【作者】 徐美银；

【导师】 钱忠好；

【作者基本信息】 南京农业大学 ， 土地资源管理， 2010， 博士

【摘要】 制度认知主义理论和行为制度理论指出,制度具有深刻的认知内涵,主体认知在制度变迁过程中具有重要的影响,是推动制度变迁的能动力。本质上,制度变迁应该被理解为主体认知与外部环境互动调整的过程以及不同主体认知互动调整的过程,内隐的认知调整和外显的制度变迁在一定程度上具有同构性。深入分析主体认知对制度变迁的影响机理,可以发现主体认知是制度环境的重要组成部分,主体认知在制度结构形成过程中发挥了重要作用,主体认知对制度绩效的形成具有重要影响,主体认知直接推动了制度变迁。制度环境由主体认知与外部环境两部分构成,其中主体认知与外部环境之间存在着持续的互动调整关系,外部环境是主体认知的基础,主体认知对外部环境具有反作用；同时,不同主体的认知之间也存在着持续的互动关系,一个主体对外部环境的认知会受到其他主体认知的影响。在两种形式的互动过程中,会产生两种形式的交易费用,其一是由于外部环境的不确定性所引起的主体认知与外部环境互动所产生的交易费用,其二是由于有限理性的当事人持续的认知互动所产生的交易费用,它们构成了制度环境的总交易费用。当事人为了保证交易的正常进行,需要规则来减少不确定性、降低交易费用,这些规则就是制度。制度是主体在对外部环境认知的基础上通过与其他主体的认知互动而形成的。不同的规则构成一个体系,这就是制度结构。制度结构主要包括正式制度和非正式制度。无论是正式制度,还是非正式制度,都是通过主体有意识的活动而形成的,主体认知对两者的具体内容也有着重要的规定性。一定的制度结构会产生相应的制度绩效。合理的制度结构,由于能够尊重主体意愿、适应外部环境,必然会产生积极的制度绩效；相反,不合理的制度结构,则会产生消极的制度绩效。制度绩效的实际结果只有被当事人认识以后,才能成为引导当事人采取行动的激励或约束,诱致主体进行制度创新。其含义表明,主体认知可以通过影响制度结构的合理性来直接决定制度绩效,同时主体认知对制度绩效还具有主观评价的重要作用。制度结构和制度绩效对主体认知和外部环境具有反馈性作用,合理的制度结构和积极的制度绩效会强化主体的原有认知,改善外部环境；不合理的制度结构和消极的制度绩效则会削弱主体的原有认知,恶化外部环境。当外部环境和主体认知发生变化时,就意味着制度环境发生了变化,会产生潜在利润；主体基于自身认知,会对潜在利润的大小进行主观评价,并与成本进行比较；如果潜在利润大于成本,那么主体就会进行制度创新。因此,主体认知是制度变迁的直接推动力。基于以上理论分析,可以建立一个认知嵌入性制度变迁模型,作为本文分析的一般框架。具体到中国农地制度变迁问题,可以将以上一般模型具体化,来深入分析农民认知对中国农地制度变迁的影响。农民是中国农地制度的主要参与人之一,农民对中国衣地制度的认知状况直接决定了农民对待农地制度的态度,进而决定了其决策和行为；同时,农民的认知构成了政府对农地制度认知的基础。包括农民在内的主体认知与外部环境共同构成了中国农地制度环境,其中存在着两种意义上的互动关系,其一是包括农民在内的主体认知与外部环境之间的互动关系,其二是不同主体认知之间的互动关系。特定的中国农地制度环境会形成一定的中国农地制度结构,主要包括正式农地制度与非正式农地制度。一定的中国农地制度结构会带来一定的农地制度绩效。中国农地制度结构和中国衣地制度绩效会对主体认知和外部环境产生反馈作用,导致中国农地制度环境发生变化。中国农地制度环境的变化,会产生潜在利润,从而农民等主体会进行农地制度创新,最终推动中国农地制度发生变迁。因此,在中国农地制度变迁过程中,农民认知发挥了非常重要的作用。首先,农民认知构成了中国农地制度环境的主要组成部分；其次,农民认知与中国农地制度结构之间存在着互动的关系；再次,农民认知与中国农地制度绩效之间也存在着互动的关系；最后,农民认知推动了中国农地制度发生变迁。由此可见,农民认知贯穿了中国衣地制度变迁的全过程。研究中国农地制度变迁问题,需要从农民认知视角进行分析,这样才能深刻揭示中国农地制度变迁的认知内涵,给出中国农地制度变迁的本质含义。新中国成立初期的土地改革,尊重农民的意愿,适应外部环境,实行土地农民私有制,取得了积极的制度绩效,制度变迁是有效的。初级合作社阶段,外部环境发生了变化,农民要求在坚持土地农民私有制的基础上通过自愿的互助合作解决实际问题,农民的合理要求得到了中央政府的积极响应。初级合作社的农地制度结构满足了农民的意愿,适应了外部环境的变化,同样取得了积极的制度绩效,制度变迁也是有效的。高级合作社运动很大程度上是由中央政府基于自身对外部环境的主观认识而人为发起的,它实行集体所有、集体经营的农地制度结构,脱离了当时的外部环境,不符合广大农民的主观意愿,带来了消极的制度绩效,制度变迁是低效的。人民公社化运动,也主要是由中央政府基于自身对外部环境的主观认知依靠行政力量强制性推动的,它同样实行集体所有、集体经营的农地制度结构,超越了当时社会经济发展的实际水平,违背了农民的意愿,产生了消极的制度绩效,制度变迁是低效甚至无效的。家庭承包责任制首先是广大衣民自己的发明创造,是由农民通过自发的农地制度创新而逐步建立起来的,它实行土地集体所有、家庭承包经营的农地制度结构,能够适应经济社会发展的实际情况,符合农民的认知,满足了农民的意愿,取得了巨大的成就。随着中国经济社会的不断发展和进步,中国农地制度所面临的外部环境逐步发生变化,农民对土地的认知和要求也不断发生变化,土地所发挥的职能也在悄然发生变化,这些都构成了中国农地制度进一步变迁的动力,中国农地制度改革总体上沿着不断完善家庭承包责任制的路径进行,改革过程中不断赋予农民家庭内涵更加丰富、边界更加清晰的土地权利。因此,家庭承包责任制的建立和完善,都能够适应外部环境,符合农民主观意愿,产生了积极的制度绩效,制度变迁是有效的。对当代中国案例的深入分析,同样可以发现农民认知在现阶段中国农地制度改革中发挥了重要作用。扬州市土地股份合作制改革首先是由农民自发发起的,农民进行农地制度创新的原因是他们在主观上充分认识到外部环境变化所产生的潜在利润；在制度创新过程中,农民基于自身对外部环境的正确认识自发地选择了土地股份合作制这一形式,并结合当地实际情况不断进行完善；农地制度改革取得的成效鼓舞了农民,坚定了他们继续进行土地股份合作制改革的信念；农地制度改革取得的成效,也深刻地影响了地方政府的认知,使地方政府积极支持改革。由此可见,扬州市土地股份合作制改革具有深刻的农民认知内涵,农民认知在农地制度改革中发挥了重要作用。成都市统筹城乡土地制度改革是在特定的制度环境中展开的,农民的主观愿望和合理诉求构成了制度环境的重要部分；农地制度改革是由农民自发力量和政府自觉力量共同推动的；农地制度改革满足了农民的意愿,适应了外部环境的变化,取得了良好的制度绩效；合理的农地制度结构和良好的农地制度绩效反过来又强化了农民和政府等主体的正确认知,进一步推动了成都市农地制度改革的顺利进行。因此,成都市统筹城乡土地制度改革同样具有深刻的农民认知内涵,农民认知构成了改革的直接推动力。本文研究可以得出一些重要结论：中国农地制度变迁本质上是农民认知与政府认知相互调整以求适应外部环境变化的过程,其中农民认知发挥了重要作用；农地制度的整体效率取决于具体的制度安排是否尊重了农民的主观意愿；农民认知有效地推进了中国农地制度变迁；农地制度变迁过程也塑造了农民的认知。在研究的基础上,本文也提出了一些相关的政策启示：中国农地制度改革必须高度重视农民对农地制度的认知和愿望；保证农地制度改革能够适应包括农民认知在内的农地制度环境的不断变化；努力减少农地制度变迁过程中由于当事人认知互动而产生的交易费用,提高农地制度的效率；按照渐进的原则,逐步推进农地制度改革；考虑到不同地区农民对农地制度的主观要求不同,采取不同的改革模式。更多还原

【Abstract】 Institutional cognition theory and institutional behavior theory point out that institution has deep cognition intension and agents’cognition has important effects on institutional changes, then it can push on institution to change. In natural, institutional changes can be known as a mutual adjustment process between agents’cognition and outside environment, or as a mutual adjustment process among different agents’cognition. There have some likeness in a certain degree between mutual adjustment of agents’cognition and institutional changes.Through deeply analyzing the mechanism that agents’cognition impact on institutional changes, it can be found that agents’cognition is a main part of institutional environment, it plays an important role in institutional structure forming, it has important effects on institutional performance, so agents’cognition directly push on institution to change. Institutional environment contains outside environment and agents’cognition. There is a relation of continually mutual adjustment between outside environment and agents’ cognition. Outside environment is the basis of agents’cognition and agents’cognition has effect on outside environment. Meanwhile, there is a relation of continually mutual adjustment among different agents’cognition. One agents’cognition can effect on another agents’cognition. In the process continually mutual adjustment, two shapes of transaction cost may be made. One is the transaction cost because of outside environment uncertainty, another is the transaction cost because of agent limited rationality. Thus they make up total transaction cost in institutional environment. In order to trade successfully, agents need regulations to reduce transaction costs. The regulations are institutions. Different regulations make up a system which is institutional structure. Institutional structure includes formal and informal institutions. Formal and informal institutions are both formed by conscious agents’actions, and agents’cognition has important stipulation in specific contest. Institutional structure can produce some institutional performance. Because of respecting agents’desire and adapting to outside environment, rational institutional structure can certainly produce good institutional performance. In contrary, non-rational institutional structure may make negative institutional performance. Only being known by agents concerned, institutional performance can make agent to act and to innovate institutions. It means that agents’cognition may directly decide institutional performance through effect the rationality of institutional structure. On the same time, agents’cognition can subjectively evaluate institutional performance. Institutional structure and performance have feedback on agents’cognitions and outside environment. Rational institutional structure and good institutional performance can strengthen agents’cognition and improve outside environment. In contrary, non-rational institutional structure and negative institutional performance may weaken agents’cognition and worsen outside environment. If outside environment and agents’cognition change, institutional environment may change and potential profits are produced. Agent may evaluate the potential profits and compare it with costs on the basis of cognition oneself. If the potential profits are more than costs, agent may create new institutions. Agents’cognitions can directly push on institutions to change. On the basis of theoretical analyses above, this paper will make a model on institutional change embedded into agents’cognitions and regard it as a normal analytical framework.Then this paper will specify the model and use it to deeply analyze the changes of rural land system in China from farmers’cognition. The farmer is one of the main parties of rural land system in China. The farmers’cognition directly decides their attitude to rural land system. The farmers’decisions and actions depend on their cognition in big degree. The farmers’cognition is the basis of governments’cognition. Agents’cognition including farmers and outside environment make up farmland system environment in China. There are two mutual relations in it. One is the mutual relation between agents’cognition including farmers and outside environment. One is the mutual relation among different agents’cognition. A specific farmland system environment can form a specific farmland system structure mainly including formal and informal institutions. A specific farmland system structure can produce some farmland system performance. Farmland system structure and performance can take feedback on agents’cognition and outside environment, causing Chinese farmland system environment to change. When Chinese farmland system environment changes potential profits may be made. In order to getting the potential profits agents including peasant will innovate farmland system and push it to change. So in the process of Chinese farmland system change, the farmers’cognition gives very important roles to it. Firstly, farmers’cognition is a main part of Chinese farmland system environment. Secondly, there is a continually mutual adjustment relation between farmers’ cognition and farmland system structure. Thirdly, there is a continually mutual adjustment relation between farmers’cognition and farmland system performance. Finally, farmers’ cognition directly pushes on Chinese farmland system to change. Above all, farmers’ cognition is through all the process of Chinese farmland system change. It is necessary to study on Chinese farmland system change from farmers’cognition. Thus this paper can deeply give the farmers’cognition content and reveal the nature of Chinese farmland system change.New Chinese land reform which took farmers land ownership esteemed farmers’wants and adapted to outside environment. So it took good institutional performance and farmland system change was effective. In the period of primary cooperatives, the farmland system environment changed. Farmers want to resolve actual problems by voluntary cooperative on the basis of land private ownership. The central government positively responded farmers’rational wants. Chinese farmland system structure esteemed farmers’wants and adapted to the change of outside environment. So it took good institutional performance and farmland system change was effective. The central government sponsored the movement of higher cooperatives in line with its cognition on outside environment. In the period of higher cooperatives, Chinese farmland system structure was collective land ownership and collective management. It went against farmers’wants and brook away from outside environment. So it took negative institutional performance and farmland system change was invalid. The central government sponsored the movement of People’s Commune System in line with its cognition on outside environment. In the period of People’s Commune System, Chinese farmland system structure was collective land ownership and collective management. It went against farmers’wants and brook away from outside environment. So it took negative institutional performance and farmland system changing was invalid. The household responsibility system was firstly invented by farmers themselves. Chinese farmers spontaneously set up the household responsibility system. The farmland system structure was collective ownership and household management. It esteemed farmers’wants and adapted to the level of social and economic development. So it took great institutional performance. Following Chinese social and economic development, Chinese farmland system environment and farmers’cognition are changing step by step. The function of rural land is slowly changing. These become the motives of Chinese farmland system change. Chinese farmland system reform is on the way of constantly improving the household responsibility system. The reform constantly gives farmers more and clear rural land rights. Obviously the setting and improving of household responsibility system esteems farmers’wants and adapts to outside environment. So it takes good institutional performance and farmland system change is effective.The paper can find that farmers’cognition is very important to Chinese farmland system reform at present through deeply analysis on actual cases. The farmers themselves firstly sponsor rural land joint-stock cooperative system at Yangzhou in Jiangsu province. Because of realizing potential profits causing by outside environment changed, the farmers at Yangzhou innovated their farmland system. In the process of innovation, they voluntarily chose rural land joint-stock cooperative system on the basis of their right cognition on outside environment, and they improved the system in line with actual condition. The rural land joint-stock cooperative system makes good performance which encourages the farmers to continually reform. The good performance also effects on local governments’cognition and makes them to support farmers’reform. So farmers’cognition is very important to the rural land system reform at Yangzhou in Jiangsu province. The rural-urban integration land system reform at Chengdu in Sichuan province was made in special institutional environment. Farmers’wants was the main part of it. Farmers’spontaneous power and governments’conscious power altogether pushes on the reform. The rural-urban integration land system reform takes good performance because it esteems farmers’wants and adapts to outside environment. Rational rural land system structure and good performance can strengthen agents’cognition and improve outside environment. Thus it pushes on the reform going on. So farmers’cognition directly pushes on the rural-urban integration land system reform at Chengdu in Sichuan province.The paper can make some conclusions. In nature, Chinese farmland system change is the process in which farmers’and governments’cognition adjusts each other to adapt to outside environment. Farmers’cognition has very important roles in it. The whole efficiency of Chinese farmland system depends on if it can esteem farmers’wants. Farmers’ cognition effectively pushes on Chinese farmland system to change. Chinese farmland system changes make farmers’cognition. On the basis of study, the paper gives some policy advices. We must think highly of farmers’cognition and wants in the process of Chinese farmland system reform. The reform must adapt to the changes of institutional environment including farmers’cognition. Institutional efficiency can be raised by reducing transaction. We must take different reform models to meet farmers’special wants in different regions.更多还原