【作者】 闫芳；

【导师】 唐兴霖；

【作者基本信息】 上海交通大学 ， 马克思主义中国化研究， 2013， 博士

【摘要】 中国农业组织从20世纪50年代初的个体农户，到互助组、合作社、人民公社，再到改革开放后实行的“双层经营”的家庭承包制，农业组织结构经历了一系列的变迁。中国农业组织结构的变迁不仅与农村经济制度的变迁有着密切的关系，也隐含着中国工业化不同发展阶段的制度选择。20世纪80年代初，随着农村家庭承包制的确立，中国农村经济开始了市场化的进程，同时也启动了农村社会现代化的进程。作为农村经济最主要的微观经济主体——农户，越来越广泛、越来越深刻的被卷进了现代市场体系，他们的生产、生活与市场的联系越来越紧密。尤其是中国加入WTO以后，中国的农民和农村经济不仅受到了国内市场的强烈影响，而且还受到了国际市场的强烈影响。一方面，以农户家庭为单位的组织结构在农业生产环节的效率完全释放之后，在经营环节方面的消极作用越来越多地表现出来，“小农户”与“大市场”的矛盾越来越突出；另一方面，与市场体系中农户分散性相对应的是政治体系中利益表达的分散性和治理结构的残缺性。在“乡政村治”模式下，以农户家庭为单位的组织结构无法获取高效的农村公共产品和服务，也无力承担大型公共设施的供给。特别是进入21世纪以后，中国整体上已经进入工业化的中期阶段，也就是“城市支持农村，工业反哺农业”的阶段，然而国家无法与近2亿个农户直接进行对接，必须要寻找新的组织结构来降低国家政策成本。正是在这样的背景下，理论界和实务界都开始重新关注农村合作经济组织这一重要的组织制度资源。然而，现阶段由农民自发和政府推动建立的各类农村合作经济组织与历史上的合作组织都有着本质的差别，它的产生、发展有着特殊的制度环境，它的演变方向也直接影响着中国农村经济制度变革以及中国的工业化进程。因此，本研究以社会转型期为分析背景，以马克思主义经济学、新制度经济学、马克思主义合作经济理论、治理理论等理论为分析工具，沿着农村合作经济组织“为什么演变——怎么演变——演变的方向”这一逻辑线索，探讨我国农村合作经济组织的演进规律。论文共分为8个章节。第一章“导论”，主要阐释本研究的背景和目的，以此揭示本研究的理论意义和实践价值；并通过梳理国内外合作经济组织的研究现状，来阐释本研究视角的独特性；进而提出本文的研究方法、思路与框架。第二章将马克思主义经济学的制度变迁理论和合作经济理论、新制度经济学的制度变迁理论作为本研究的理论基础，并对两种理论在制度变迁的分析方法、动力源泉以及变迁方式方面的迥异进行了详细阐述。第三章主要对1949年以来农村合作经济组织发展的历史轨迹进行了详细的梳理。第四章分别从马克思主义经济学和新制度经济学的视角揭示中国农村合作经济组织变迁的动因，并通过对两种解释逻辑的比较分析，深刻剖析合作经济组织制度变迁的根本动力和变迁主体问题。第五章在总结分析中国农村合作经济组织演进特征的基础上，提出推进我国农村合作经济组织进一步健康发展的有效方式。第六章重点介绍了发达国家几种重要类型的农村合作经济组织的起源、运行机制、类型以及与政府的关系等，从而归纳出当前国际合作经济组织发展的某些共同趋势，以此总结出指导我国合作经济组织发展的几点启示性经验。在以上几章的基础上，第七章形成了对中国农村合作经济组织演变规律的总体性判断。第八章进一步归纳总结本文研究的重要结论，并提出推进合作经济组织发展的相关政策建议，最后在检讨本文研究的基础上指出未来研究的方向。本文的创新点有三。第一，在研究视角方面。本论文对新时期中国农村合作经济组织“为什么演变——怎么演变——演变方向”进行了深入研究，突破了以往局限于组织内部制度安排变迁的研究视角，形成了对中国农村合作经济组织演进逻辑研究的清晰脉络。第二，在理论工具方面。本研究打破固有的学术边界，通过对马克思经济学与新制度经济学两种不同理论视角的制度变迁理论的比较分析，深刻揭示中国农村合作经济组织变迁的逻辑轨迹，并将马克思主义合作经济理论引入研究之中，从而增强了对中国农村合作经济组织演进逻辑研究的解释力。第三，在研究成果上。在回答本文研究问题的基础之上，对中国农村合作经济组织体系的构建、传统合作经济组织发展的方向和路径也做了详细阐述，为推进合作经济组织的理论研究和实践工作都具有重要的指导意义。更多还原

【Abstract】 The Chinese agriculture organization has undergone a series of changes，from theindividual farmers in the early1950s, to the mutual-aid teams, cooperatives, people’scommune, to the two-tier management household contract responsibility system sincethe implementation of the policy of reform and opening up. The structural changes ofagriculture organization not only have a close relationship with the institutional of therural economy system, but also imply the institutional choice on the different stages inthe process of China’s industrialization. With the establishment of the rural householdcontract responsibility system in the early1980s, China’s rural economy began theprocess of market-oriented, and it also promoted the process of social modernization inrural areas. As the main microeconomic body in rural economy---farmers, they aredeeply and extensively drawn into the modern market system, the relationship betweentheir living and the market becoming closer and closer, the correlation degree is gettinghigher and higher. Especially after China’s accession to the WTO, China’s farmers andthe rural economy are not only influenced by the strong impact of the domestic market,but also strongly influenced by the international market. On one hand, after theagricultural productivity is improved, the organizational structure based on thehouseholds has more and more negative effects in area of management, and the conflictsbetween small farmers and big market will be more striking. On the other hand,corresponding to dispersion of farmers in the market system, it is the dispersion ofinterest expression in the political system and incomplete nature of governance structure.In the mode of Township Government and Rural Governance, the organizationalstructure of farm household units unable to obtain efficient rural public goods andservices, but also cannot afford a large supply of public facilities. In particular, the wholecountry has entered the middle stage of industrialization after entering the21st century,that is the stage of city support rural areas, industry support agriculture, however, thestate cannot directly contact with nearly0.2billion peasant households so as to look for a new organization structure to cut down the cost of national policy.In this context, the theory and practice of community are beginning to refocus onthe rural cooperative economic organization which is important organization systemresource. However, the organization is spontaneously established by farmers andpromoted by the government, which is essentially different from the organization in thehistory. Its generation and development happen in the special system environment, thedirection of its evolution has a direct impact on China’s rural economic system reform, aswell as the process of China’s industrialization. Therefore, basing on the background ofsocial transition, and with the analysis tool of Marxist economics, new institutionaleconomics, Marxism cooperative economic theory, governance theory, the thesis probesinto the logic of Why evolves---how evolves---the direction of the evolution andexplores the law of the evolution of China’s rural cooperative economic organization.The thesis is divided into eight chapters. The first chapter Introduction mainlyexplain the background and purpose of the study so as to reveal the theoreticalsignificance and practical value of this study; Through analyzing the literature review athome and abroad, the article give us an particular perspective of this study; It also putforwards methods, ideas and framework of this study in this chapter. The author usesInstitutional Change Theory of Marxist economics and cooperative economic theory, theinstitutional change theory of the new institutional economics as the theoretical basis ofthe study in chapter2, it elaborates the differences of two theories, such as methods, thesource of change, as well as the way of institutional change. It introduces the history ofChina’s rural cooperative economic organization since1949in chapter3. It reveals themotivation of the development of China’s rural organization for economic cooperationfrom the two theories respectively, and also analysis deeply the fundamental drivingforce of the organization and the changing main body by comparative analysis of the twoexplanations in chapter4. In chapter5, it put forwards some effective ways to promotethe development of the organization on the base of the summary about the organization’sdevelopmental characteristics and the new developmental tendency. It introduces theorigin, the operating mechanism, the types, and the relationship with the government of some important organization types in the developed countries, on the base of which theauthor summarizes the common trend of the current development of internationalorganization and some useful experiences in chapter6. On the basis of previous chapters,it gives the overall judgment on the evolution law of the organization in China in chapter7. In chapter8, it further summarizes the important conclusions of this study, and putforwards relevant policy recommendations, it points out the direction of future researchon the basis of reviewing this article at the end of this chapter.The innovation of this paper has three points. First, it is about the researchperspective. The paper studies China’s rural cooperative economic organization in thenew era along the clue of Why evolution how evolution the direction ofevolution, it breaks the research perspective of internal institutional arrangements, andpresents the clear logic about the study of evolution of China’s rural cooperativeeconomic organization. Second, it is about the theoretical tools. The study breaks thetraditional academic boundaries, and has the comparative analysis of the two differenttheoretical perspectives of institutional change theory profoundly. It reveals the logicaltrajectory of China’s rural cooperative economic organization development, and enhancesthe explanatory power of the study about the evolution of China’s rural cooperativeeconomic organization. Third, it is about the research achievements. The paper not onlyanswers the research questions, but also elaborates the construction of China’s ruralcooperative economic organization and the direction and the way of the development oftraditional cooperative economic organizations. This illustration has an importanttheoretical and practical significance on promoting the study of cooperative economicorganization.更多还原