工业化的资本积累为了降低和数额庞大的小农交易所导致的交易成本以合作化运动为主要内容的农业生产
45、组织方式开始了农地集体化的小规模经营模式并以集体经济为单位与中央政府实现农产品的交易使中央政府和小农交易的数额从四万万降至七万一方面在农村集体经济内部按照人口平均分配生活资料的利益机制导致了事实上鼓励增加人口压抑劳动投入1(温铁军,1998)从而造就了一个集体偷懒的低效率的组织体系2(石磊,2002)另一方面由中央政府实行对农业剩余的全额提取封锁城乡以维持城市居民最低生活保障体系提取城市工业剩余的三位一体制度重军工业的发展战略导向不仅农业劳动力无法随着工业化进程实现向城市工业的转移就是城市劳动力也会因工业化进程对劳动力的排斥而定期向农村下放造成农村经济发展的严重阻滞和效率抑制最终导致农村集体经
46、济制度自行瓦解1978 年作为诺斯意义上的初级行动团体3安徽小岗村的农民自发地对农村土地制度的变革重又开启了我国土地的集体所有个人使用为主体形式的农业土地产权制度模式恢复了事实上的传统小农分散经营模式使在上个世纪 50年代实行了 20 多年的一定规模下集体合作经济再次转变为以农户为单位的分散化经营方式当时背景下由于以家庭合约替代了集体合约极大地调动了农民从事农事生产的积极性农业生产率有了大幅度地提高短期内就解决了困扰国民多年来的吃饭问题 随着市场经济体制的逐步确立农产品也逐渐开始了它的市场化进程小农生产在提供了满足自身生存保障的生存资料之后大部分农户都能够拥有一小部分的 2 农产品剩余和以前集
47、体化经营的情况相比农产品的市场交易无论在数量上还是在品种上都较之以往增加了许多但毕竟中国巨大的农户数量使土地这种农业生产最为重要的生产资料在承包这种制度安排下被无限析分农业生产也不可避免的呈现出分散化经营格局在市场经济体制还不健全的条件下农产品的生产加工等各环节和市场衔接的链条呈断裂状态市场交换的实现程度极低农产品市场交易成本颇高分散的小型农户开始真正面对不确定的市场农民的小生产状况日益受到大市场的挑战这就形成了单个农户少量的农产品剩余和区域内农产品的大量市场交换相矛盾即农业细碎的小生产经营与市场经济体制下规模化经营的矛盾相冲突流通环节在国家和地方政府垄断经营的条件下和市场经济体制的要求极不协
48、调无法满足短期内增多的农产品市场交易的需求最终演变为卖粮难和粮食收购环节中的打白条等现象矛盾的不断激化引发了一系列社会政治经济问题因此解决在农地承包的均分地权条件下如何实现农业的规模化经营无疑是现实中所面临的亟待解决的问题也是本课题的研究所具有的现实意义 目前农业小生产模式在社会保障制度还不健全的条件下中国农地使用权的细碎化特征使农业的市场化组织无法在较大范围内自发地产生和完善单个农户的资金积累受到严重的限制在 2004 年国家对农业投入改善之前农业投资基本上无法获得正常的社会平均利润以至于造成农业金融资本不断流出农业的现象使原本极度匮乏的农业投资更是雪上加霜农业基础设施和生产技术条件呈现持续
49、低劣化的趋势即使在 2004 年农民收入有所缓解但也无法通过从事农业获得较大幅度的收入增长来源仍然无法缓解资金对农业发展的约束农业生产的投入不可避免地继续采用劳动替代资本的方式和同等收入的国家农业生产效率相比劳动生产率低下的局面难以逆转并且在农业生产物资供给方面如化肥种子农药农用机械等等在农产品销售方面如粮食棉花油料等大宗农产品以及一些农副产品却都是由国家或地方政府垄断经营农业资金短缺加上行政垄断经营不能很好地进行市场化运作农资供应和农产品销售两大环节也都未能有效降低市场交易成本这都造成农产品生产过程中的产前产中和产后各环节和市场不可能很好地衔接因此 3 改变现行农业生产组织模式 建立和完善农
50、业生产各环节的微观组织市场化 规模化组织化专业化的运作模式进一步提高农业生产效率有效降低市场交易成本同时通过市场力量来维系专业化分工的产业组织也能使农业规模化经营在一定程度上依靠市场的力量加以维系这就需要研究如何既能保证农地承担农民生存保障功能又能很好地实现生产环节的规模化经营和市场化运作如何既能保证农资供应和农产品销售的战略性地位又能通过市场化运作而有效降低交易成本这些问题的研究都是目前我国面临的亟待解决的现实问题并且研究的深入也需要对现有理论进行较大创新 事实上在一些经济较为发达的地区 或农民从事非农产业的收入来源比较稳定或农民具有从事高附加值农业的稳定来源农地正逐步脱离农民的生存保障功能