【作者】 柴富成；

【导师】 李万明；

【作者基本信息】 石河子大学 ， 农业经济管理， 2013， 博士

【摘要】 十一届三中全会后，在市场经济体制改革大潮的推动下，兵团受地方农村土地制度改革的影响也逐步实施以农业生产经营方式转变和农地产权变革为主的、采取循序渐进、局部均衡、经营权从所有权逐渐分离和职工家庭生产经营自主权逐步扩大的农地制度变迁方式，直到确立了家庭承包经营的“土地承包经营、产权清晰到户、农资集中采供、产品订单收购”的兵团团场基本经营制度。兵团农地制度变迁的意义远远超出原来的纯粹农业生产方式的变革，而在生产、分配、交换、消费等诸多方面，实现了兵团经济体制的重大改革、生产力和生产关系的重大调整，极大地解放和发展了生产力，并最终引发兵团经济持续30多年的高速增长，新的农地制度安排表现出巨大的制度绩效。新疆生产建设兵团1982年恢复以来，经过30多年的建设和建设，现已成为集党政军企于一身、三次产业和社会事业快速、全面和可持续发展的社会主义联合体。“十一五”以来，在党中央、国务院的亲切关怀和指导下，兵团抢抓机遇、开拓进取、以科学发展观统揽全局、强化科技进步、加快农业发展方式的转变、推进“三大基地”建设，农业产业化、规模化、专业化、标准化水平得到进一步提升，农业科技进步贡献率、农业综合机械化率和高新节水灌溉在全国处于领先水平，农业经济保持了全面、持续、快速增长，为全面推进农业现代化奠定了坚实的基础，使兵团的农业站到了新的历史起点上。然而，随着市场经济的不断发展和完善，以家庭承包经营为主的双层经营制度的弊端也逐渐显现出来，特别是家庭承包经营制度与具有完善的生产组织职能的团场组织的矛盾、兵团集团化优势没有得到充分发挥,是制约兵团农业产业化和现代化的主要瓶颈。一方面要完善家庭承包经营制度，扩大农工生产经营自主权，这势必导致分散化生产与兵团农业的规模化经营和机械化相悖；另一方面，团场经营主体有计划的组织农业生产又剥夺了农工家庭经营的生产经营自主权，客观上降低了农工的生产积极性，导致制度绩效低下。因此，在市场经济和兵团特殊体制下，什么样的农地制度安排才是有效，才能既调动两个生产经营主体的积极性，又能使制度供给者获得预期收益，从而使兵团率先在西北地区实现农业现代化和建成小康社会的目标。这就需要我们研究兵团农地制度变迁的轨迹和每一次制度安排的绩效，以及农地制度变迁的动因和路径依赖，这涉及到兵团的历史、政治、经济、文化及体制等制度环境，同时团场农工身份的确定和团场的职能定位，是兵团农地制度变迁的重要因素。兵团“三农”问题是兵团完成“屯垦戍边”使命的根基，而“三农”问题归根结蒂的问题就是土地问题。土地问题的关键是制度问题，即农地制度创新是解决“三农”问题的关键。农业产业是兵团经济的基础，因此，农地制度创新成为兵团未来经济发展的关键。事实上，新中国经济成长的史实表明，国民经济无论是处于高速增长，抑或停滞徘徊，其实都是农业增长与停滞的必然反映①，而中国农业的增长，又得益于农地制度的深刻变迁。对兵团而言，虽然农地经营制度变迁与地方农村有差异、甚至是不同步，但从军队经营到集体经营再到家庭经营制度的基本确立，包括兵团“1+3”②文件以及“1+3”补充文件的出台，以及团场基本经营制度的确立，每一次变迁都在探索更高绩效的制度安排。我国近30多年的改革历程证明了制度的重要性。在制度经济学中，虽然学者们对“制度”有很多种理解，但大家还是形成了一个共识：制度是重要的③。农地制度涉及社会、政治、文化及经济发展的诸多问题，也是当前理论界研究的热点和前沿问题。本文研究的思路是采用统计学和定性与定量分析相结合以及实证的研究方法，应用新制度经济学基本理论和分析框架，以兵团农地制度（农业生产经营制度和农地产权制度）为研究对象，从兵团农地制度变迁的时间序列（关键点）入手，分析兵团农地制度变迁的历程、动因、主体和影响因素等，在此基础上，首先以新制度经济学的效率标准分析兵团农地生产经营制度的绩效和效应；其次以产权经济学理论框架，以产权的完整性、完全性及剩余权的视角探讨兵团农地产权制度的绩效；再次以上述讨论的结果为基础总结分析兵团现行农地经营制度的利弊，并提出兵团农地制度改革的方向和政策建议；最后总结本研究的主要结论和进一步研究的问题。本文研究的主要内容是：1）阐述本研究的背景、意义和目的；2）梳理与本研究相关的农地制度、制度变迁、制度绩效及产权的基本理论，并对相关概念及研究范围、对象给予界定；3）应用新制度经济学及其相关理论分析兵团农地制度变迁及其影响因素；4）定性分析兵团农地经营制度变迁绩效并应用数据进行定量实证分析；5）以产权的完整性、完全性及剩余权的视角研究兵团农地产权制度变迁与农业经济增长，以及农业投入、技术和劳动力对农业增长的影响；6）对现行兵团农地基本经营制度进行探讨，分析其存在的问题，并提出改进措施和今后的创新方向；7）对本研究进行总结，得出主要结论和政策建议。为兵团农地制度改革与创新提供政策依据。本文的核心思想是从历史的进程，大跨度地考察和分析兵团农地经营制度变迁的历史背景和影响因素，以及解释不同时期农地制度变迁的路径和动因，分析不同时期兵团农地制度变迁背后的关键因素及其与农业绩效的关系，探索现行团场基本经营制度存在的主要问题和改革措施，为未来兵团农地制度创新和农场经济体制改革提供理论依据和政策建议。研究发现兵团农地制度变迁与地方农村相比而言，是一个复杂的过程，受到多重因素的影响，特别是受兵团特殊体制和肩负多重使命的制约较大。因此，兵团农地制度变迁不仅仅追求经济效益，还要兼顾社会、生态、边疆稳定等效益。一方面要调动职工家庭的生产积极性、大力发展农业产业、提高职工收入；另一方面要发展壮大农牧团场、增强团场经济实力、为兵团实现多重目标奠定基础；兵团农地制度变迁受我国农村土地制度改革和城市企业管理改革影响，采取自上而下的强制性变迁为主，同时也受职工家庭意愿影响，结合诱致性变迁为辅的方式演进。改革开放后，兵团农地制度变迁体现出巨大的制度绩效，并经历了三次高潮，促使兵团农业产业得到极大的发展，为兵团农业实现现代化奠定了坚实的基础；兵团团场现行基本经营制度是追求农地制度绩效和实现兵团多重目标选择的结果，其制度意蕴是调动职工家庭和团场两个经营主体的积极性、发挥好“统”和“分”有机结合的作用。然而，在实践中受有限理性经济人约束，往往表现为一方面是“统”有余而“分”不足，制约职工家庭经营自主权，挫伤职工生产经营积极性；另一方面是“统”不足而“分”有余，挫伤团场经营主体的积极性，无法发挥规模化经营和集约化优势。因此，兵团农地制度改革创新的方向是：一方面是加大“分”的力度，即加快农地产权制度创新，进一步清晰农地产权、探索农地流转方式、农地收益权、处置权、租赁权的改革，扩大职工家庭经营自主权；另一方面是提高“统”的能力，即加大生产经营制度的创新力度，以市场为导向、面向职工家庭，以产前、产中、产后的生产资料采供、技术培训服务以及农产品加工等为纽带，依托兵团农业龙头企业，鼓励强强联合，组建相应的大型服务公司，充分发挥兵团组织化、集约化优势，实现农业现代化。更多还原

【Abstract】 After the third plenary session of the eleventh central committee, with themarket economic system reform, Xinjiang Production and Construction Corps(Corps) gradually adopts a new approach to transform the farmland systemunder the influence of the changes in rural area land system, The new methodgives priority to transformation in agricultural production and operation and thereform of agricultural land property right, and little by little separatesmanagement right from its ownership in some areas, and gradually extends theautonomy of the production and management, until finally Corps establishes itsbasic management system, the household contract management---"landcontractual management, clear property rights to the homes, centralizedpurchasing agricultural materials, and purchasing and supplying according toproduct order". Rather than the original, pure transformation in theagricultural production methods, the significance of farmland system changes inCorps lies in the production, distribution, exchange, consumption and otheraspects, and in the main adjustments achieved in economic system reform, whichgreatly liberates and develops its productivity, and ultimately triggers the rapideconomic growth sustaining over thirty years in Corps. The new system givesexcellent performance. Since it resumed in1982, Corps, after30years ofconstruction, has now become a united body which combines the party,government, and military enterprise as one that undertakes the three industriesand social developments.Since the eleventh five-year plan, under the kind concern of the PartyCentral Committee and the State Council, with scientific outlook on developmentin all fields, Corps strengthens the scientific and technological progress,accelerates the transformation of agricultural development mode, and promotesthe construction of the "three bases" by seizing the opportunity, and forgingahead. Thus, its level of agricultural industrialization, scale, specialization and standardization has further been enhanced. Consequently Corps is at the leadingplace in the country in contribution rate of agricultural science and technology,in agricultural mechanization and in the new water-saving irrigation. Itsagricultural economy has maintained a comprehensive, sustained, rapid growth,which has laid a solid foundation for promoting the modernization of agriculture,making agriculture in Corps stand at a new historical starting point.However, with the continuous and better development of market economy,household contract management system has gradually suffered its drawbacks,and there exists the contradiction between the household contract responsibilitysystem and farm organization with complete function of production organization.The advantages of collectivization in Corps have not been brought into full play,which constitutes a bottleneck restricting the agricultural industrialization andmodernization in Corps. On the one hand, household contract responsibilitysystem needs improving and perfecting, farmers’ agricultural production andmanagement autonomy wants expanding, which is bound to lead to a conflictbetween decentralization of production and scale operation and mechanizationof agriculture in Corps. On the other hand, the business entities’ planning inorganizing agricultural production in the farms deprive the family managementand production of their autonomy in production and management, whichreduces worker’ enthusiasm for production, resulting in a poor systemperformance. Therefore, in terms of the market economy and the special systemin Corps, what kind of farmland system is effective enough to be able to bothgenerate the enthusiasm of the production and management, and to make thesystem supplier obtain the expected return, so as to make Corps to take a lead inthe northwest in realizing its agricultural modernization and in achieving thegoal of building a comparatively well-off society. This requires us to make astudy of the farmland system transformation in line with its time sequence inCorps and to observe its performance arrangement with each round of reform,and to research into its motivation and path, which touches upon the history,politics, economy, culture and system environment of Corps. Meanwhile, identifying the farm workers and orientating the function of farms become thekey factors affecting the farmland system transformation.The problems of "agriculture, rural areas and farmers" in Corps make upthe foundation of its mission in completing reclamation and guarding the frontier.While, the "the three rural issues" is ultimately the land problem. And the key toland problem lies in its system, namely the farmland system innovation is the keyto solving the problem of "agriculture, rural areas and farmers". The economy inCorps is dominated by agriculture, so land system innovation has become thekey to the future economic development in Corps. In fact, it is shown in thehistorical facts of China’s economy growth that, national economy, regardless ofits rapid growth, stagnation or hovering, is inevitably the reflection ofagricultural growth and stagnation. And the growth of China’s agriculture doesbenefit from the revolutionary transformation of farmland system. With regardto Corps, although there exists difference between the changes of farmlandmanagement and the transformation in local rural places, and even these twopractices do not synchronized with each other, Corps experiences the changesfrom a military operation to the collective management, and to the setting up ofthe basic family management system, then to the establishment of the basicmanagement system of state farms, including the issues of "1+3" and "1+3" fileadditional documents. In the course of its transformation, Corps is searching fora better performance arrangement. China has undertaken more than30years’reform, the process of which has proved that system is important. Although thereare various understandings about "system" among scholars in institutionaleconomics, a consensus has been reached, that is: system is of great significance.Since it involves numerous problems in social, political and economicdevelopment, farmland system becomes the hot topic and cutting-edge issue incurrent theoretical research field.Starting with the time sequence of farmland system transformation, thepresent study tries to analyze the process of farmland system changes, itsmotivation, subjects and affecting factors, by adopting statistical and empirical research method that combines the qualitative and quantitative analysis,employing the basic theory and analytical framework of the new institutionaleconomics, with farmland system in Corps (system of agricultural productionand operation, and system of farmland property rights) as its subjects. On thebasis of this, first of all, the paper analyzes the performance and effect of itsfarmland production management system, with the new institutional economicsas its standard. In the second place, with property right economics as itstheoretical framework, the study probes into the performance of the farmlandproperty right system in Corps from the perspective of the integrity,completeness, and residual rights of the property. Thirdly, basing on thediscussion above, the paper summarizes and analyzes the advantages anddisadvantages of the current land management system, and then provides someorientation and suggestions in policies for the reform of farmland system inCorps. Finally, the paper summarizes the main conclusion of the study, andoffers several positive directions for future research. The main contents of thestudy include,1) elaborating the background, significance, and aims of the study;2) sorting out the basic theories concerning farmland system, systemtransformation, system performance and property right, and defining somerelated concepts, the research scope, and its subjects;3) analyzing the farmlandsystem transformation and its affecting factors by using the new institutionaleconomics and some relevant theories;4) making qualitative analysis of theperformance of farmland system transform in Corps, and carrying out empiricalresearch by carrying out quantitative analysis of the data;5) studying therelationship between farmland property right in Corps and its agriculturaleconomic growth from the perspective of the integrity, completeness, andresidual right of the property right, and trying to figure out the investment ofagriculture, technology and labor forces on agriculture growth;6) exploring thecurrent basic system of farmland management, analyzing its existing problems,and providing with some measures for improvement and future direction ofinnovation;7) making a summary of the study, with its conclusion reached and suggestions made, for the purpose of providing policy basis for the reform offarmland system of Corps.This paper mainly observes and analyzes the historical background andinfluential factors of the farmland management system transformation of Corpsfrom long span of historical process. Then the study elaborates the path andmotivation of the farmland system transformation in different periods, analyzingthe main factors behind the transformation and the relation between the changesand agricultural performance. Moreover, the research explores the majorproblems existed in the current basic management system in state farm, anddiscusses some reform measures for the purposes of providing a theoretical basisand policy suggestions for the innovation of the farmland system and for theeconomic system reform in Corps in the future.The study shows that farmland system transformation in Corps, comparedwith that in the local rural areas, is a complex process, which is affected by manyfactors, especially its special system and the multiple missions it undertakes. As aconsequence, much consideration should be given to the benefits of social,ecological and stability of its border areas, while pursuing the economic effect inthe course of farmland system transformation. On the one hand, it is vital togenerate the enthusiasm of the workers to develop agricultural industry and toboost the income of the workers. On the other hand, it is necessary to develop thestrength of the state farm, with its economic strength enhanced in order toprovide a sound basis for Corps to achieve its multiple objectives. In fact,affected by land system reform in local rural areas, and by the urban enterpriseadministration reformation, farmland system transformation in Corps hasmainly undergone a top-down mandatory change, with the inducedtransformation adopted as a supplementary approach, due to the unwillingnessof the workers. After the reform and opening up, farmland systemtransformation, embodying significant systematic performance, has experiencedthree climaxes, which has greatly promoted the agricultural industry in Corps,and has laid a solid foundation for the agricultural modernization in Corps. Indeed, the current basic management system in the state farm in Corps is theoutcome of its quest for agricultural land system achievement and for fulfillingthe multiple objectives. And what lies behind the system is to trigger theenthusiasm of the business entities of both the workers and the state farm, and tomake full use of the combination of "centralization" and "decentralization".However, constrained by the limited rational economic people in practice, thesystem turns out to be of much "centralization" and less "decentralization",which reduces and restricts the worker’ autonomy in production and operation,and stifles their initiative to produce and operate. While with system of much"decentralization"and less "centralization"on the other side, the enthusiasmof the business entity, the state farm, is greatly affected, which makes itimpossible to take the advantage of its large-scale and centralized operation. As aresult, the direction of the innovation of farmland system transformation inCorps is to increase "decentralization", that is, to speed up the innovation ofagricultural land property rights system, to clarify further the farmlandproperty rights, and to explore the reformation in farmland circulation, usufruct,as well as the rights to dispose and lease farmland, so as to expand thefamily-operation autonomy. Conversely, with regard to promoting"centralization", that is, to foster production and operation system innovation,by adopting the market-oriented policy, catering to the workers in the state farm,giving consideration to the purchasing and supplying of the means of productionduring the whole course of its production. Likewise, depending on the leadingagricultural enterprises in Corps, establish a tie between the technical training,technical services, and agricultural products processing, encouragingmegamergers or alliance of powerful enterprises, and establishing thecorresponding services company for the purpose of taking the advantages of theintensification in Corps to realize its agricultural modernization.更多还原