【作者】 阎占定；

【导师】 张俊飚；

【作者基本信息】 华中农业大学 ， 农业经济管理， 2011， 博士

【摘要】 随着市场经济的发展,新型农民合作经济组织蓬勃兴起,并以其组织的感召力,经济利益的联结和吸引力,汇集和带动了大批农户,积聚了丰富的社会资本,成为乡村治理新兴主体,并影响和改变着乡村治理的存在生态。对新型农民合作经济组织参与乡村治理的研究,既是破解当前“三农”问题的实践需要,又是直面乡村治理中难题的理论回应。由于对乡村治理的研究,旨在构建一个科学、高效的乡村社会管理体制机制,保证乡村社会的和谐,实现乡村社会的善治；而对新型农民合作经济组织的研究,目的在于改革创新现有的农村经营体制和生产组织方式,探索新型农村经济发展模式,推进农村的发展和实现农民的增收。如果基于对新型农民合作经济组织参与乡村治理的实践考察和理论解析,那么一种有别于当前法定的“乡政村治”的新型乡村治理模式就诞生了,因此也产生了一个崭新的交叉研究领域,并且极大地拓展了新型农民合作经济组织和乡村治理的实践空间,丰富了二者理论研究的内容。本论文正是基于新型农民合作经济组织的视角,借助于农村经济学、政治学和社会学等学科理论,在借鉴国内外关于合作经济组织研究和乡村治理研究成果的基础上,运用合作组织理论、多中心治理理论、制度理论和博弈论,以及文献研究、田野调查、数理分析的研究方法,对嵌入新型农民合作经济组织的乡村治理进行了比较全面、系统的探析。首先,论文简要介绍了国内外合作理论,回顾了农民合作经济组织发展演变的历程,实证考察分析农民合作经济组织生长的背景、条件、作用、特征、组织类型、制度机制；扼要阐释了乡村治理的有关理论,描述了我国乡村治理的现状,回顾发展历史,总结实践经验,分析现时态乡村治理的困境和困惑。其次,论文对新型农民合作经济组织参与乡村治理所引起的乡村治理机制、乡村治理内容的变化进行了实证分析。最后,论文凝练出新型农民合作经济组织参与乡村治理的特征、路径、机制、模式和趋势,并提出了完善新型农民合作经济组织发展,规范其乡村治理参与,加快二者有序融合,创建新型乡村治理模式的对策和建议。论文研究的主要内容和结论如下：(1)论文研究了新型农民合作经济组织参与乡村治理的必要和可能。研究认为,新型农民合作经济组织参与乡村治理不仅必要,而且可能,更成为现实。文章运用多中心治理理论、社会资本理论,分析了在家庭承包经营、市场经济竞争日趋激烈,村组织经济功能不断弱化、农民自主性和选择性愈来愈强的背景下,新型农民合作经济组织如何得以迅猛发展,如何不断扩大在乡村社会中的经济影响力,并把这种影响力从经济领域的影响,逐步扩展延伸到政治、社会和其他领域,从而实现了它从乡村治理的可能主体向现实主体的转变。(2)论文对新型农民合作经济组织在乡村治理中地位的研究。研究认为,新型农民合作经济组织是乡村治理“三足鼎立”主体中的重要一极。在当前乡村治理多元主体格局中,乡镇政府、村组织和农民合作经济组织是三个重要的治理主体。其中,新型农民合作经济组织是市场催生的新兴的治理主体,并对前两个法理上治理主体进行制衡,三者之间形成了博弈、冲突与合流的关系。新型农民合作经济组织在乡村治理中的如此地位,是由主客观因素决定的。新型农民合作经济组织发展速度和规模,自身具有的市场服务功能、增收益贫功能、政治参与和维权功能、产业推进功能,以及利益联结机制等,是其定位的内在条件和优势,而“乡政村治”模式存在的制度设计与实践的悖论和日益凸显的弊端,是其位置确定的外部因素和机遇。事实上,新型农民合作经济组织在参与乡村治理过程中,其提高农民的市场驾驭能力、推进农业产业化发展、增加农民的收入、增强农民民主政治意识等现实作用和效果也真正地显露出来。一句话,新型农民合作经济组织作为乡村治理的新兴主体,在改变乡村经济体制的同时也改变着传统的乡村治理模式,在拓展新型农民合作经济组织活动空间的同时也延展了乡村治理的活动内容。(3)论文对新型农民合作经济组织作用于乡村治理的内容进行了系统分析。研究认为,新型农民合作经济组织在参与乡村治理过程中,逐步改变着乡村治理的存在生态。论文构建了一个包括新型农民合作经济组织、乡村治理绩效和理论分析工具在内的理论分析框架,并通过田野调查、数理统计,运用交易成本理论、博弈论等理论分析工具,实证分析了新型农民合作经济组织参与乡村治理所产生的影响,揭示了二者之间的逻辑关联。研究认为,新型农民合作经济组织参与乡村治理后,逐渐改变了乡村治理的存在生态：乡村治理主体格局位移,乡村权力资源重新分配,乡村治理机制重构,乡村治理的经济生态、政治生态和社会生态都发生了化学式裂变反应,传统的、单一的、相对稳固的乡村治理格局被打破,新的、充满生机和活力的新型乡村治理模式和机制在孕育、形成。研究还认为,新型农民合作经济组织不仅控制着乡村经济资源,影响乡村经济发展、农民收入和消费水平,而且也由经济控制力渐进性地渗透到农村政治和社会生活中,影响甚至左右乡村民主政治和社会公共事业的发展方向和态势,并逐步完成了由乡村治理的配角向乡村治理主角的角色转换,成为乡村社会的“第三种力量”或“影子村组织”(4)论文对嵌入新型农民合作经济组织的新型乡村治理模式进行探析。研究认为,乡村治理生态的变化需要乡村治理模式的创新,融入新型农民合作经济组织因素的乡村治理模式,就是一种创新。研究认为,随着市场经济快速发展,新型农民合作经济组织不断涌现,乡村治理制度设计与实践的悖论日益凸显。我国现有的法理性的“乡政村治”模式因存在生态的变化,其存在方式也必须不断创新。尽管“乡政村治”模式在当今农村政治体制保护下在总体上依然是治理的主流,乡镇政府和村组织也依然是治理的主导,但以新型农民合作经济组织为代表的非政府组织,以及乡村精英群体正在形成,并参与到乡村治理中。乡村治理是在以乡村正式组织为主导,多种力量参与、竞争与合作、冲突与合流中,推进乡村治理的背景、理念、方式、制度机制等发生一系列的裂变。在局部经济发达地区和农民合作经济组织存在的地方,乡镇政府和村组织的主导作用在弱化,渐失主导的地位,而新型农民合作经济组织作用和功能在加强,嵌入新型农民合作经济组织的乡村治理模式逐步成为主流。因此,破解当前乡村治理中难题,探索新型乡村治理机制,构建新型乡村治理模式,都是当前乡村治理理论研究和实践操作必须要回应的问题。(5)对新型农民合作经济组织参与乡村治理的过程分析。研究认为,新型农民合作经济组织参与乡村治理是一个渐进的、非均衡的过程。新型农民合作经济组织参与乡村治理,经历的是一个实践在先,理论其后,不断渗透,不断嵌入的生长过程。新型农民合作经济组织具有经济优势,但短时内不可能在全国整体处于优势地位,“乡政村治”模式弊端不少,但暂时也不需要也不可能全面替代它。因此,无论从事物发展规律的哲学思考,还是从实践的现实考察,新型农民合作经济组织参与乡村治理并形成新型乡村治理模式,只能是渐进的、非均衡的量变过程。从参与内容看,先以经济存在,再到政治和社会的渗透；从参与路径看,走的是嵌入--嵌合--融合的过程；从参与形式看,采取的是凝聚社员、带动农户,影响村民选举、竞选村干部、村民矛盾调解、乡村公共事业等介入方式；从参与效果看,新型农民合作经济组织逐步融入到乡村治理中,并实现了农民合作经济组织本身发展和乡村治理进步的双赢效果；从参与特点看,表现为时间上的渐进性,空间性的非均衡发展。这种转换是通过市场媒介、竞争推手和政府的扶手,在新型农民合作经济组织为代表的多元治理主体共同参与共同推动下,经历一个由个别到整体、由局部到全局的渐进的、非均衡的发展过程。新型农民合作经济组织在乡村治理中就是如此从开始的经济存在,到一定的政治参与和社会参与,逐步实现了由乡村治理“局外人”、一般参与者的角色向乡村治理中的主角的角色转变。(6)论文对新型农民合作经济组织参与乡村治理趋势的探讨。研究认为,嵌入新型农民合作经济组织的乡村治理呈阶段性的发展趋势。新型农民合作经济组织参与乡村治理并对乡村社会产生一定的影响,这是客观存在的。尽管这种参与程度和影响力因合作经济组织发展的数量、规模、组织化程度,以及现行乡村政治体制的限制,还没能够在整个农村社会治理中占主导地位,发挥主导作用,但是从发展的趋势来看,其作用会不断增强。因此,研究和把握新型农民合作经济组织参与乡村治理的现状、特点、规律,以及发展趋势,对新型农民合作经济组织参与乡村治理的实践和理论研究都具有重要的指导意义。研究通过对新型农民合作经济组织的发展速度和参与乡村治理的现实研判,发现新型农民合作经济组织参与乡村治理呈阶段性的发展趋势。从短期来看,随着新型农民合作经济组织数量的增加、队伍的扩大、组织的规范,在乡村社会中重要位置的确立,“乡政村社”模式或“村政社经”模式将是一种现实的存在和选择,从长远来看,最终会转向“市场主导(合作经济组织)、政府引导、村组织指导、多元治理的”乡村治理格局。论文研究可能的创新之处主要表现在：(1)研究视角的创新。论文选择了新型农民合作经济组织和乡村治理交叉的领域进行研究,这是一个比较前沿性的理论和实践问题。这种基于新型农民合作经济组织视角下研究乡村治理,不仅突破传统的政治学和社会学研究的思维,拓展了乡村治理研究的视野和空间,而且也丰富了新型农民合作经济组织研究的内容。本研究借鉴了其他学科研究乡村治理的成果但又不囿于其研究的局限,也不囿于非政府组织和乡村社会精英单一视角研究治理,而是用大市场大治理的视野,从新型农民合作经济组织和乡村治理互动的视角来探究新形势下的乡村治理、二者之间的融合,以及政府主导的多元治理结构向市场主导的多元治理结构转换问题。(2)研究方法的创新。论文在研究方法上,重视把人文社会科学研究方法同经济管理科学研究方法有机结合起来,在坚持传统的文献研究、田野调查、定性分析等人文社会科学研究方法的基础上,把经济管理学科的实证分析、数理分析、定量分析的研究方法引入和运用到乡村治理研究中,把综合分析与个案分析、定性分析与定量分析有机结合起来,从而极大地拓展和充实了乡村治理的研究方法体系,使研究更具全面性、理论性和实践操作性。(3)研究内容的创新性。论文在研究内容方面也有许多独到之处,也提出了许多新的观点。比如,关于新型农民合作经济组织在乡村治理中的地位、作用的研究,认为它是乡村治理“三足鼎立”主体中的重要一极；关于新型农民合作经济组织参与乡村经济、政治和社会活动的研究,认为它在参与乡村治理过程中,逐步改变着乡村治理的存在生态；关于新型农民合作经济组织参与乡村治理的机制、模式、过程和趋势的研究,认为它参与乡村治理形成了新的乡村治理机制和模式,这种参与是一个渐进的、非均衡的过程,呈现出阶段性的发展趋势。更多还原

【Abstract】 With the development of market economy, new farmer cooperative economy organization booming rise, and with its organization, economic benefits of charisma connection and attractive, collection and drive the large number of farmers, accumulated rich social capital, become the rural governance emerging subject, and influence and changing the existence of rural governance ecology. Farmer cooperative economy organization of new rural governance research in both cracked the current, the "three rural issues" the practice needs in rural governance, and face the theory problem response. Because of the rural governance, aiming to form a scientific study of the rural society and efficient management system mechanism, ensure the harmonious rural society and realize the good governance of the rural society; And for new farmer cooperative economy organization research, aims to reform and innovation of the existing rural management system and production organization mode, explore new rural economic development mode, and promote rural development and realize the peasants’ income. If based on new farmer cooperative economy organization involved in the practice of rural governance review and theoretical analysis, then a different from the current legal "village-govern-township-politics" new rural governance mode to be born, and therefore also produced a new crossover study domain, and greatly expand the new farmer cooperative economy organization and rural governance practice space, enrich the content of both theoretical research.This thesis based on new farmer cooperative economy organization perspective, with the rural economics, politics and sociological theory, the economic cooperation organizations at home and abroad about research and rural governance on the basis of research achievements, use cooperative organization theory, multi-agency management theory, system theory and the game theory, and literature study, field investigation, and mathematical analysis method to embed new farmer cooperative economy organization compares the rural governance comprehensively, systematically analysis. Firstly, this paper briefly introduces the domestic and international cooperation theory, reviews the farmer cooperative economy organization the development process of the analysis and the empirical investigation farmer cooperative economy organization growth background, conditions, functions, characteristics, tissue types, system mechanism; Briefly explains, the relevant theory of rural governance describes the present situation of rural governance, review the development history and summarizing practical experience, analysis the plight of rural governance is tense and confused. Secondly, the thesis on new farmer cooperative economy organization participation caused by the rural governance in rural governance mechanism, the rural governance content change empirically, at last, this paper concise out new farmer cooperative economy organization participating characteristics of rural governance, path, mechanism, patterns and trends, and puts forward several Suggestions on improving new farmer cooperative economy organization development, regulating their participation in rural governance, accelerate both orderly fusion, create new rural governance mode countermeasures and Suggestions.The main content of research and conclusions are as follows:(1) The paper studies the new farmer cooperative economy organization participating the rural governance is necessary and possible. Studies suggest that new farmer cooperative economy organization involved in rural governance is necessary and possible, not only more become a reality. Using the multi-agency management theory, the social capital theory, this paper analyses the household contract management, in the fierce competition of market economy, village organization economic functions are weakening, farmer autonomy and selective increasingly strong background, the new farmer cooperative economy organization how to rapid development, how to expanding the economic influence in rural society, and the influence from the economic field, and gradually expand the influence of extended to political, social and other areas, thus fulfilling the it from the rural governance may subject to the real main body transformation.(2) Papers on new farmer cooperative economic organizations in the rural governance position in research. Studies suggest that new farmer cooperative economy organization is one of 3 important subjects of rural governance. Nowadays rural governance in multi-agent pattern, the township government, village organization and the farmer cooperative economy organization is the three important governance subject. Among them, the new farmer cooperative economy organization is the market the fledgling emerging governance subject, and to the first two jurisprudential governance entity formed between the balances, three games and conflict and mixing relations. New farmer cooperative economy organization in the rural governance in the so position, is determined by the subjective and objective factors. New farmer cooperative economy organization development speed and scale, itself is market service function, increase income poverty function, political participation and rights protection function, industry promotion function, and benefit coupling mechanism etc, it is the positioning of the inner conditions and advantages, and "village-govern-township-politics" pattern existing system design and practice the paradoxes and increasingly prominent malpractice, to determine its position is the external factors and opportunities. In fact, new farmer cooperative economy organization of participating in the process of rural governance, its improving farmers’ market control ability, promoting the industrialization of agriculture development and increasing the income of peasants, strengthen democratic political consciousness and so on reality farmers function and effect also really exposed. A word, new farmer cooperative economy organization as the rural governance emerging subject, in rural economic system change also changed the traditional rural governance mode, and in expanding new farmer cooperative economy organization activity space while also extend rural governance activity content.(3) Papers on new farmer cooperative economy organization in the role of the content of the rural governance system analysis. Studies suggest that new farmer cooperative economy organization of participating in the process of rural governance, gradually changing the existence of rural governance ecology. This paper builds up a including new farmer cooperative economy organization, the rural governance performance and theoretical analysis tools included theoretical analysis framework, and through the field survey and statistics, using the theory of transaction cost theory, such theoretical analysis tools, empirical analyses new farmer cooperative economy organization involved in the impact of rural governance, reveals the logic relation between them. Studies suggest that new farmer cooperative economy organization involved in rural governance, gradually changed after the existence of rural governance ecological:rural governance subject pattern, rural power resources displacement redistribution of rural governance mechanism of the rural governance restructuring of political economy ecology and ecological and social ecology all fission reaction, the patent happened traditional, single, relative stable rural governance structure is broken, new, full of vigor and vitality of new rural governance modes and mechanism in born in formation. Research also think, new farmer cooperative economy organization not only control the rural economic resources, rural economic development and influence farmers’ income and consumption levels, but also economic control by progressive penetrate into rural political and social life, influence and even village democracy around political and social public career direction of development and trend, and gradually completed by supporting rural governance to rural governance roles, become the protagonist of the rural society "third power" or "shadow village organization".(4)The paper embedded in new farmer cooperative economy organization of new rural governance mode analysis. Studies suggest that the rural governance ecological changes need to rural governance patterns of innovation, into new farmer cooperative economy organization factors of governance mode, rural governance is an innovation. Due to the rural governance is the national rural social management and construction is to realize the necessary, way of rural social good governance, is valued by ruler of past event. Studies suggest that, along with the rapid development of market economy, new farmer cooperative economy organization constantly emerging, rural governance system design and practice of paradox increasingly prominent. Our country’s existing FaLiXing "village-govern-township-politics" mode for the change, its existing ecological mode of existence also must innovate ceaselessly. Although "village-govern-township-politics" mode in today’s rural political system protection in general is still under the mainstream of villages and towns government control, and village organization is still the dominant, but with over new farmer cooperative economy organization, as a representative of the non-governmental organizations, as well as rural elites are formed, and to participate in rural governance. Rural governance is leading, in rural formal organization of forces, competition and cooperation, and conflict with confluence, promote the rural governance of the background, concept, methods, system mechanism in a series of fission. In the local economy developed areas and the farmer cooperative economy organization where it exists, the township government and village organization leading role in weakening, gradually lost dominant position, while new farmer cooperative economy organization role and function in strengthening, embedded inserts new farmer cooperative economy organization of rural governance mode gradually become mainstream. Therefore, crack in current rural governance problem, explore new rural governance mechanism, construction of new rural governance mode, have all become is the current rural governance theory study good practice operation must respond to questions.(5) For new farmer cooperative economy organization involved in the process of rural governance analysis. Studies suggest that new farmer cooperative economy organization involved in rural governance is a gradual and non-equilibrium process. New farmer cooperative economy organization involved in rural governance, experience is a practice prior, theory behind, unceasing seepage, and constantly embedded growth process. New farmer cooperative economy organization has economic advantage, but in the country brief periods impossible overall at an advantage, "village-govern-township-politics" mode drawbacks, but a lot temporary also don’t need also could not fully replace it. Therefore, whether from the things the law of development from philosophical thinking, or the reality of the inspection, the new practice of farmer cooperative economy organization involved in rural governance and forming new rural governance mode, can only be gradual, disequilibrium of quantitative change process. From participating in contents see, first, then to economy exist the penetration of politics and society; From the path look, go in-is embedded chimeric-fusion process; Look from participation form, is taking the condensing members, drive farmers, affect elections, campaign of village cadres, the villagers contradictions mediation, rural public utilities; such intervention way See, in effect from new farmer cooperative economy organization gradually into the rural governance, and realized the farmer cooperative economy organization itself development and the progress of rural governance win-win results; From participating characteristics for time, it manifests the progressive, spatial non-equilibrium development. New farmer cooperative economy organization in the rural governance is so from the beginning of economy exist, to certain political participation and social participation, gradually realized by rural governance "outsider", general participants to the rural governance in the role of leading role change.(6) Papers on new farmer cooperative economy organization involved in rural governance of the trend are discussed. The new research that farmer cooperative economy organization embedded in the rural governance constant-stress development trend. New farmer cooperative economy organization involved in rural governance and the village social produce certain effect, which is objective existence. Although this level of participation and influence for the development of economic cooperation organization quantity, scale, organizational level, and the current rural political system restriction, just haven’t been able to in the rural social governance, dominant play a leading role, but the trend from development, its effect increased. Therefore, study and grasp new farmer cooperative economic organizations to participate in the rural governance status, characteristics, laws, and development trends of new farmer cooperative economy organization involved in rural governance practice and theoretical research has important significance. Research through the new farmer cooperative economy organization development speed and participate in the reality of rural governance, a new type of judge farmer cooperative economy organization participating the trend of the development of the rural governance is staged trend. In the short term, as new farmer cooperative economy organization, the increase in the number of teams expanded, organization in the rural society standard, the establishment of an important position in the village ", "rural politics Zhengzhou pattern or" village by "mode will is a kind of real existence and choice, in the long run, will eventually turn to" market dominant (organization for economic cooperation), government guide, village organization guidance, multiple governance "rural governance structure.The thesis’possible innovations are mainly as follows,1) Innovation of study perspective. The article chose new rural cooperative economic organizations and rural governance, which is a frontier of theory and practice. The study on rural governance based on rural cooperative economic organizations, not only broke the traditional study thinking of political science and sociology and expanded rural governance study’s vision and space, but also enriched study contents of the new rural cooperative economic organizations. This study referred to studies in other disciplines while not owing to their study limitations, not owing to single perspective in non-governmental organizations and rural governance studies, but perspective of "big market, big vision" of governance to study the rural governance and the interaction of the two from government-led governance structure to a market-led multi-management structure conversion in the new situation.(2) Innovation of study methods. The paper attached great importance to the combination of the humanities and social sciences study methods and economic management methods. The paper based on adhering to the traditional literature research, field research, qualitative analysis methods of Humanities and Social Sciences, introduced and applied economic management disciplines empirical analysis, mathematical analysis, quantitative study method to rural governance study, combined the comprehensive analysis and case studies, qualitative analysis and quantitative analysis together to greatly expand and enrich study methodology of the rural governance, which made the study more comprehensive, theoretical and practically operational.(3) Innovation of study contents. The thesis also had many unique features in study contents and put forward many new ideas. For example, the study on the new rural cooperative economic organizations’status and roles in rural governance which is one of the rural governance’s important "three pillars". The study on the new rural cooperative economic organizations’participation in rural economic, political and social activities, which has gradually changed the existence of eco-village governance, Study on mechanisms, models, processes and trends of the new rural cooperative economic organizations’participation in rural governance, which formed a new rural governance mechanism and mode. Such participation is a progressive, non-equilibrium process, showing a development trend of stages.更多还原