【作者】 张晓川；

【导师】 李容；

【作者基本信息】 西南大学 ， 农林经济管理， 2012， 博士

【摘要】 本研究从新制度经济学的角度提出了分析农业技术推广服务供给的政府边界和市场边界的基本框架。并在此基础上分析农业技术推广服务供给的交易属性,界定农业技术推广服务交易费用的概念和构成,并分析影响交易费用的因素,以及由此产生的交易治理结构选择问题。然后结合国内外农业技术推广服务供给体系的演变历程,对农业技术推广服务供给的政府边界与市场边界进行分析。由于农业技术推广服务具有公共物品属性,世界大多数国家都采用了政府治理的方式,由政府投资建立公共农业技术推广服务体系。但自上世纪80年代以来,公共农业技术推广体系开始因服务缺乏针对性、效率低下等问题受到质疑,并逐步向多元主体参与农技推广服务的方向发展。我国的农业技术推广体系白上世纪80年代家庭联产承包责任制广泛实施开始,也经历了一系列改革,并逐步发展出以政府为主导的多元化农业技术推广服务体系。这一推广体系为促进各个时期粮食增产、农业增效、农民增收,以及保障国家粮食安全和主要农产品有效供给做出了重要贡献。但是由于长期以来公共农业技术推广体系公益性推广职能与经营性推广职能不分,导致推广服务的公益性特征逐步淡化,营利性特征则日益明显。这种趋势不但不符合农业技术推广服务公益性的基本要求,还使市场化的农业技术推广服务的发展空间受到挤压。因此,划分农业技术推广服务中政府与市场两种不同治理模式各自的职能范围就显得相当必要。这对于实现政府提出的“分离经营性职能、强化公益性职能”的农业技术推广体系改革目标具有重要的参考价值。本研究从交易费用理论出发,分析了农业技术推广服务的交易特征和交易费用构成,并以此为基础,对我国及部分有代表性的国家农业技术推广服务供给制度的变迁、农业技术推广服务的政府与市场的边界确定等问题进行了探讨,并得出了一个基于交易费用理论的分析框架。本文的研究内容包括以下几个方面：(1)农业技术推广服务的交易属性及对推广服务交易特征和交易费用的影响。分析明确农业技术推广服务的本质属性,阐明农业技术推广服务的交易特征,并在此基础上定义农业技术推广服务的交易费用,分析农业技术推广服务交易的治理结构特征,以及交易费用的影响因素。(2)基于交易费用理论的农业技术推广服务政府与市场供给边界研究框架的建立及边界的划分。沿着交易特征→交易费用→契约选择→边界确定的技术路线,构建农业技术推广服务供给政府与市场边界的研究框架,并运用该分析框架结合现实条件对政府与市场的边界进行划分。然后结合发达国家农业技术供给制度设计对研究框架进行验证。(3)农业技术推广服务交易治理结构的动态变化及其影响因素。(4)对我国农业技术推广服务供给制度的评价。通过对我国农业技术推广服务供给制度变迁的历史和现状的分析,结合政府与市场边界分析框架和部分案例,对现有的制度安排的得失做出评价,寻找制度改进的切入点。(5)基于政府与市场边界划分的农业技术推广服务供给制度政策建议。归纳研究结论,根据制度评价得到的结论,提出对农业技术推广服务供给制度改进的建议。本研究提出了如下政策建议：(1)由非政府推广机构承担农业技术产品的供给,政府推广机构专门负责农业技术服务的供给根据交易特性,农业技术产品可以较好地通过市场机制进行交易,政府可以退出该领域,专门负责农业技术服务的供给。另外,农业技术服务中那些交易持续时间短、收益外溢不明显的交易也可以交由市场化农业技术推广机构负责推广而农业技术服务由于具有较高的资产专用性、不确定性和较低的交易频率,则主要应当由政府负责承担。因此在今后的农业技术推广服务供给制度设计中,应全面剥离公共农技推广部门农业技术产品的供给职能,令其市场化发展。(2)提高政府农业技术推广服务机构的专业化程度一方面要提高机构职能的专业化程度,剥离推广服务以外的其他职能,确保基层农业技术推广服务机构能够全身心地投入推广工作。另一方面要提高推广人员的专业化程度,调整推广人员薪酬制度,改善农业技术推广人员的工资待遇和生活条件,调动他们的工作积极性,鼓励农业技术推广人员加强业务学习,不断丰富和更新专业知识,强化推广技能,探索新的推广方式,提高面向农户传播农业技术知识和信息的效率,以此来改善农业技术推广机构与农户之间信息不对称的局面。(3)提高农业生产的规模化程度在未来的发展中,应当围绕合作社在农业技术推广方面的作用机制,制定相应的扶持政策,鼓励合作社参与农技推广,对合作社主导或参与的农业综合开发项目中的技术投资给予更多财政补贴或资金支持。鼓励合作社做大做强,在成员规模、资金规模、生产规模、技术实力等方面不断提升,强化其参与市场交易的能力。鼓励各方以合作社为载体,联合企业、大学、科研机构或其他组织机构,以各方的共同利益为基础,以具有法律约束力的契约为保障,形成的联合开发、优势互补、利益共享、风险共担的技术创新合作组织,加快农业科技创新和推广。(4)加强法律建设第一,重新修改1993年颁布的《中华人民共和国农业技术推广法》,以法律形式明确政府农业技术推广机构的公益职能,并对市场型农业技术推广机构的设立和运行进行规范;第二,进一步完善《农民专业合作社法》。(5)培育职业农民新型职业农民应当是是农业先进科技的应用者、农业生产的投资者、农业经营的决策者、农业生产市场与自然风险的承担者。各级政府应把培养新型农民纳入工作日程,选择素质高、能力强的新型农民,采取有效措施,调动社会各方面的积极性,发挥现有各类培训资源作用,建立政府扶助、面向市场、多元办学的农民教育培训体系,培养一批优秀的专职从事农业生产的新型职业农民。新型职业农民在科学文化素养、劳动能力、创新意识方面都应当优于传统农民,这对促进先进农业技术的推广普及无疑具有重要作用。(6)加强科研教育机构在农业技术推广服务中的作用科研教育机构作为农业技术知识的创新者和供给者,可以充分发挥信息渠道和专业技能上的优势,向农户提供农业技术信息和农业服务。这样既可以节约交易中的信息费用,也可以减少农业技术推广服务工程中专用性资产的重复投资。另外,农业科研教育机构作为政府农业公共科研投资的主要完成者,应对其掌握的公共科研成果进行共享,以便农业企业降低技术信息的取得成本,从而将更多的资金用于应用性成果的研发,通过专用型准租的形成和保护实现农业技术产品配套服务的免费供给。本研究应用交易费用理论、不完全契约理论和制度变迁理论对农业技术推广服务供给的政府与市场边界进行研究,创新之处体现为以下方面：第一是研究视角的创新。本研究将交易费用概念引入农业技术推广这一非市场交易的公共服务领域,拓展了交易费用经济学分析框架的应用范围,也为理解公共农业技术推广制度的建立和变迁提供了一个新的研究视角。第二是研究内容的创新。本研究基于交易费用理论,结合制度变迁理论和不完全契约理论,从制度环境和治理机制两个方面对农业技术推广服务供给的制度安排进行了讨论,拓展了农业技术推广制度研究的理论框架。第三是研究观点的创新。本研究重新界定了农业技术推广服务的本质属性,并指出农业技术推广服务实际上是农业技术产品交易和农业技术服务两者的结合,在此本质属性的基础上表现出公共物品属性。农业技术推广服务的制度变迁应该以降低农业技术推广服务交易费用为目标。更多还原

【Abstract】 This study provides a basic framework for analyzing the boundaries between the government and market on the supply of agricultural extension services from the perspective of new institutional economics. On this basis, the transaction attribute of the supply of agricultural extension services is analyzed, and the concept and composition of the transaction costs of agricultural extension services are defined. The factors that affect transaction costs and the resulting problem of transaction governance structure choice are also involved. Then, combined with the evolution process of the supply system for domestic and international agricultural extension services, government boundary and market boundaries for the supply of agricultural extension services are analyzed.Due to the public goods properties of agricultural extension services, most countries of the world established public agricultural extension service system by the government investment. However, since the1980s, public agricultural technology extension system has been questioned for its inefficient and lack of service targets, and gradually took the way of diversification. China’s agricultural technology extension system experienced a series of reforms since the wide implementation of household contract responsibility system which took place in1980s, and gradually develops a government-led diversification of agricultural extension services system. This extension system has made important contributions in various periods to promote the grain output, agricultural efficiency and farmers’income, as well as ensuring the national food security and the effective supply of main agricultural products. However, due to the long standing function confusion between the non-profit extension and profit-making extension of public agricultural technology extension system, the public good characteristics of the extension services fade gradually, while the profit characteristics has become increasingly evident. This trend does not meet the basic requirements of public welfare of the agricultural extension services, and it squeezes the space of market-oriented agricultural extension services as well. Therefore, the division of the scope of government and the market in agricultural extension services has become quite necessary. This study analyzed the transaction characteristics of the agricultural extension services and the structure of transaction costs on the basis the theory of transaction costs, and then discussed the changes of China and some other representative countries’national agricultural technology extension service delivery system, and obtained an analytical framework based on transaction cost theory. This study includes the following aspects:(1) The transaction attribute of the services and how it influences he transaction characteristics and transaction costs of agricultural extension service.Analysis of the essential attribute of clear agricultural extension services, to clarify the trading characteristics of the agricultural extension services, and on this basis to define the transaction costs of agricultural extension services, analysis of the governance structure of the transaction characteristics of the agricultural extension services, and transaction costs of influencing factors.(2) The establishment of the research framework about the supply boundary between the government and market on the basis of the transaction cost theory and the delineation of the border.Down the route of transaction characteristics→transaction costs→Contract→boundary to determine the technical route, and build the framework of government and the market boundary of the supply of agricultural extension services, and the use of the analytical framework into account the actual conditions on the boundary of the government and the market divided along the trading characteristics. Then validate the research framework.combined with the design of developed countries’ agricultural technology system.(3) dynamic changes in the governance structure of agricultural extension services transactions and its influencing factors.(4) evaluation of China’s agricultural extension services supply system. Through the analysis of the history and current situation of China’s agricultural extension service delivery system changes, combined with the analytical framework and some cases of the government and the market boundaries, to make evaluation of the pros and cons of the existing institutional arrangements, and find the entry point of the system improved.(5) Based on the government and the market boundaries by agricultural extension services supply system policy recommendations. Summarized the research findings, and make suggestions for improvement on the supply system of agricultural extension services according to the system evaluation conclusion.This study proposes the following policy recommendations:(1) The non-governmental agencies promote the supply of agricultural products, government promotion agency specializing in the supply of agricultural technical servicesBased on transaction characteristics, agriculture products better through the market mechanism to trade, the government can withdraw from the field, specializing in the supply of agricultural technical services. In addition, the transaction duration is short, agricultural technical services income spillover of the transaction is not obvious by the market-oriented agricultural technology promotion agencies responsible for promoting. Agricultural technical services because of high asset specificity, uncertainty and lower transaction frequency should primarily be borne by the Government is responsible. In the supply system of agricultural extension services in the future, should be fully stripped the supply functions of the public agricultural extension department of agriculture products to make it market-oriented development.(2) The degree of specialization of the government agricultural extension services need to be improvedTo improve the degree of specialization of the agency functions on the one hand, and stripped the other functions outside of the extension services, to ensure that the grass-roots agricultural technology extension services to dedicate themselves to promote the work. The other hand, to improve the degree of specialization of the extension workers, to adjust the promotion of staff remuneration system to improve the wages and living conditions of the agricultural extension workers, and arouse their enthusiasm for work, to encourage agricultural extension workers to strengthen the business to learn, and constantly enrich and update their professional knowledge, and strengthen the promotion of skills, explore new ways of promotion, to improve the efficiency of farmer-oriented dissemination of agricultural knowledge and information in order to improve the situation of information asymmetry between the agricultural technology promotion agencies and farmers.(3) Improve the degree of the scale of agricultural productionFuture development should focus on the role of cooperatives in the agricultural technology promotion mechanisms, to develop appropriate support policies to encourage cooperatives to participate in agricultural extension, cooperatives led or participated in comprehensive agricultural development projects in the investment in technology to give more financial subsidies or financial support. Encourage cooperatives to become bigger and stronger, and members of scale, fund size, production scale, and technical strength and improve, and strengthen their ability to participate in market transactions. Encourage the parties to form cooperatives and joint ventures, universities, research institutions or other organizations, based on the common interests of all parties to a legally binding contract for the protection of the joint development of complementary advantages, benefit-sharing, risk-sharing technology innovation Cooperation Organization, to accelerate the innovation and promotion of agricultural science and technology.(4) Strengthen the legal constructionFirst, revising the People’s Republic of China promulgated in1993, Agricultural Technology Promotion Act, the legal form of a clear government agricultural agencies to promote the public welfare functions, and market-based agricultural technology promotion agencies, the establishment and operation of the specification; further improve the farmers’professional cooperative law.(5) Cultivate professional farmersThe new professional farmers should be the application of advanced agricultural technology, agricultural production, investors and business decision-makers in agriculture, agricultural production, markets and natural risk bearers. All levels of government should be to train new farmers into the work schedule, select high quality, the ability of new farmers to take effective measures to mobilize the enthusiasm of all sectors of society, to play the role of the existing types of training resources, the establishment of the Government to assist market-oriented, The farmers of diversity in school education and training system, to develop a number of outstanding full-time new professional farmers engaged in agricultural production. The new professional farmers in science literacy, the ability to work, the sense of innovation should be better than the traditional farmers, and this undoubtedly has an important role in the promotion of advanced agricultural technology popularized.(6) To strengthen the role of research and education institutions in the agricultural extension servicesResearch and education institutions as an innovator and provider of agricultural technology knowledge, you can give full play to the advantage of the channels of information and expertise, to provide agricultural information and agricultural services to farmers. This is to save the information in the transaction costs can also reduce the duplication of investment in dedicated assets in the agricultural extension services project. In addition, agricultural research and education institutions, government investment in public agricultural research completed to deal with the public scientific research in their hands to be shared, for agricultural enterprises to reduce the cost of the acquisition of technical information, so that more funds for the application of the results of R&D special type of quasi-rent formation and protection of the agricultural product support services provided free of charge.This study applied the theory of transaction costs, incomplete contract theory and institutional change theory to study the government and the market boundary of the supply of agricultural extension services, the innovation embodied in the following areas:The first is the innovation of the research perspective. In this study, the concept of transaction costs the introduction of agricultural technology to promote the non-market transactions, the public service, to expand the scope of application of transaction cost economics framework for understanding the establishment and changes in public agricultural technology promotion system provides a new research perspective.The second innovation of the research. This study is based on transaction cost theory and institutional change theory and incomplete contract theory, institutional arrangements for the supply of agricultural extension services were discussed from two aspects of the institutional environment and governance mechanism, expanding the theoretical framework of the agricultural technology promotion system for the study.The third is a research point of view of innovation. This study has redefined the essential attribute of the agricultural extension services, and pointed out that the agricultural extension services is actually a combination of the two agricultural technology products trading and agricultural technology services, and performance on the basis of this essential attribute of the attributes of public goods. Institutional Change of the agricultural extension services should be to reduce the transaction costs of agricultural extension services as the goal.更多还原