【作者】 刘俊浩；

【导师】 戴思锐；

【作者基本信息】 西南农业大学 ， 农林经济管理， 2005， 博士

【摘要】 改革开放以来,农田水利建设滑坡,农村社区农田水利供给严重不足、运行困难,对农业生产和国家粮食安全乃至世界粮食安全产生了一定影响。学者和实际工作者已经意识到了问题的严重性,从农村税费改革、水利产权制度、水利产业组织等多个方面进行探讨,试图解决这一问题。本文对农村社区农田水利建设组织动员机制的研究,以农田水利建设组织动员机制是农田水利建设成败的关键为出发点,希冀达到三个目标:第一,探讨农田水利建设组织动员机制的演变及其规律,揭示农田水利建设组织动员机制有效性的根据;第二,评价农田水利建设组织动员机制的绩效,寻找提高农田水利建设组织动员机制效率的新途径和新机制;第三,判明当前农田水利建设陷入困境的根源。为促进农田水利建设健康发展提供政策依据。 一、主要研究结果 1、“依存性制度变迁”是农田水利建设组织动员机制的演变特征 农田水利建设国家动员机制的强化过程是整个制度结构变迁引起的,是在国家强制性制度变迁—推行计划经济体制背景中形成的。农田水利建国家动员机制弱化则是在计划经济体制衰落、家庭承包制兴起、国家偏好发生变化的背景下发生的。家庭承包制的示范作用、国家动员机制弱化、农田水利产权制度改革、外援项目实施等,催生了农田水利建设的社会动员机制。“依存性制度变迁”的结果是,改变了农田水利建设组织动员机制的格局,即由国家动员机制的单一格局演化为国家动员机制主导并与社会动员机制共存、互动的格局。 2、农田水利建设国家动员机制的高效率不是必然的 根据公共品理论和国家理论,似乎可以得出,农田水利建设国家动员机制是有效率的。但是,研究表明国家动员机制不总是有效率的。在计划经济体制下,国家动员机制从总体上讲是有效率的;经济体制转型使国家动员机制弱化了,它的效率总体是下降的。当然,在市场经济体制下,国家动员机制并不一定总是低效的。考察改革以来农田水利建设特别是“九五”时期的情况,我们发现,第一,国家在大中型农田水利建设中仍然发挥着不可替代的作用;第二,在劳动替代资本的农田水利建设方式下,国家动员机制的有效性决定于其动员效率。如果在动员劳动力方面有制度化的安排(例如“两工”制度),并且各级政府高度重视,国家动员机制仍然可以有较高的效率。 3、农田水利建设社会动员机制尚需培育 农田水利建设社会动员机制发育较晚,尚不成熟,但就成功的实践看,农田水利建设社会动员机制是农村社区农田水利建设的有效机制。但是,农田水利建设社会动员机制的发展却不能令人满意,许多因素如“国家—社会”结构性质、国家政策法律法规、水权地权制度、灌区管理体制改革、农村精英状况等制约了农村社会组织的发育和发展。 4、农田水利建设组织动员机制的决策权配置及趋势 国家动员机制强化的实质是决策权配置给更多还原

【Abstract】 Since the reforming and opening-up of China, the construction of irrigation and water conservancy has been letting down: the supply is seriously insufficient and the running is difficult, which has certain effect on agricultural production, national grain safety as well as the world grain safety. Realizing the severity of this problem, many scholars and practical workers have carried on extensive discussions on it from several aspects, such as the reform of rural taxation, the property power system of water conservancy and the industrial organization of water conservancy, etc. This thesis focus on the study of the mobilization and organization mechanism of irrigation and water conservancy construction in rural community. Starting from the viewpoint that the mobilization and organization mechanism is the key to the success of the irrigation and water conservancy construction, the thesis hopes to achieve three main goals: First, to probe into the evolution and the evolution rule of the mobilization and organization mechanism of irrigation and water conservancy construction, reveal the foundation of the validity of the mechanism Second, to appraise the performance of the mechanism and look for a new approach and a new mechanism to improve the efficiency of the mechanism. Third, to ascertain the source of the trouble exists in the irrigation and water conservancy construction and offer the policy basis for promoting the healthy development of the construction.Main Research Results1. "Dependent system transition" is the main characteristics of the evolution of the mobilization and organization mechanism of the irrigation and water conservancy construction. The strengthening course of the national mobilization mechanism is caused by the structure transition of the whole system. It took shape in the national mandatory system transition-implementing the plannedeconomic system. The weakening of the national mechanism took place along with the decline of the planned economy system, the rising of the household contract system and the changing of the national preference. The exemplary effect of household contract system, the weakening of national mobilization mechanism, the property right reform of irrigation and water conservancy and the implementation of foreign aid project expedite the emergence of the social mobilization mechanism of water conservancy works construction. The result of "Dependent System Transition" is that it has changed the pattern of the mobilization and organization mechanism of irrigation and water conservancy construction, that is to say, from a single pattern of the national mobilization mechanism, the pattern has been changed into a compatible and interactive one in which national mobilization mechanism is dominant and linked with social mobilization mechanism.2. The high efficiency of the national mobilization mechanism is not inevitable. According to the public goods theory and the nation theory, it seems that the national mobilization mechanism must be efficient. However, studies have shown the truth is not the case. Under the planned economy system, the mechanism is efficient as a whole. But the transition of economy system has weakened it, so its efficiency has totally dropped. Under the market economy system, the national mobilization mechanism would certainly not be always in poor efficiency. Investigating the situation of the irrigation and water conservancy construction after the reform especially during the period of "the Ninth Five-Year Plan", we can draw the following conclusions: (1) the country is still playing an irreplaceable role in the large-and-middle-scale construction of water conservancy; (2) by the way of substituting labor for capital, the validity of the national mobilization mechanism is decided by its mobilization efficiency. If institutionalized arrangement (for example, the systems of" two workers ") can be made in mobilizing the workforce, and the governments at all levels pay close attention to it, the national mobilization mechanism can still have the higher efficiency.3. The social mobilization mechanism of the irrigation and water conservancy construction still needs improving. The mechanism developed a little bit late and is immature, but judging from the successful cases, it is still an effective mechanism of the water conservancy construction of rural community. Now, the development of the mechanism is unsatisfactory, and the development of the rural social organization has been restricted by many factors, such as the " Nation-Society" structure feature, state policies, laws and codes, the water right and land ownership system, the reform of the management system of the irrigated area and the status of the rural elites, etc.4. The allocation and the trend of the decision-making power of the mobilization mechanism of the irrigation and water conservancy construction. The essence of strengthening the national mobilization mechanism is that the decision-making power has been allocated to the country. According to the property right theory, the nation which is the "only" property right entity hasbecome the legal entity that exerts the powers and functions of property right. Speaking from the essence, the planned economy system is a kind of system arrangement that acknowledges the state property right not the private property right. Owing to the system arrangement, it is possible for the nation to control the various kinds of social resources and ensure the validity of the collective mechanism. When the decision-making power is spread to national agent and the society, the national mobilization mechanism is weakened relatively; and the social mobilization mechanism develops. The rising of the household contract system, the expensive cost of operating the planned economy system, and the advance of the market reform have made it an irreversible trend to spread the decision-making power. However, during the spreading of the power, the nation can still use the legal violence to keep some power and make the institutionalized arrangement for the decision-making power.5. The national mobilization mechanism and the social mobilization mechanism are still not harmonious. The social mobilization mechanism has relieved the rural community’s demands for the irrigation and water conservancy construction. However, the little water conservancy starts all over again, and does not match with the great water conservancy. In addition, the little water conservancy has lower cost and better service, which makes the great water conservancy run difficultly, even be left unused and discarded. The contradiction between the great and little water conservancy will result in the unbalanced structure, declined operating efficiency and functions of the irrigation and water conservancy system.6. It is difficult for the national mobilization mechanism of irrigation and water conservancy construction to fully represent the farmers’ interests. Because of the great number of farmers and lower systematization degree, the farmers usually have poor status in the power structure of national public choosing. The macrodecisions do not usually represent the farmers’ interests unless the "Country, Farmer and Agriculture" problems worsen further. This can be seen from the insufficient financial investment and the discriminated credit policy, etc. These phenomenon have caused the limitation of the national mobilization mechanism while solving the problem of the water conservancy construction of rural community.7. The decision-making mode of "one discussion, one matter" can’t meet the rural community’s need for irrigation and water conservancy. Under the frame of "Organic Law of Village Committees of the People’s Republic of China", the rural community public goods are provided by the way of same tax revenue for same price and by the "one discussion, one matter" principle for majority. The division of rural community members and the differences of interests orientation have showed that it is impossible to handle the insufficient-supply condition of rural community’s irrigation and water conservancy by this code.8. The mobilization mechanism root of the irrigation and water conservancy construction of rural community which has been bogged down. The construction is a typical collective action which includes more than one family. The success of the construction relies on the effective mobilization of the community members to take the collective action. Because the national mobilization mechanism has brought into great play in the mobilization and organization, our country has made enormous achievement in the water conservancy construction since the foundation of the state. And because of the weakening of the national mobilization mechanism and the insufficient development of the social mobilization mechanism, the construction presents the phenomenon of letting down after the rural reform. So the weakening of the national mobilization mechanism and the insufficient development of the social mobilization mechanism are the root reasons of present condition of our country ’s irrigation and water conservancy construction.9. The fanner systematization is the foundation of the irrigation and water conservancy construction of rural community. The construction is the collective action of rural community members, and the collective action need take the systematization as the carrier. Under the planned economy system, the efficiency of the national mobilization mechanism is caused by several aspects. The high systematization of farmer is the basic guarantee for exerting the function of the mechanism. The classifying farmer systematization not only helps the mobilization realize the high efficiency, but also makes the collective action have reliable carrier. After the household contract system is pursued, the national mobilization mechanism loses the organizing foundation because the farmers’ original organizational framework is disintegrated. And because of the low degree of the farmer systematization, the social mobilization mechanism is unable to play its due role. The construction is beset with difficulties. So farmer systematization is the foundation of the irrigation and water conservancy construction of rural community.Main Innovation Points(1) Having changed the visual angle of study There are lots of researches about the impacts of rural taxation reform on the irrigation and water conservancy construction, the industrial organization mode, water-saving dealing of agricultural irrigation and the property right system of groundwater irrigation. Nobody analyzes the problem in terms of the collective organization and mobilization mechanism. In fact, as a kind of collective action, the construction’s organization and mobilization are more crucial and fundamental.(2) Having constructed an analyzing framework of the mechanism With the " country-society " analysis frame, this paper studies the evolution and the validity of the organization and mobilization mechanism systematically, and investigates and analyzes positively the efficiency ofthe mechanism. It classifies the mobilization mechanism into two kinds: the national mobilization mechanism and the social mobilization mechanism; two entities: Mobilization and action; two aspects of appraising the efficiency of the mechanism: Mobilization efficiency and Action efficiency.(3) Having revealed the root of the irrigation and water conservancy construction of rural community which has been bogged down Because of the transition of the economic system, validity of the national mobilization mechanism has declined and the mechanism is in the state of" out of order ". However, system transition has not fundamentally changed the basic structure of the "strong country-weak society". The transition of the mechanism has presented the phenomenon of "route relying". The national mobilization mechanism still dominates the construction and the social mobilization mechanism is not well-developed yet. So the construction of water conservancy works of rural community has fallen into " awkward situations": The country is " unable to do what one wishes ", everything is" beyond society’s ability ", and the construction of water conservancy works is basically in the state of staying cool to wander up and down.(4)Having broken the "mythology" that the country mobilization mechanism is efficient. As a" macroscopic case, the development of the construction has indicated that the logic of "nation being the cornerer of legal violence" and " the national supply of public goods being efficient " does not necessarily contain that the national mechanism is efficient. In practice, the policy makers seem to think blindly without exception that the national mobilization mechanism is efficient and seldom regard promoting the development and functioning of social mobilization mechanism as the focal point of the policy.Policy Suggested1. To improve the efficiency of the national mobilization mechanism of the irrigation and water conservancy construction(1) To specify the function boundary of the national mobilization mechanism. First, the national mobilization mechanism is limited to large-and-middle-scale constructions which have strong public welfare, widespread benefit and great involvement with many places. Second, the national mobilization mechanism should be transformed from direct mobilization to indirect mobilization, namely to attract civilian capitals and social organizations to participate in the construction of water conservancy works extensively through finance imbursement, credit support , area approval , technological guiding, etc. attract non-governmental capital and social organization, Third, to support and promote the healthy development of the rural social organizations through relevant legislation.(2).To Improve the efficiency of the national mechanism China is vast in territory, and the rural community is huge in quantity, so it is impossible for the nation to change the basic mode of "substituting labor for capital" of the construction. The efficiency of the national mobilization mechanism relies on the mobilizing efficiency. So it can resume the system of "labor accumulation" conditionally to improve the efficiency of the national mobilization mechanism of water conservancy construction of rural community. 2. To improve the development level of the social mobilization mechanism(1) To improve the awareness of the significance of farmer systematization Farmer systematization is the foundation of the construction, of the supply and management of the public goods as well as of developing rural commodity economy, marching on towards "large market". Scattered farmers cannot not only handle the contradictions between " small-scale production" and " large market", but also succeed in market economy because of the lack of capital, technology, social resources and competing power. They are unable to protect their own legitimate interests, change their weak status and thus can not finally solve the problem of "Farmer, Countryside and Agriculture".(2) To promote the development of rural social organization with system innovation. First, to regulate the state power, otherwise the abuse of state power will make the social organization lack the foundation of "spontaneous order". Second, to quicken the legislative progress of fanner organization and to promote the development of social organization. Third, to further reform the water right system, promote the produce and development of the private and public social organizations, and mobilize their enthusiasm of participating in the construction. Fourth, to perfect the property right system of farmland, strengthen the upward exclusiveness of the proper right, and protect the farmers’ interests. Fifth, to deepen the rural reform and promote the perfection of the social mobilization mechanism of the irrigation and water conservancy construction.(3) To strengthen the construction of the rural elite. First, to increase the rural input in education and establish the foundation for expanding the rural elite’s colony. Second, to increase the financial transfer payment and forces for poverty relief and developing, establish the material base for the rural development. Third, to strengthen the training of the rural cadre, including knowledge training, skill training with the post reserved. Fourth, to send cadres to the countryside and implement the manpower capital support to the rural development. Fifth, to create a loose environment, attract more elite back and offer the policy assistance for establishing their business.(4) To perfect the present configuration of organization and operating mechanism. Dto perfect the organization system of the village committee and operating mechanism. First, to abolish one grade of the setting of township, regard Township as the agency of the county, simplify the first更多还原