【作者】 向国成；

【导师】 宋醒民；

【作者基本信息】 江西财经大学 ， 产业经济学， 2004， 博士

【摘要】 当前，我国“三农”问题集中表现为农民收入水平低，农民增收困难。要增加农民收入，促进小农经济效率改进就成为一个重要课题。 长期以来，小农经济效率改进一直就是理论界关注的重要问题，生产要素组合创新论、生产要素现代改进论、二元经济发展论、制度改进论、技术与制度诱导发展论等都是关于小农经济效率改进的重要思想。 在中国，经过改革开放20余年的理论探讨和实践总结，逐步形成了“农业外”与“农业内”有机结合的改造小农经济的理论与政策主张。如通过工业化和城镇化来减少农业人口、用工业反哺农业等就属于农业外主张；调整农产品结构、农业产业化、扩大农地经营规模、增加农业科技投入、健全农业市场体系、发展农村合作经济组织，进行农村土地制度改革等就属于农业内主张。 上述国内外理论研究都涉及小农经济效率改进的各个方面，但是，似乎没有一个核心范畴和一根红线把这些问题逻辑地“串联”起来。再者，我国小农经济的效率改进到了不是依靠某个方面、某项措施就能解决的时候，必须把它放在整个国民经济系统中，放在城乡统筹发展中才有可能找到出路。因此，在理论研究上应该找到这样一个范畴，既能够把小农经济效率改进所涉及的主要问题逻辑地串联起来，又有利于从国民经济整体系统中寻找小农经济效率改进的办法。我认为分工就是这样的一个范畴，分工演化就是这样一根红线。 (一) 小农经济是以一定的农业活动为基础的小农户经济，具有土地和(或)资本经营规模小且以家庭经营为基本组织形式的特征。由于人地矛盾的制约，效率与公平的必然兼顾，小农经济是我国今后较长时期难以改变的基本格局。然而，它在许多方面又难以适应市场经济发展的需要。这是一个两难选择。在这个两难面前，我们没有选择余地，只能在小农经济状态下求解其效率改进，使其做到“小而有效”。 “小而有效”中的“小”不是指数值中的某一个值，不是静止不变的，可以由小变大，只要经营规模没有达到某个可以称得上大的数值之前，都算是小的。“小而有效”当然也不能被界定为传统农业的那种“有效而贫穷”的状态，而是要探求效率的不断改进，报酬的不断递增。 进一步而言，效率改进的含义是指报酬递增。一种是指与报酬递减相对应的报酬递增，即在技术不变的条件下，某要素的边际产量在一定阶段表现出来的先h升趋势;另一种是指“历史的报酬递增”，即约束条件(如技术、制度等)变化带来的要素报酬增加。第一种含义的报酬递增将构成理论分析的前提(这是我们将要使用的超边际经济学的特征之一)，第二种含义的报酬递增正是要追求的结果。 关于中国小农经济“小而有效”的发展道路，我们提出“提高农村、农业和农民的分工水平是小农经济效率改进之基本出路”这一假说。这一假说提出的主要依据，一是分工与报酬递增思想的发展;二是美国及日本农业分工的成功发展。 分工是专业化、专业多样化、迂回化和组织化的统一。一旦把分工作为理论分析的中心范畴，那么，以报酬递增和超边际分析为主要特征，以分工演化为主线，由一系列两难冲突折衷所形成的超边际经济学自然就成为理论分析工具的首先对象。我们将运用这一理论在分工“四化”的统一中，在专业化经济与交易费用、专业化经济与互补经济、外生交易费用与内生交易费用等一系列两难冲突的折衷中求解小农经济的效率改进(二) 人地矛盾是我国小农经济效率改进面临的基本矛盾。以全社会分工为基础的统筹城乡发展的工业化和城市化的发展有利于转移农村剩余劳动力，缓解人低矛盾，将放松小农经济效率改进的约束条件，扩展小农经济效率改进的选择空间。 本文以三种产品的非线性模型，演化了从自给自足结构到有城市的完全分工结构的发展过程，再现了杨小凯等人揭示的一些重要现象:一是非土地密集型工业品出现足够高水平的分工是城市出现的充分条件;二是分工演进过程中会产生城市居民的专业化与生产力水平、人均商业化收入水平及商业化程度都比农村居民高的自然的过渡性二元经济结构。但是，只要交易效率能得到不断改进，保障人民有自由择业和自由迁移的权利，这种城乡二元经济结构就会为完全分工所取代，城乡差别终将消失。 对不完全分工状态的比较分析显示，城市出现的动力不仅来自于工业品生产者，也来自于农产品生产者。如果当生产工业品的人集中居住于城市时，有利于节约农民的交易成本，那么，在最初的城市发展中从农业抽出一部资金用于城市建设具有合理性，只要农民因城市发展、交易集中所节省的交易费用大于为城市建设所担负的成本，对农民就是有利的。对不完全分工状态的比较分析，还揭示了;(l)在有城乡交易效率差异的情况下，工农兼业型的人向工业兼业型转化，即使其自给品的相对劳动生产率比过去低，但按比较劣势自给能够产生足够大的交易效率改进时，一部分人在自给品上放弃生产上的比较优势有利于人均真实收入提高;(2)在城市出现并给定城市不均衡分工的情况下，出卖农产品的人或以农业为主的人在从事一定工业品生产自给时，应该选择城市中专业化程?更多还原

【Abstract】 At present, the problem of " agriculture, peasant, rural" concentrates on low-income and the difficulty for peasants to increase income. As far as increasing peasant’s income is concerned, promoting efficiency amelioration of peasant economy has become an important subject.For a long time, theory circle has paid close attention to efficiency amelioration of peasant economy all the time: innovative theory of production-factor combination, modern amelioration theory of production-factor, dualism economic development theory, institution amelioration theory, technology and institution inducement theory, etc. all of the above are the important thoughts of efficiency amelioration of peasant economy.In China, based on the theory of reform and opening-up and experience over the past more than 20 years, the theories and policies improving peasant economy have formed progressively, which organize " outside agriculture " and " inside agriculture ". Reducing the agricultural population through the industrialization and urbanization or industrial back feeding agriculture belongs to the methods outside agriculture Adjusting the structure of agricultural products, agricultural industrialization, expanding farmland business scale, increasing the agricultural input in science and technology, perfecting agricultural market system, developing the rural cooperative economic organization, carrying on the rural land institution reform belong to the methods inside agriculture.The domestic and international theoretical research involves all respects of efficiency amelioration of peasant economy, however, it seems that there’s no key category and a red line " contact" these question logically. Moreover, it is not the time that only relying on a certain respect, a certain measure the efficiency amelioration of peasant economy can be solved. Only it be placed among the whole national economy system and put in the co-development of urban and rural areas may find outlet. So, such a category on the theoretical research should be found, thus not only the subject problems involved with peasant economy efficiency can be contacted logically, but also the way to ameliorate peasant economy efficiency from the whole system of national economy can be found. I think that it is such a category to divide the work; it is such a red line to divide the work and evolve.C-)Peasant economy is the economy of peasant household based on certainagricultural activity, having the characteristics of small-scale land and (or) capital management and taking household management as basically organizational form. Because of the restriction of contradictions between land and people, with giving consideration to both efficiency and fairness inevitably, the peasant economy is the basic pattern that is difficult to change over a long time in the future of our country. However, it cannot meet the needs of market economy development in many aspects. This is an awkward choice. Facing a difficult choice in the front of this, we have no choice at all, and can only solve its efficiency amelioration under peasant economy, make it" small and effective ".The word " small "from " small and effective " does not refer to one of the numerical values and not static, it can change from small to big; so long as business scale has not reached some certain size can it be regarded as the small one. " small and effective " can’t be taken as the traditional state of " effective and poverty " of agriculture certainly, and the amelioration of efficiency as well as the constant increase of the remuneration should be seek.Step forward, the amelioration of efficiency means that the returns increase progressively. One kind refers to increasing returns corresponding to decreasing returns progressively, namely, depending on that technology does not change, marginal output of some key elements takes on earlier ascendant trend during a certain course; the other kind means " return’s increasing of history ", that is the increasing returns of key element from restrained conditions (such更多还原