【作者】 张益丰；

【导师】 刘东；

【作者基本信息】 南京大学 ， 理论经济学， 2011， 博士

【摘要】 长期以来,“三农”(即农业、农村和农民)问题一直阻碍着中国农业现代化发展。研究“三农”问题,寻找中国农业可持续发展之路就成为众多研究者长期关注的热点。相关研究主要集中在工业“反哺”农业、农村公共产品建设、农村劳动力安置转移与农业增收等专题展开讨论。割裂地从局部去研究“三农问题”,难免以偏盖全。本文从农业产业化发展组织架构研究入手,验证以农业龙头企业的产业为主导,发展企业领办型农业综合性合作社,实现农村微观组织架构跃迁,从而完成农业适度规模化发展与资本有效深化的可行性；并以农业组织创新为突破口,以统筹“三农”为基调,形成以“企业+综合性合作社”组织框架来完成对农村准公共产品供给、农村剩余劳动力就业、社区综合治理与土地合理流转的“一揽子”解决方案。实现由农业生产组织结构创新来驱动农业生产效率提升,借助构建农村“超市场契约”履约环境,在综合性农业合作社范畴内形成“三农”问题统筹解决,其首要问题是确定现代化农业产业化发展的主导力量。农业龙头企业所具有的企业家精神,应对市场风险与农业经营风险的规避能力,把握商机和构建市场能力方面均具有小农难以比拟的组织优势；强化农业龙头企业的产业主导地位,以企业家精神来经营农业是农业实现现代化的重要基础；然而企业经营的“逐利性”与农业长期发展目标不一致,导致了单纯依托农业龙头企业完成产业规模化建设难以实现兼顾农民利益与农村社区的同步发展。研究提出以企业领办型农业综合性合作社为框架,将“企业+合作社”作为农业发展与农村建设的主导力量；以企业领办形式,赋予“企业+合作社”组织模式以“企业家精神”,通过企业引领综合性合作社实现高效农业,组织农户统一规模化生产形成“范围经济”(合作经济模式),实现农业生产适度规模化经营；研究以典型案例为基础,通过文献梳理与数理模型构建,为研究勾勒出了发展企业领办型农业综合性合作社来实现农业产业结构转型的基本轮廓。而农业龙头企业、综合性合作社与农户之间构建的“企业+合作社+农户”三位一体农业生产微观组织架构实现三方利益共赢,达到组织架构稳定的机理研究成为本文研究的核心部分。在这部分的研究中,研究以案例为引,通过数理模型论证了企业主导的农业综合性合作社成功的关键,取决于合作社与农业企业内生性强可置信承诺；企业通过参与农业综合性合作社建设,以合作社为途径实施向农村基层提供准公共产品服务、资金与技术投入、劳动力就业,用长期投资农业的战略意图,来换取农户的积极参与；而合作社通过发展农业产业基地与集结小农户形成适度规模化经营来保障农业企业原材料供应,合作社则将部分利润用以扩大再生产,剩余作为分红形式返还农户等形式进一步增强了企业与合作社之间的可置信承诺,确保了农业企业与农户能在综合性合作社发展框架下实现利益共赢。理清农业龙头企业与农业合作社之间、农业合作社与社员之间、以及农业合作组织内部如何解决集体行动逻辑问题将成为企业领办型“企业+农业综合性合作社+农户”组织形式良性发展的关键环节。本文借助委托代理模型的分析框架,将农业合作社既作为与企业产业化农业的代理方,同时又成为劳动密集型与资本密集型结合型农业生产过程中委托方,通过构建数理模型来确定企业与合作社的委托代理关系的顺畅取决于企业与合作社之间相互信任；同样合作社与农户之间的委托代理关系与农业合作社组织农户,有效降低组织成本的能力紧密结合。接下来,文章就“企业+综合性合作社”框架下实现企业为农业社区提供准公共产品可行性展开研究。本研究以山东烟台荣昌制药领办,成立综合性合作社,以合作社为基础向农村社区提供准公共产品来长期投资农业作为典型案例,利用在该合作社所处村庄完成的问卷调查数据,进行相关实证检验。研究证实农村准公共产品建设及其资金保障,与企业家导航的农村综合型合作社产业规模化经营大小、农户进入合作社后获得增收程度与劳动力就地转移情况成正比；合作社主动提供准公共产品服务与农户参与合作社经营成正相关；最关键的是,企业家缔造的“三联动”统筹农村资源的发展模式,确实能有效提高农业生产规模、提高农户收入水平以及为农村提供准公共产品建设资金。研究同样以文献梳理与理论分析为开端,通过对“田娘农业”将反哺投入转化为生产动力与发展优势,通过积极倡导企业领办,以合作社经营为主体,实施高端农业发展战略,在完成“企业+合作社”产值和经营效益攀升的同时,积极投资农村基础设施建设,服务于新农村典型案例进行剖析；证实由企业领办,形成的“龙头企业+农业综合性合作社”组织框架能够成为工业“反哺”农业的重要受体,实现政府与社会的资金、技术与制度扶植向“龙头企业+农业综合性合作社”微观农业生产组织的针对性反哺,有利于农业规模化经营集团(企业+合作社)能通过接受反哺所赋予的资金、技术与人才实现跨越式发展；并且研究阐述了农业合作社作为反哺合理投向、农户与企业间“超市场契约”有效沟通与农户福利保障的重要途径与平台；能够实现农民利益的保障与劳动力有效就业,形成农民生产、企业发展与农村现代化建设均衡发展。中国式的农业创新与产业化发展应该形成兼顾资本深化与劳动密集型的适度规模化农业；而这种生产模式的形成是以家庭农场为基本单元,通过技术、资本与劳动力的三重投入,实现高端精细化农业(高效农业),通过这种农业产业化发展,既承担农业劳动力的就地吸纳,又实现农业产能的提高；研究基于江苏常熟、福建莆田以及山东蓬莱三地的成功案例,论证了“企业+合作社+农户”模式能够担负起农民就业、农业振兴与农民增收的三重职责；企业领办,通过加大农业龙头企业向农村的有效投资的同时,加强农业合作社的建设,实现企业为产业龙头,合作社为经营骨干,家庭农业生产为基础的“企业主导的农业合作经营模式”是适度规模化农业生产经营模式的必然选择。既然企业领办型综合性农业合作社在发展过程中,能够在有效实现农业适度规模化,完成科技创新型农业资本深化的同时,通过机制设计来实现农村公共产品供给渠道拓展、农村劳动就地吸纳,提高反哺绩效；那么综合服务功能的实现就与农村基层社区组织职能相重叠。研究依然以案例为突破口,分析实现农村综合性合作组织(合作社)经济运营与乡村长期发展目标“激励相容”的可行性。将农村合作社建设为农村覆盖产业发展,兼顾农村准公共产品供给与农村基础设施建设综合性农业合作经济组织作为乡村治理的主要力量,使其充分发挥农村经济腾飞的新动力源泉作用的同时,对实现合作组织管理层与基层行政组织、党的基层派出组织在农村经济建设、社区管理与党政建设方面的管理契合进行路径研究；并且提出了实现合作社管理层兼任村委会成员,在管理精英中发展共产党党员,以党的先进性来约束管理精英的行为,来实现农村自治管理的有序发展的动态规划。更多还原

【Abstract】 Over the years, "San-Nong" (refer in particular to agriculture, rural areas and farmers issues) problem has hindered the development of China’s agricultural modernization. To relate researchers, those issues about "San-Nong" problem would always be the hot research areas researchers, which could find the Chinese agricultural sustainable development way.However, some studies still focuses on some independent Special Topics about "San-Nong" problem, such as industrial "feedback" agriculture, the rural public goods supply, rural labor employment in local areas and agriculture income resettlement. Specially, the research standpoints and conclusions will have one-sidedness consequences unavoidably, if we study "San-Nong" problem in isolation.Therefore, this dissertation researches the organization framework of agriculture industrialization development in china at first. It verifies that agricultural leading enterprise could be the primary leadership to develop moderate degree high-efficiency industrial agriculture and form agricultural capital deepening effectually, when the rural comprehensive cooperatives were established under the leadership of modern rural enterprise, which could drive the Transition Procedure of Rural Micro-Organizational Structure.Meanwhile, by making the agriculture organization innovation as a breakthrough and planning "San-Nong" problem as a whole plan, the organization framework of "leading enterprise+ comprehensive cooperative" should achieve the "package" solutions to solve the problems of rural quasi-public products supply, rural surplus labor employment, community comprehensive treatment and land rational circulation. By Constructing the "hyper-market contract" performance environment, agricultural production organization structure innovation could drive the agricultural production efficiency improvement. At the same time, all questions would be solved as a whole by putiing rural quasi-public product construction, farmers’ income increase and labor employment issues into comprehensive agricultural cooperative organization. However, the primary key to solving all problems is to determine the dominant power of agricultural modernization.Owning of special entrepreneurial spirit, agricultural leading enterprises have the Evading capability to deal with market risk and operational risk in agriculture, have more powerful Organizational Advantages to seize business opportunities and to construct agricultural markets than formal peasants. Therefore, this dissertation believes the development of modernization agriculture should reinforce the dominant role of leading enterprise in agricultural industry, operate agricultural industry utilizing entrepreneurship.Nevertheless, the Profit target of business operation have different destination with long-term development in agriculture. The results generate that complete industrial scale construction based on leading enterprises in agriculture could not think about peasant’s interest and the synchronous development of rural community completely.With regards to this consideration, based on the framework of rural comprehensive cooperative leaded by agricultural leading enterprises, this dissertation suggests "enterprise+cooperatives" should be the dominant force in agricultural development and the rural construction. endowing "entrepreneur spirit" with "enterprise+cooperatives" organization mode, rural comprehensive cooperatives,which are leaded by agricultural leading enterprises, could achieve high-efficient agriculture, organize farmers to generate "unified economies of scope" (cooperation economic model), and to emerge appropriate large-scale production formation. Based on typical cases of comprehensive cooperatives, it draw the outline of rural comprehensive cooperatives directed by leading enterprise in agriculture could finish the transformation of agriculture industry structure, which employ the methods of literature review and mathematical model design.The mechanism research of organization structure stability, which could achieve the successful formation of "enterprise+cooperative+farm households" trilateral cooperation and common interest, guided by agriculture leading enterprise, comprehensive cooperatives and peasants, should be the core content in this dissertation. In this part of study, in accordance with the typical cases, it utilizes mathematical model analysis to prove that the key to the success in rural comprehensive cooperatives, leaded by agricultural enterprises, is depended on strong endogenous confidential commitments.Enterprises participate in the construction of agricultural comprehensive cooperatives, help cooperatives to provide implementation of rural quasi-public products services, capital and technology investments, and labor employment, use the strategic intention of long-term investment in agriculture to exchange the positive participation of local farmer households. Through the development of the agriculture industry base on small farmers to moderate scale management, the method could ensure the accommodation of raw material to agricultural kernel enterprises. Cooperatives will apply a portion of the profits to expand production of "enterprises +cooperatives", could increase the credible commitment between the agricultural enterprise and comprehensive cooperatives, which use surplus to peasants as a form of return. Also, these systems ensure the mutual benefit in comprehensive cooperative framework.In the next chapter, this dissertation discusses that the framework of "enterprise+ comprehensive cooperatives" piloted by leading enterprises can enforce the capability that leading enterprises provide rural quasi-public goods. This research employs the typical case that the comprehensive cooperatives leaded by Yantai Rong-Chang pharmaceutical company in Shandong Province, which provide quasi-public products for long-term agriculture investment. The research does empirical analysis by using complete cooperative survey data of local peasants in local village. This study confirms rural quasi-public product construction and its funding accommodation have strong relationship with rural industry scale size of comprehensive cooperatives navigated by entrepreneurs, also with the income level of peasants when they enter into cooperatives, and the re-employment of local rural labor capital; simultaneously, the amount of quasi-public goods provided initiatively by Cooperatives is positively bounded up with peasant’s participation in cooperative business. The most important thing is the "three linked" pattern to develop overall rural resources created by leading entrepreneurs, really can effectively increase agricultural production scale, improve the farmer income level, provide enough construction funds to rural quasi-public products as well.The study also employs the research method of literature review and theoretical analysis at beginning, and analyses the case of "Tian-Niang Agriculture Company", which applies the capital of agriculture back-feeding from industry to production power and development advantages. It confirms that the cooperative management method, advocated by the enterprise leadership, employs high-level agricultural development strategy to achieve rural infrastructure construction investment, to serve new type of rural development, and to increase "enterprise+cooperatives" production and operation efficiency.Meanwhile, this study also provides that the "leading enterprise+agricultural comprehensive cooperatives" organizational framework can become the important receptor, and use specially industrial "feedback" capital, technology and policy supporting, coming from government and other societal forces to form great leap-frog development of high-efficiency agriculture. It also confirms that agricultural cooperative can be the important ways and platform to act as correct receptor of "feedback" capital, emerge reasonable environment, based on "hyper-market agreement" between enterprises and local peasants. Also, this study realizes that the framework can provide the guarantee of benefit and labor effective employment of local peasants, generate the balanced development of agriculture production, rural enterprise development and the countryside modernization.The agricultural innovation and industrialization development in china should be formed with the moderate scale of agriculture generated by both labor-intensive and technological capital deepening. Based on family farms as the basic unit, the formation of this production mode assimilates technology, capital and labor triple input, and achieves fine agriculture (efficient agriculture high-level agricultural industrialization) development. According to this mode, it can undertake local agricultural labor force employment, and brings about agricultural productivity enhancement.Based on three typical successful cases in Chang-Shu(Jiangsu), Pu-Tian(Fujian) and Peng-Lai (shandong), demonstrates the "enterprise+cooperatives+farm households" mode can undertake the duty of farmers’ employment, agricultural rejuvenation and income-level growth of agricultural human resource., the comprehensive cooperatives leaded by Enterprise can be reinforced through effective investment at the same time, realize enterprise development as agriculture industry target, determines cooperative as backbone of modern agriculture. Finally, this study is the inevitable choice that " agricultural cooperation business mode " leaded by enterprise engenders moderate scale of agricultural production mode.How to solve logic problem of collective actions between agriculture leading enterprise and agricultural cooperative, agricultural cooperative and cooperative members, and agricultural cooperation organization, is the kernel factor that the type "enterprise+ +farm households" organization leaded by agricultural enterprises will become form excellent development in agriculture. Based on the principal-agent model analysis framework, it utilizes agricultural cooperative as the agent of agricultural enterprises, also designs agricultural cooperative as principal character of labor-intensive and capital intensive agricultural production process. It also confirms that the success of the principal-agent relationship can be determined by the mutual trust between enterprise and cooperative. Meanwhile, this kind of principal-agent model can organize local peasant households, and reduces the organization cost between peasants and cooperatives.In the development process, this pattern of comprehensive agricultural cooperative can enforce agricultural moderate scale effectively, completes agricultural capital deepening based on technological innovation. According to mechanism design, this study develops the supply channel of rural public product, increases rural labor employment, and improves back-feeding absorbing performance. Therefore, the integrated service functions of comprehensive overlap with the organization functions of rural community. Through typical case as the breakthrough, this study analyses the feasibility that the rural economic operation and management strategy can form "incentive compatibility" with the rural long-term development goals.Rural cooperatives Construction should be the major power that the economic organization pattern of comprehensive agricultural cooperation serve as rural development, and balance the power of rural quasi-public goods and rural infrastructure construction. According to this reason, this study uses route study method to prove that the pattern of rural comprehensive cooperatives can form brand-new force to develop rural economy, and achieve harmonious development among rural economy construction, community management and local party politics construction.Finally, through the "party construction, political reform, social innovation, and economy development" four-in-one management mode, this dissertation believes that rural development should exercise the party’s advanced nature of the communist party to restrict the behavior of elites in rural community and design the dynamic programming to finish the orderly development of rural autonomous administration.更多还原