【作者】 杨丹；

【导师】 李容；

【作者基本信息】 西南大学 ， 农业经济管理， 2011， 博士

【摘要】 家庭联产承包责任制的实行极大地调动了农民的生产积极性,推动了中国农业生产力的提高,但随着市场经济的发展和国际竞争的加剧,这种制度安排的局限性逐渐开始显现出来：分散农户的小生产与大市场的矛盾日益尖锐,农产品市场波动日趋频繁,农户面临的风险不断增加,而抵御风险的能力并未得到有效提高。随着农村劳动力的大量转移,农户家庭内部实现了劳动力在农业和非农产业之间的分工,农村劳动力在非农产业内的分工和专业化发展有了长足的进展,但在农业领域内的分工和专业化水平并未得到相应的提高,这不仅使农业与非农产业之间的分工协作受到阻碍,更使农业难以通过迂回生产获得工业报酬递增的好处。家庭生产方式下,单个农户参与农业分工和进行农业专业化生产将面临难以承受的高额交易费用和巨大的专业化风险。在这种背景下,以农户互惠合作为基本原则,以节约农户交易成本、降低专业化风险、提高农户风险规避能力为功能特征的农民合作经济组织逐渐兴起,成为兼顾农业生产经营长期激励和促进农业分工与专业化发展的有效途径。但在农民合作经济组织蓬勃发展的态势背后,仍然存在很多很严重的问题,而且与发达国家相比,其对农业分工和专业化发展的推动也非常有限,这成为本研究的现实背景和出发点。与此同时,学术界对农业分工与专业化的研究存在明显不足。文献大多致力于对农业分工与专业化的作用及其影响因素的分析,但缺乏对农业分工和专业化形成与发展的过程与机理的研究。国内虽然有些文献提出农民合作经济组织是促进农业分工演进和农业专业化发展有效途径的观点,但也是主要致力于对农民合作经济组织发育的影响因素、功能和作用、以及组织内部治理结构等方面的研究,对土地细碎化、生产规模超小化背景下如何以保持家庭生产方式为前提有效组织农户参与农业分工和促进农业专业化发展的研究则寥寥无几。本文认为这一问题既是包括中国在内许多发展中国家面临的一个严峻政策挑战,也是发展经济学和农业经济学关于改造传统农业的重要研究领域,更是分工与专业化研究领域需要回答的重要问题。基于以上现实背景和学术背景,本文旨在立足现有研究成果,应用交易费用经济学、农户经济学、合作经济理论以及新兴古典经济学等分析工具,采用逻辑思辨分析、理论模型分析、实证模型分析和典型案例分析相结合的研究方法,对中国农民合作经济组织促进农业分工和专业化发展的作用机理进行更合理、更深入地解释,探寻家庭生产方式背景下我国农民合作经济组织发育以及农业分工和专业化发展的未来方向。因此本文要研究的问题是：(1)分工和专业化视角下农民合作经济组织产生的必要性,(2)农民合作经济组织促进农业分工和专业化发展的基本原理。本文的研究内容包括：(1)家庭生产方式对农业分工与专业化发展的局限。通过比较农业和工业产业特征的异同,分析农业领域自然再生产和经济再生产相交织的特征对农业分工和专业化发展的限制作用：并在此基础上通过分析农业领域特有的家庭生产经营方式如何使单个分散的农户具有弱质性特征,而难以承担农业分工产生的高额交易费用、考核费用、调费用,也难以承担农业专业化所带来的巨大专业化风险,来分析家庭生产方式对农业分工和专业化发展的限制作用。(2)家庭生产方式下农民合作经济组织产生的必要性。通过解释农民合作经济组织产生的现实逻辑,利用新兴古典经济学的超边际模型验证交易效率对农民合作经济组织产生的决定性影响,分析探讨农民合作经济组织帮助农户在分工和交易费用、专业化和家庭安全之间进行有效权衡、并改善农户家庭兼业化和农民职业化之间的权衡,以及在此基础上比较农民合作经济组织与市场方式、订单方式、企业方式等其他分工组织方式的优劣,来探讨家庭生产方式下农民合作经济组织产生的必然性。(3)我国农民合作经济组织的发展变迁,以及现阶段我国农民合作经济组织呈现出的不同形式和特点。通过对我国农民合作经济组织发展历程的分析,探讨现阶段更适合推进农业分工演进和专业化发展的农民合作经济组织产生的历史背景,剖析现阶段农民合作经济组织的类型以及与农业分工和专业化相关的特点。从改革开放前政府主导的强制性制度变迁,到改革开放后农民自发的诱致性制度变迁,现阶段的农民合作经济组织表现出更强的生命力；现阶段的农民合作经济组织虽然在一定程度上促进了农业分工演进和农业专业化发展,但仍存在一些问题和困难。(4)家庭生产方式下农民合作经济组织对农业分工的协调和促进。农业分工能够给参与分工的农户带来分工收益,但同时也必然产生交易需求和交易费用,因此农户需要在分工和交易费用之间进行权衡,而农业的产业特点以及家庭生产方式在一定程度上限制了农业分工演进,本文通过分析农民合作经济组织如何突破家庭生产方式的限制,帮助农户在农业分工和交易费用之间进行有效权衡,来探讨农民合作经济组织协调和促进农业分工的基本原理。(5)家庭生产方式下农民合作经济组织对农业专业化发展的促进作用。农业专业化能够给从事专业化生产的农户带来专业化经济收益,但同时带来的专业化风险也会威胁农户的家庭安全,因此农户需要在农业专业化和家庭安全之间进行权衡,而农业的产业特点以及家庭生产方式也在一定程度上限制了农业专业化发展,本文通过分析农民合作经济组织如何突破家庭生产方式的限制,帮助农户在农业专业化和家庭安全之间进行有效权衡,以及改善农户家庭兼业化和农民职业化之间的权衡,来探讨农民合作经济组织促进农业专业化发展的作用原理。本文的研究结论包括：(1)家庭生产方式对农业分工与专业化发展的限制表现在：①家庭生产方式使分散的单个农户支付搜寻成本、检验成本、监督考核成本和协调成本的能力较弱,从而限制了农户家庭获取分工经济的能力和程度。②专业化生产大大提高了农户家庭面临风险的可能性,削弱了农户通过多样化生产规避风险的有效性：而且,保障家庭安全的紧迫性以及农业的生态多样性、生产季节性、劳动投入非连续性等因素也限制了农户家庭专业化生产的意愿和能力。(2)农业分工是农业专业化的必要非充分条件,从农业分工到农业专业化是一个渐进的过程,而从农业分工演进到农业专业化发展是质的飞跃。参与农业分工的主体一旦进行了农业分工选择,就决定了其从事农业专业化的方向,但这种选择并不意味着立即能够实现农业专业化,而是一个渐进的过程。与工业和服务业分工到专业化的渐进过程相比,家庭生产方式使农业分工到农业专业化的渐进过程更加漫长,不确定性也更大。(3)家庭生产方式下单个农户难以通过市场、企业、订单等方式参与农业分工与专业化生产。家庭生产方式下单个农户仅通过市场方式参与农业分工会面临较大的市场不确定性和较高的交易成本,而农业生产的生命过程难以在企业内仅通过权威命令完成,订单方式虽然能在一定程度上降低交易成本但更容易产生机会主义风险,严重影响订单的稳定性。因此,家庭生产方式下,市场、企业、订单这些分工组织方式都不适合单个农户参与农业分工与专业化的发展。(4)分工和专业化视角下农民合作经济组织产生的条件是农民合作经济组织对农业分工的协调效率高于市场交易效率并能使参与农业分工的农户获得更高的效用水平。交易效率的提高是农业分工演进的必要条件,只有当农民合作经济组织对农业分工的协调效率高于市场交易效率时,农民合作经济组织才是农户参与农业分工的必然选择；而当农户从事专业化生产所需的学习成本越低、专业化收益越大时,农户越容易通过农民合作经济组织参与农业分工；交易服务从农产品生产和销售中分离出来,以及交易服务的交易效率的提高能够增加参与农业分工的农户所能获得的效用水平。(5)分工和专业化视角下农民合作经济组织产生的必要性在于农民合作经济组织既能够保证家家庭生产方式对农业生产的长期激励,又能够降低单个农户的交易成本、提高单个农户的抗风险能力,使单个农户能够获得更多农业分工和专业化发展的好处。家庭生产方式有效调动了农民的农业生产积极性,是现阶段最有效的农业生产经营组织形式,但单个农户参与农业分工并从事专业化生产必将面临高额交易费用和巨大专业化风险,农民合作经济组织以保证家庭生产方式对农业生产的长期激励为前提,通过合作方式使单个农户有机联系起来,并保证单个农户具有剩余索取权,能够有效降低单个农户的交易成本、提高单个农户的抗风险能力,使农户能够获得最大化的农业分工和专业化经济净收益,从而促进农业分工和专业化发展。(6)农民合作经济组织通过改善农户对分工与交易费用的权衡、专业化与家庭安全的权衡、农户家庭兼业化和农民职业化之间的权衡,提高农户获取分工经济和专业化经济的意愿和能力,促进农业分工和专业化的发展。①农民合作经济组织通过有效降低交易成本、协调成本、考核成本以及扩大市场范围改善农户对分工与交易费用的权衡效率,拓展农户分工经济的范围,提高农户参与分工的意愿和能力。②农民合作经济组织通过降低专业化风险、提高风险规避能力和专业化生产收益帮助农户更好地在专业化与家庭安全之间、农户家庭兼业化和农民职业化之间进行权衡,促进农业专业化发展,同时还通过提升农户的个人专业化水平、提高农业生产的迂回化程度和标准化程度增强农广的专业化生产能力和信心。本文可能的创新之处在于：(1)研究视角的创新。对于农民合作经济组织的现有研究多从制度、模式、治理结构等角度进行分析,而本论文从农业分工和专业化发展的视角出发,研究农民合作经济组织产生的必然性,以及农民合作经济组织对农业分工和专业化发展的促进作用,为农民合作经济组织的研究打开了更广阔的研究视野。(2)研究内容的创新。①充实了农业分工和农业专业化的概念框架,分析了家庭生产方式对农业分工和农业专业化的限制作用。②从促进农业分工演进和农业专业化发展的角度揭示农民合作经济组织产生的必要性,拓展和完善了农民合作经济组织研究的理论框架,丰富了农民合作经济组织研究的内容。③阐明了家庭生产方式下农民合作经济组织有效协调农业分工和推动农业分工并促进农业专业化发展的作用机理,为小规模经营和土地细碎条件下传统农业的改造和农民组织化程度的提高提供了理论支持和经验借鉴。(3)研究观点的创新。通过研究提出农业分工是农业专业化的必要非充分条件,从农业分工到农业专业化发展是一个渐进的过程；农民合作经济组织能够帮助农户在分工和交易费用、专业化和家庭安全之间进行更好地权衡,并改善农户家庭兼业化和农民职业化之间的权衡,从而促进农业分工和专业化发展等一系列新观点。更多还原

【Abstract】 The implementation of Chinese household contract responsibility system aroused farmers’ enthusiasm of agricultural production, improved agricultural productivity greatly. But with the development of market economy and the intensification of international competition, the limitation of this system begins to appear:the sharp contradiction between small-scale production of scattered farmers and large-scale market, the frequent fluctuation of agricultural production market, the increasement of risk that farmers faced, and farmers’ weak ability in shielding against risk. With a large number of rural labor transfer, the division of labor between agricultural and non-agricultural industry in farmer household is realized, and the agricultural labor division and specialization in non-agricultural industry has made great progress, but the division of labor and specialization in agricultural field has not got a corresponding improvement, which not only hinders the division of labor and cooperation between agriculture and non-agricultural industry, but also make it difficult for agriculture to get benefit from increasing returns of industry by roundabout production. Under household production mode, the individual farmer involved in agricultural labor division and specialization will face high transaction cost and bear huge specialization risk. Under this background, the farmer cooperative economic organization arise gradually, which are based on the principles of mutual cooperation, in order to save farmers’ transaction cost and reduce their specialization risk. It will be the effective way of offering long-term incentive to agricultural production and promoting the development of agricultural labor division and specialization. However, behind the booming trend, farmer cooperative economic organization still has many serious problems. Its promotion to development of agricultural division of labor and specialization is very limited, compared with developed countries, which is the reality background and starting point of this study.At the same time, the academic research about agricultural labor division and specialization is obviously insufficient. Most of the literatures focus on the role and impact of agricultural labor division and specialization, while the research on the formation and evolution process and mechanism of agricultural labor division and specialization are rare. Although some Chinese literatures advanced that farmer cooperative economic organization is effective way to promote the development of agricultural labor division and specialization, they are also focusing on the development factors, function and role, internal governance structure of farmer cooperative economic organization. There is little research on how to organize the farmers attending agricultural labor division and specialization development under the condition of land fragmentation and ultra-small scale production. This thesis argues this problem is serious policy challenge faced by many developing countries including China, and also is an important research area about transformation of traditional agriculture in development economics and agricultural economics, and is an important research problem in the research area of division of labor and specialization as well.Under above academic and practical background, this thesis use analysis tools including transaction cost economics, farmer household economics, cooperation economic theory, and new classical economics, adopt research methods containing logic ideological analysis, theoretical model analysis, empirical model analysis and typical case study analysis, to explain the mechanism of Chinese farmer cooperative economic organizations promote agricultural labor division and specialization development, to explore the future direction of the development of Chinese farmer cooperative organization, agricultural labor division and specialization, on the basis of current research achievements.So, the science question of this thesis includes:(1) the necessity of farmer cooperative economic organization’s generation under the perspective of division of labor and specialization, (2) the rationale of farmer cooperative economic organization promoting agricultural labor division and specialization development.The main content of this thesis includes:(1) The limitation of family production mode to agricultural labor division and specialization development. By comparing the industrial characteristics of agriculture and industry, this thesis analyses the restrictive effect of the natural reproduction and economic reproduction interweave characteristics of agriculture to agricultural labor division and specialization development. On this basis, this thesis analyses the restrictive effect of family production mode to agricultural labor division and specialization development, by analyzing how family production mode causes single scattered farmer has feeble feature, which cause farmer can’t pay high transaction cost, examination cost and coordination cost resulting from agricultural labor division, and also can’t bear enormous agricultural specialization risk resulting from agricultural specialization.(2) The necessity of farmer cooperative economic organization generation under the background of family production mode. This thesis explains the realistic logic of farmer cooperative economic organization generation, uses inframarginal model in new classical economics to examine the decisive influence of transaction efficiency to the generation of farmer cooperative economic organization, analyzes how farmer cooperative economic organization help farmers balance between agricultural labor division and transaction cost, balance between agricultural specialization and family security, balance between farmer household with multiple occupations and professional farmer, compares the advantages and disadvantages of different labor division organizing modes among farmer cooperative economic organization mode, market mode, contract farming mode, and enterprise mode, to study the necessity of farmer cooperative economic organization generation under the background of family production mode.(3) The development and change of Chinese farmer cooperative economic organizations, and the different forms and characteristics of current Chinese farmer cooperative economic organizations. This thesis analyzes the development history of Chinese farmer cooperative economic organizations, explores the historical background of farmer cooperative economic organization generation, which is more suitable to promote agricultural labor division and specialization development, analyses the type and characteristics about agricultural labor division and specialization of current farmer cooperative economic organizations. From government leading mandatory institutional change before Chinese economic reform to farmer spontaneous induced institutional change after Chinese economic reform, current farmer cooperative economic organization shows more vigorous. Although current fanner cooperative economic organizations promote agricultural labor division evolution and agricultural specialization development partly, there are still some problems and difficulties for the development of organizations.(4) The promotion and coordination of farmer cooperative economic organization to agricultural labor division under the background of family production mode. Agricultural labor division can bring labor division income to farmers, while it can produce transaction cost. So it is important for the farmers to balance between agricultural labor division and transaction cost. Agricultural industrial characteristics and family production mode limit the evolution of agricultural labor division in some extent. This thesis analyzes how farmer cooperative economic organization break the limitation of family production mode to help farmers balance between agricultural labor division and transaction cost effectively to explore the rationale of farmer cooperative economic organization coordinating and promoting agricultural labor division.(5) The promotion of farmer cooperative economic organization to agricultural specialization under the background of family production mode. Agricultural specialization can bring specialization income to farmers; while it can produce specialization risk threaten farmer’s family security. So it is important for the farmers to balance between agricultural specialization and family security. Agricultural industrial characteristics and family production mode limit the development of agricultural specialization in some extent. This thesis analyzes how farmer cooperative economic organization break the limitation of family production mode to help farmers balance between agricultural specialization and family security, balance between farmer household with multiple occupations and professional farmer effectively, to explore the rationale of farmer cooperative economic organization promoting agricultural specialization.The main conclusion of this thesis includes: (1) The restrictions of family production mode to agricultural labor division and specialization development are as follows;①Family production mode make it difficult for individual farmer to pay search cost, inspection cost, monitoring cost, evaluating cost and coordination cost, thus limiting the ability and extent of farmer to obtain the labor division economy.②The specialized production increase the likelihood of farmer facing risk greatly, undermine the effectiveness of farmer avoiding risk by diversification of production; in the meanwhile, the urgency of protecting family security, the biodiversity, seasonal production, non-continuous labor input of agriculture restrict farmer’s willingness and ability of specialized production.(2) Agricultural labor division is a necessary but not sufficient condition for agricultural specialization; it is a gradual process from agricultural labor division to agricultural specialization, and it is a qualitative leap from the evolution of agricultural labor division to agricultural specialization development. Once farmer chooses to attend the agricultural labor division, it determines the direction of its agricultural specialization, but this choice does not mean that agricultural specialization can be achieved immediately. Compared to the gradual process from labor division to specialization of industry and service industry, family production mode make the gradual process from agricultural labor division to specialization longer and has greater uncertainty.(3) It is difficult for individual farmer to attend agricultural labor division through market, enterprise, contract farming and other ways, under family production mode. Individual farmer attend agricultural labor division only through (?)rket will face greater market uncertainty and high transaction cost. The life process of agricultural production is difficult to complete in the enterprise only through the authoritative command. Individual farmer attend agricultural labor division through contract farming can reduce transaction cost partly, but it will produce risk of opportunism, which will affect the stability of the contract seriously. Therefore, under the family production mode, the organization mode of labor division including market, enterprise and contract farming, are not suitable for individual farmer to attend agricultural labor division and specialization development.(4) From the perspective of division of labor and specialization, the generation condition of farmer cooperative economic organization is its coordination efficiency to agricultural labor division is higher than market transaction efficiency, and it can make farmers who attend agricultural labor division get higher utility level. The improvement of transaction efficiency is the necessary condition of agricultural labor division evolution. Only when the coordination efficiency of farmer cooperative economic organization to agricultural labor division is higher than market transaction efficiency, farmer cooperative economic organization is an inevitable choice for farmer to attend agricultural labor division. When the lower the learn cost for farmer to attend agricultural labor division, and the more the specialization benefit, the easier for farmer to attend agricultural labor division by farmer cooperative economic organization. Transaction service is separated from agricultural production and sales, and the improvement of the transaction efficiency of transaction service can increase the farmers’utility level who attends agricultural labor division. (5) From the perspective of division of labor and specialization, the necessity of farmer cooperative economic organization generation is it not only can ensure the long-term incentives of family production mode to agricultural production, but also can reduce the transaction cost of individual farmer, and improve the ability to resist risk of individual farmer, which can make individual farmer get more benefits from agricultural labor division and specialization development. Family production mode is the most effective agricultural production and operation organization form at present stage, which can encourage farmers work on agricultural production. While individual farmer attend agriculture labor division and engage in specialized production will face high transaction cost and great specialization risk. On the basis of ensuring the long-term incentives of family production mode to agricultural production, farmer cooperative economic organization connect individual farmers together by cooperation way, and ensure individual farmer has residual claim, can reduce the transaction cost of individual farmer, improve the ability to resist risk of individual farmer effectively, enable farmers to get the maximum benefits from agricultural labor division and specialization, so as to promote agricultural labor division and specialization development.(6) Farmer cooperative economic organization improve farmer’s willingness and ability to get benefits from agricultural labor division and specialization, and promote the development of agricultural labor division and specialization, through improving farmers balance between agricultural labor division and transaction cost, balance between agricultural specialization and family security, balance between farmer household with multiple occupations and professional farmer.②Farmer cooperative economic organization improve the balance efficiency between agricultural labor division and transaction cost, expand the scope of labor division economy, improve the willingness and ability of farmer to attend agricultural labor division, through reducing transaction cost, coordination cost, examination cost, and expanding market range.②Farmer cooperative economic organization help farmer better balance between agricultural specialization and family safety, balance between farmer household with multiple occupations and professional farmer, and promote the development of agricultural specialization, through reducing specialization risk and improving risk averse ability and specialization benefit. In the meanwhile, it strengthen farmer’s specialized production ability and confidence, through improving farmer’s personal specialized level, agricultural production roundabout degree and standardization level.The possible innovation of this thesis includes:(1) Innovation of research perspective. Most current research about farmer cooperative economic organization pays more attention to its institution, mode and governance structure. This thesis study the necessity of farmer cooperative economic organization generation, and its promoting effect to agricultural division of labor and specification development, from the perspective of agricultural labor division and specialization development. It open a broader research vision for the research of farmer cooperative economic organization. (2) Innovation of the research content.①This thesis enriches the conceptual framework of agricultural division of labor and specialization. It analyzes the constraint of family production mode to agricultural division of labor and specialization.②From the aspect of promoting agricultural division of labor evolution and development of agricultural specialization, this thesis reveals the necessity of farmer cooperative economic organization emergence. It expands and improves the theoretical framework of farmer cooperative economic organization and enriches the research content of farmer cooperative economic organization.③This thesis clarifies the mechanism of farmer cooperative economic organization coordinating agricultural division of labor and promoting agricultural specialization development under family production mode. So it provides the theoretical support and practical experience for traditional agriculture transformation and improvement of farmers’ organization degree under small scale production and land fragmentation condition.(3) Innovation of research viewpoint. This thesis put forward a series of new viewpoints as follows:agricultural division of labor is a necessary but not sufficient condition for agricultural specialization, it is a gradual process from agricultural division of labor to agricultural specialization; farmer cooperative economic organization can help farmer balance between agricultural division of labor and transaction cost, balance between agricultural specialization and family security, balance between farmer household with multiple occupations and professional farmer, and it can promote agricultural labor division evolution and agricultural specialization development.更多还原