【作者】 张笑寒；

【导师】 叶依广；

【作者基本信息】 南京农业大学 ， 土地资源管理， 2007， 博士

【摘要】 新中国成立以来,我国农村土地制度经历了土地改革—农业合作化—人民公社—家庭联产承包责任制的历史变迁过程。随着农业微观经济基础和宏观社会环境的日益变化,农村家庭联产承包责任制的局限性逐渐地显现出来,家庭分散经营下土地细碎、规模狭小、机械化程度低、耕地抛荒等问题开始在农村出现。发源于珠江三角洲地区农村土地股份合作制是我国特定历史时期的产物,是农村土地流转制度的创新形式,丰富了土地家庭联产承包责任制的内涵,对实行土地规模经营、建设现代农业目标具有重要意义,一度被理论界和实践界广为推崇。但是现实中各地在推行这一制度进程中面临诸多问题障碍,如制度形成条件不足、企业性质和地位模糊、产权和股权设置的缺陷等等,这些问题导致土地股份合作制在实践中推行缓慢,制约了制度效应的顺利实现。近年来学术界对农村土地股份合作制的研究较丰富,在土地股份合作制的产权结构、股权设置、治理机制和操作模式等方面争议颇多,莫衷一是。本文认为,作为典型的诱致性制度变迁,农村土地股份合作制的产生发展具有特定的历史背景和生成动因,蕴含着不同于一般股份制和合作制的制度内涵,土地股份合作制的产权结构、股权设置、治理机制等关系到各产权主体的利益分配,进而影响到制度运行绩效。因此本文试图从一个新制度经济学的分析视角,对我国农村土地股份合作制给出一个系统而全面的制度解析,探寻农村土地股份合作制的产生背景和生成动因,在理论上剖析土地股份合作制本身的制度内涵,系统论证这一制度的产权结构、治理机制、制度绩效等,并结合江苏省农村土地股份合作制实践进行实证研究。论文主要包括以下主要内容:首先,论文第三章在总结评价国内外有关农村土地股份合作制及其相关文献观点的基础上,明确界定了本文研究中涉及的几个重要概念,阐述了新制度经济学在制度分析中的必要性,简要介绍了新制度经济学理论体系中的制度变迁理论、交易费用理论、产权理论、企业理论等,并提出本文制度分析的基本理论框架。接着,论文第四章从总体上对我国农村土地股份合作制的实践现状进行总结和评价,归纳了该项制度的运行流程及主要实践类型,介绍了南海模式、桓台模式、苏南模式、上海模式这四大模式的具体做法和各自特点,并将农村土地股份合作制与其它农地制度形式进行了具体比较,总结了当前土地股份合作制在实施过程中面临的主要问题。为了探寻制度变迁的内在动因,论文第五章对我国农村土地股份合作制的历史演进过程进行回顾,指出现行农村土地股份合作制是吸取了中国传统的农村合作经济运动的某些经验,在农村家庭联产承包责任制、社区股份合作制和土地流转制度改革的基础上逐步产生和发展起来的;而导致农村土地股份合作制制度创新的根本动因在于:“外部利润”的出现、现行农地制度安排下“外部利润”难以内在化、初级行动团体和次级行动团体的积极参与、制度创新的预期收益大于预期成本。而对于农户、土地股份合作企业和地方政府而言,制度创新所带来的预期收益及其付出的成本各不相同,因此,论文针对不同的制度创新主体,进行了主体的成本-收益分析。现行农村土地股份合作制的制度内涵是什么?论文第六章将股份合作制与经典合作制和现代股份制作了相互比较,对农村土地股份合作制的制度内涵进行了明确界定。在此基础上,从企业产权制度角度对农村土地股份合作制的产权结构、股权设置、收益分配制度加以解析。论文第七章又从企业治理结构角度论证了农村土地股份合作企业内部的组织结构、委托代理关系和治理机制等,并结合实践分别指出了农村土地股份合作企业在产权制度和治理结构方面存在的制度缺陷。一定的产权安排和治理结构等制度设计必然带来相应的制度绩效,论文第八章接着对我国现有农村土地股份合作制的制度绩效进行客观评判,充分肯定了农村土地股份合作制在经济、社会、生态三方面的总体效应,并分别从效率与公平两大角度对该项制度绩效加以评判,得出现行农村土地股份合作制在一定程度上兼顾了效率与公平双重目标,但也为公平目标承担了部分效率损失。最后,论丈对上述理论研究内容进行了三方面的实证研究:一是以江苏省为例,运用Logistic回归模型论证了农户参与土地股份合作制的决策行为及其区域差异。结果表明,农户家庭非农收入比重、村年人均纯收入、村干部受教育程度等对于农户土地入股行为具有显著的影响,此外,由于区域经济发展的不平衡,江苏省苏南、苏中和苏北地区的农户土地入股决策行为不同,且影响决策行为的主要因素及其影响程度也存在差异。二是以江苏省苏州市上林村为个案,剖析了农村土地股份合作制的企业产权和治理机制,客观评价其优劣之处。三是以江苏苏南地区为例,运用“倍差法”对农村土地股份合作制的农户收入效应进行实证研究。结果表明,农村土地股份合作制确实能够提高农户家庭人均收入,尤其是人均非农业收入,但不够显著,且增收程度有限。通过上述理论和实证研究,论丈提出了相应的政策建议,包括:稳步推进农村土地股份合作制;因地制宜地采取切实可行的具体实践形式;继续加大政府支持力度;规范企业组织形式,做到“政企分开”;明确界定企业产权关系,完善股权流动机制;制订合理的企业收益分配制度;加强立法建设,保障制度运行等。更多还原

【Abstract】 Since the foundation of People’s Republic of China, the farm land institution has undergone different periods from the land tenure revolution to the agricultural cooperation to the people’s commune, and finally to the household contract responsibility system. With the change in micro economic foundation of agriculture and macro social environment, the limitation of HCRS appeared gradually. Under the household management system many problems including fragmentation of farmland, small scale in management, low mechanization and non-exploration of cultivated land arose. The joint stock-cooperative system of farmland originated in the Zhujiang Delta was a form of institutional innovation of farmland transition system at the certain historical period. Since it enriched the connotation of HCRS and showed a great significance to achieve large-scale management and agricultural modernization, the joint stock-cooperative system has been highly praised by both researchers in theory and persons involved in policy implementation. Its implementation was hampered by many practical obstacles such as the lack of pre-conditions, the obscure in the nature of joint-venture, the blemish of property rights and stock rights and so on which slowed down the pace of practice and restricted the effect of the joint stock-cooperative system.Recently many researchers have studied on the theme of joint stock-cooperative system and there have been many arguments in the structure of property rights, the initialization of stock rights, the management mechanism and the mode of operation of farmland stock-cooperation ventures. As a typical inductive institutional innovation, the come-into-being of joint stock-cooperative system of farmland was under certain historical backgrounds, its development followed certain mechanism and had institutional connotation different from the general stock and cooperative systems. The structure of property rights, the initialization of stock rights and the management mechanism were closely connected with the distribution of profits among varied stakeholders and thus would influence the efficiency of system. In this paper the joint stock-cooperative system of farmland was analyzed systematically and comprehensively from the perspective of neo-institutional economics, to pursue the background and an internal motivation led to the innovation, dissects the theoretical intension of the modern joint stock-cooperative system, and demonstrates systematically the property structure, management mechanism, and institutional performance. Then the theory was explored through trying the farmland joint stock-cooperative system in Jiangsu province.The main contend can be summed up as follows:Firstly, based on the review of documents on the joint stock-cooperative system and other related documents in and abroad, several important concepts were clarified in chapter 3. The necessities of neo-institutional economics in institution analysis and its main theoretical system, such as institution innovation theory, exchange cost theory, property theory, and enterprise theory were elucidated. The basic theoretical framework of institution analysis was proposed also.Then the current situation of the joint stock-cooperative system was summarized and evaluated generally in Chapter 4. The practice procedure and main types were concluded. The concrete ways and characteristics of four models, Nanhai, Huantai, south Jiangsu, and Shanghai, were introduced. The problems faced in executing the joint stock-cooperative system were put forward.In chapter 5, after the evolution of the joint stock-cooperative system was retrospect comprehensively, it’s concluded that the system absorbed experiences from the traditional rural cooperative movements and formed on the base of HCRS, community stock-cooperative system and land transition system to pursue the internal motivations led to the innovation. And the basic motivation lies in the fact that under the existing institution, the new external profit could not be internalized and with the active participation of primary societies and secondary societies the expected benefits will be greater than the expected costs. But the expected benefits and costs are different between peasant households, farmland stock-cooperation ventures and local government. Because of these, the cost-benefit analysis in accordance with different institution innovation individual was taken.What was the intension of the modern joint stock-cooperative system? That was defined after comparing it with classical cooperative system and modern stock system in chapter 6. Consequently, the property structure, the initialization of stock rights and the profit allocation system of the joint stock-cooperative system were analyzed from the aspect of enterprise property system. In chapter 7, the inner-structure, the entrust-substitute relationship and the management mechanism were expounded from the aspect of enterprise management structure, and the institutional shortcomings of farmland joint stock-cooperative ventures in property system and management structure were pointed out by linking with practice.The institutional performance was corresponding to institution design such as property arrangement, management structure, and so on. The institutional performance of the joint stock-cooperative system was assessed in chapter 8, the comprehensive efficiencies in economy, society and ecology were justified and the institutional performance was also analyzed both from the perspective of efficiency and fairness. It showed that the efficiency and justice were fulfilled in some degree in current joint stock-cooperative system, but efficiency loss for the aim of justice.At last, the above theories were explored from three aspects:The first, a survey was done in Jiangsu province to study the decision-making behavior of farmer households’ to attend the land stock-cooperation using Logistic model. The results showed that factors such as the proportion of farmers’ non-agricultural income, the net annual income per capita, the education level of village civilians exerted greater influence on farmers’ behaviors. Besides, due to the imbalance of regional economy not only the decision-making behavior to attend the land stock-cooperation differed among farmers of Southern Jiangsu, Middle Jiangsu and Northern Jiangsu, but also the factors and there degree influencing behaviors.The second, a case of Shanglin Village, Suzhou City, Jiangsu Province was used as an example to disclose the character and mechanism of joint ventures and to assess objectively.The third, a study in South Jiangsu was used to explore the effects of farmers’ income in the joint-ventures by means of the difference-in-differences estimation.The results showed that the newly-developed system did lead to the improvement of farmers’ total income, especially the non-agricultural income per capita, but the effects are not as significantly as expected.According to the above research, to smooth the implementation of the joint stock-cooperative system, suggestions were proposed including advancing the system stably and gradually, practicing different mode according to local conditions, enhancing the support of government, regulating the organization of joint-ventures, clarifying the property of joint-ventures, improving the transition mechanism of stock rights, setting reasonable profit allocation system inside the joint-ventures and guaranteeing the implementation of system legally.更多还原