【作者】 薛继亮；

【导师】 李录堂；

【作者基本信息】 西北农林科技大学 ， 农村人力资源管理， 2012， 博士

【摘要】 我国传统的集体经济制度是农业社会主义改造的结果。自从废除了人民公社制度以后，我国农村集体经济的实现形式、功能和发展途径都发生了显著的根本性变化。在我国广大农村地区，集体经济组织与农村土地集体所有结合逐渐构成了“土地集体所有，农户承包经营”的农村基本经营制度，解放了农村生产力，但也使得农村集体经济组织与村民委员会和村党支部在功能上具有很大的重合。20世纪70年代末以后，在广大农村地区，依靠兴办集体所有制乡镇企业，集体经济有过较快的发展时期，如“苏南模式”、“诸城模式”等。20世纪90年代中期以后，由于全面实施乡镇企业产权制度改革，推行社区股份合作社和土地股份合作制，农村集体所有制改革取得重大突破。近几年来，一些地区引导农村集体经济组织从过去直接兴办集体企业，转变为主要发展集体物业和实施土地流转，农村集体经济发展出现了许多新的特征。从总体上来看，目前我国农村村级集体经济发展不平衡，多数村级集体经济力量薄弱，在提供农村公共设施和服务等方面发挥的作用比较有限。发展和壮大农村集体经济，成为化解当前农业农村社会经济矛盾的关键。而发展和壮大农村集体经济，必须探索农村集体经济的有效实现形式。从集体经济发展的起源来看，农村集体经济经历了产生、发展、曲折、复苏、增长、调整以及完善的演化过程。从集体经济发展的形态来看，有中心城区的集体经济、郊区的集体经济和农区的集体经济；从区域分布来看，又分为发达地区和后发地区的农村集体经济。从发展的组织形态来看，也是多种多样的。这样的一种历史演化和现实使得寻找农村集体经济的有效实现形式面临较大的挑战。对此，本文从分工不足、契约不完全和市场发育不均衡导致农村集体经济发展实现形式多样化的假设出发，深入探索农村能人型、政府主导型和契约型的农村集体经济发展有效实现形式，再从宏观和微观两个角度分析并解释了当前我国农村集体经济发展有效实现形式创新的趋势，探索传统农区和近郊以及城中村的农村集体经济有效实现形式的发展模式及其治理机制，最后在总结我国农村集体经济实现形式发展的经验教训后，提出了新型农村集体经济有效实现形式的制度设计。本研究的具体研究结论如下：（1）分工、市场化程度以及区域经济发展不平衡是导致农村集体经济实现形式多样化的三大原因。多样化形式的根本原因在于公有制实现形式多样化。公有制实现形式多样化，是在不改变公有制经济根本性质的前提下，使农村集体经济公有资产组织形式和经营方式多样化，形成了多种实现形式的农村集体经济。（2）农村能人成长具有典型的外生特征，但是内生性的农村人才成长机制对农村经济发展具有不可替代的重要作用。在经济方面，农村能人人力资本通过对先进技术的消化吸收和二次创新，可以促进农村经济社会的发展。在政治方面，农村能人的努力程度和代理能力水平分离可以有效利用市场激励和弥补市场失灵，从而实现农村集体经济实现形式的经济功能和社会服务功能的剥离。从这两个角度，提出了村级集体企业管理层收购（MBO）和建立“职业村长”市场等两条能人主导型农村集体经济形式的实现路径。（3）从农业园区和社会服务功能的视角探索政府主导型农村集体经济有效实现形式。农业园区作为农村集体经济发展有效实现形式最重要的原因在于集群的集聚性和扩散性可以为农民创业提供便利的场地及其他基础设施，可以形成资本、资源的集聚，从而降低交易成本，容易产生样板的示范效应，鼓励和激励农民创业；通过对蒂布特模型的验证发现：集体经济和政府公共支出的差异以及政府公共支出的区域差异导致当前农民的跨区域迁移，政府主导型农村集体经济发展有效实现形式要关注社会公共服务。（4）从产业的角度分析契约型农村集体经济发展有效实现形式时发现，农业前向一体化程度在食品制造业和纺织、缝纫及皮革产品制造业中最高，农业产业后向一体化程度最高的是食品制造业。这就需要农业发展要立足这些产业，进行农业模块化分工，促进农业产业合作发展，最终形成现代化大农业。从组织的角度分析契约型农村集体经济发展有效实现形式时得出农业产业合作经济组织的出现是由交易效率决定的，但是农业合作经济组织的特质决定了组织和农户合作不仅是资本和技术的合作，更是监督合作。监督合作的缺失是组织和农户之间的机会主义行为和敲竹杠行为泛滥的原因。因此，完善契约型农村集体经济发展有效实现形式的关键在于培育市场主体的契约观。（5）未来农村集体经济发展有效实现形式创新的关键在于化解国家对集体土地权利的限制和集体对土地权利的争取和保护的产权分配以及农户以何种方式把土地以其价值参与到农村社区合作社中来。考虑到未来工商资本和金融资本可能会涌入农村和农业，围绕农村集体经济发展有效实现形式创新可能会出现某些国有化特征。未来的农村集体经济发展有效实现形式创新的趋势可能会围绕发展循环农业，实行中央管农垦和超大型龙头企业，省管大宗农产品基地和大型龙头企业等一定程度的国有化来实现新型农村集体经济实现形式。更多还原

【Abstract】 Chinese traditional collective economic system is the result of agricultural socialisttransformation. Since abolishment of the people commune system, radical variation hashappened to the realizing forms, function and developing ways of Chinese rural collectiveeconomy. In Chinese rural areas, collective economy organizations and collective ownershipof rural land gradually constituted the basic system for the rural economy，the system ofcollective possession but operated by contracted family, which emancipated ruralproductivity. However, the basic system for the rural economy overlapped the function ofrural collective economy organizations with the function of the villager committee andvillage party branch. After the end of the1970s, by setting up township enterprises withcollective ownership, collective economy underwent a rapid developing period, such as “SuNan Model”、“Zhu Cheng Model”. Since the mid1990s, the rural collective ownershipreform has undergone a key breakthrough, owning to the full implementation of propertyright system reform for township enterprises as well as the operation of the cooperative forcommunity shares and the cooperative for community shares. Recent years, some areasleaded rural collective economy organizations changing from setting up collective enterprisesdirectly to mainly developing the collective property and implementing land circulation,producing some new features in rural collective economy development.From the overall, now Chinese village-level collective economy exists problems inunbalanced development, weak force and limited function in providing rural public facilitiesand services. The key to resolve these problems is to develop and expand the rural collectiveeconomy, which will be realized in exploring effective realizing forms. From the origin of thecollective economic development, rural collective economy has undergone evolution processfrom generation, development, twists and turns, recovery, growth to maturity. From the formof the collective economic development, rural collective economy includes central towncollective economy, suburb collective economy and farming area collective economy. Fromthe areal distribution, it includes developed areas and backward areas. From organization form, it has various forms. Therefore, evolution history and reality of rural collectiveeconomy makes a great challenge to explore its effective realizing forms.Based on this, the paper starts from the hypothesis that shortage of labor division,incompleteness of contracts and unbalanced market growth are reasons of the realizing formdiversification in rural collective economy development, deeply reaches on effective realizingforms with rural talents type, government-led type and contractual type. And then, it analysesthe current innovation trend in effective realizing form of Chinese rural collective economicdevelopment in macroscopic and microcosmic perspective, exploring development model andits governance mechanisms of effective realizing forms of rural collective economy intraditional agriculture, suburb and urban villages. Finally, by summing up the experiencesand lessons of effective realizing forms in Chinese rural collective economic development,the paper proposes system design of effective realizing forms in new rural collectiveeconomy. Specific research conclusions of this study are as follows:（1）The division of labor, the degree of marketization, and unbalanced regionaleconomic development are the three main reasons of the realizing form diversification inrural collective economy development. But its primary cause is the diversified realizing formsof public ownership, which means to diversify public assets of the rural collective economicorganization forms and mode of operation, and then to produce various forms of ruralcollective economy without changing the fundamental natures of the public ownershipeconomy.(2) The endogenic rural talent training mechanism plays an irreplaceable role in ruraleconomic development. From two perspectives, this paper presents two paths of talent-ledtype in rural collective economy: management buyouts of village-level collective enterprisesand establishment “professional village head” market. In economic perspective, humancapital of rural talents can promote economic and social development through the digestionand absorption of advanced technology and secondary innovation. In political perspective, theseparation of rural talents effort level and agent capability level can achieve the stripping ofthe economic functions and social service functions in rural collective economic realizingforms, by taking advantage of market incentives and compensating market failure.（3）Effective realizing forms of government-led rural collective economy are exploredfrom the perspective of the agricultural parks and social service functions. The crucial reasonof agricultural parks as an effective realizing form is that the gathering and diffusion of thecluster provide convenient venues and other infrastructure for farmers and then reducingtransaction costs by forming the agglomeration of capital and resources. Moreover, through the empirical study of Tiebout Model, the paper finds inter-regional migration of peasants iscaused by the difference between the collective economy and government public spending aswell as the regional differences of government public spending. Therefore, thegovernment-led type of effective realizing forms in rural collective economic developmentshould pay attention to the social public services.(4) The key of completing contractual type of effective realizing forms is to cultivate thecontract view of market players. Analyzing from the industrial perspective, the paper findsthe level of agricultural forward integration is highest in the food industry and textile, sewingand leather products manufacturing, while, agricultural afterward integration is highest infood manufacturing. This requires agricultural development should keep a foothold on theseindustries, carry out the agriculture modular division, promote cooperation and developmentof agricultural industry, and ultimately form and develop modern agriculture. Analyzing fromthe organizational perspective, the paper finds the emergence of agricultural cooperativeeconomic organizations is determined by the transaction efficiency, but the characteristics ofagricultural cooperative economic organizations decide that the cooperation betweenorganizations and farmer is not only in capital and technology, but in mutual supervise.(5) The key of effective realizing forms innovation in future rural collective economicdevelopment of lies in resolving the country’s restrictions on collective land rights, thecollectivity fighting for land rights, the allocation of protective property rights and the waysfor farmers to involve in rural community cooperatives. The trend of the innovation mayfocus on the development of circular agriculture and the implementation of a certain extent ofnationalization, which means central government managing agricultural reclamation andleading enterprises, meanwhile, provinces managing staple agricultural base and largeenterprises.更多还原