【作者】 黄富成；

【导师】 惠富平；

【作者基本信息】 南京农业大学 ， 科学技术史， 2007， 博士

【摘要】 农业是自然再生产和社会再生产的统一，是社会经济的基础，是整个古代世界具有决定性的生产部门。两汉时期，为巩固集权统治地位，政府加强了对社会经济干预的程度，农业生产和发展的各种资源性要素，如土地配置、人口流动、技术传播、铁器布控、经济交流乃至农本文化的宣教、农田开发等因受集权政府政治、经济发展的战略及制度管理的机制制约，在不同时期、不同地区发生作用的形式和实现的途径而各异。本文通过探讨汉代政府管理机制对农业经济各种生产资源要素的引导和诱使，基本揭示了汉代农业经济发展的宏观面貌，诸如小农经济在西汉整体性发展的原因、区域农业经济长期发展不平衡，尤其是江、淮等地在西汉一代农业经济发展长期滞缓、铁农具的发展与普及区域间差异较大的原因、农耕文化流浸的社会诱因以及农田开发过程中对环境的影响等，这些农业进程中的社会、经济现象均与政府管理的各种机制作用息息相关。由于技术在农业生产与发展中具有非常重要的推动作用，因此本文更多关注了技术各构成要素形式及其在政府管理机制作用下对资源开发的途径、对于经济的促进或抑制作用、对于生产组织和管理组织的经济绩效关系分析等。在内容上本文具体分为六部分：第一章：汉代小农经济的社会形态及其管理。阐述小农经济形态的发展与形成，春秋战国是小农经济思想的发展与形成期，文章认为秦汉则开始从法律地位上具体实践这种与集权体制匹配的经济形态。小农经济的组织结构和生产结构均以个体家庭为基本单位，在生产上实行家庭内外耕、织结合的经济形式，在种植结构上分为大田主业谷物生产和桑麻瓜果蔬菜等副业生产。三杨庄汉代民居和农田遗迹的出土具体体现了这种小农家庭的经济生产结构。土地是小农经济生存和发展的基础，拥有法律意义上的私有田宅不仅是小农安身立命的经济基础，也是政府“有恒产者有恒心”经济伦理思想的体现。政府通过减税、“以律占租”、灾免、借贷、假田等法律确认的形式培植和维护小农经济个体的普遍发展，在承认小农私有财产权利的同时，也规定小农必须承担的赋税徭役等法定经济义务。但土地产权的自由流动也使小农容易失去土地的所有权。同时政府加强了对小农生存及其生产环境的管理，一方面重视民的本位作用，另一方面极力维护小农的土地权益及在农业生产中享用基础设施。总之，小农经济作为集权体制的经济基础是政府农业生产管理的核心。第二章：汉代农官制度。汉代的农官系统是政府财政系统的主要组成部分，其农业生产管理多是政府直接控制的各种农业生产资源，收入直接归中央大农或少府；武帝时的屯田开荒、农田水利及告缗田的开发等，大多由中央大农等直接管理，税入大农。农官系统只负责经济税赋征收而不治民。地方职官对农业生产管理的范围较为广泛，承担着治民和发展经济的政治和法律义务。职官“劝民农桑”、宣教“农本”文化政策、促进技术流传、督察农业生产等活动，既是他们的行政职责又是其法律义务。乡村社会的农业生产管理是政府干预农业经济的本质体现，在内容上注重土地开发、人口增减、赋税征收及高产、宜地作物和农业技术的推广等。而“力田”这一阶层所代表的乡村社会靠种田起家的中小地主，成为政府在乡村社会宣教“重农”思想的代言者，不仅承担大量税赋苛责，也是汉代农业经济发展的重要力量。第三章：汉代铁农具的铸造与监管。铁器为田农之本，铁农具的应用和进步直接体现了农业发展的水平。铁官制度是指政府垄断铁器的生产、冶铸与销售渠道，铁器作为一种重要的政治、经济战略物质成为政府调控社会经济发展的重要手段。铁器官营后，铁农具实行标准化的工业生产，其质量监督和监察有一套完整的铭文标识体制。文章着重探讨了文献中提到的农业生产中的“大器”，认为“大器”就是“代田法”推行过程中，由大农相关专门机构研发的起翻土作用的带犁鐴大铁犁。由于它是铁官标准化生产的专用器物，价格昂贵，体积较大，不给也不适用于小农生产，因此“不给民用”。但翻土部件的出现为以后铁犁形制的发展与改进奠定了技术基础。铁农具的流传与普及与汉代区域政治经济形势发展的三个阶段相关：西汉前期，对周边外族实行封锁，铁器冶铸技术及产量尚有局限，这一时期许多地方木铁农具并用；西汉中后期，由于区域政治和经济政策的发展变化，在基本经济区和北方屯区，铁犁牛耕的发展已基本普及，而在江、淮、西南和岭南等地，受限冶和供铁作用，农耕业的发展仅集中于内地移民集聚地区，铁器农耕的发展并不普遍，铁农具所占比例较小；东汉时江淮、江南等地农业发展较快，至汉末，许多宜农地区已基本普及铁农具。铁农具区域发展的阶段差异体现了区域农业经济发展的阶段性和不平衡性。第四章：农田开发及农田水利建设管理。农田开发是在政府的统筹组织下进行的，尤其是大规模毁林开荒、变牧为田的屯田垦荒及农田水利建设极大地改变了土地原有的生态面貌，对环境造成了一定的影响。虽然农田开发及农田水利建设在一定程度上取得了耕地扩张、安抚流亡、经济增产等效果，但由于黄土高原地区水资源的匮乏以及大规模引浑淤灌对湖沼滩泽的堙没及滩区内的农田开发等，还是导致了局部的环境灾害，尤其是不当的水利工程因取排水失误还会导致土壤重归退化。江淮地区陂塘蓄水灌溉工程的发展对于改变水资源的时空分布、化害为利，改善农业生产的水域环境及人地宜居环境关系的改善产生了较好的社会效益，为后世江南经济的发展奠定了一定的技术和物质基础。农田开发及水利建设中管理不当对环境造成的负面影响足以警示我们现在的经济活动。第五章：农业生产的区域政策与区间交流管理。区域农业生产发展的政策是依据集权统治的政治利益需求而逐渐发展起来的。汉武帝时期形成的四种较为明确的区域经济政策，即保障基本经济区的发展、移民实边、贬抑诸侯、虚治东越等政策影响了西汉后期的区域经济发展形势。区域间的农业经济联系与交流体现了区间经济发展的互补性和农业经济发展的区间生产力差异。与西北及北方外族农业经济的交流，在输出与引进的经济互惠过程中，更体现了汉民族兼融并蓄的精神风貌和农耕文化的影响与扩张，尤其是汉与匈、羌、乌桓等北方部族的边境互市贸易以及与西亚诸国的经济交流，不仅成为维系双方关系稳定的重要利益纽带，而且成为文化交流的重要通途。政府对区域农业经济发展的政策性投资与人口流动等促进农业生产技术在各地的传播，在促进区域农业经济发展与进步的同时，有力地推动农耕文化在落后地区的发展，利于统一的汉民族共同体的形成与发展。第六章：结语：历史的启示。我国两千余年来“有恒产者有恒心”的经济伦理思想对现今农村经济发展和土地改革仍具有现实的借鉴意义；通过揭示基本经济区农业经济转化的方式与手段，认为政府对农业经济资源控制与管理的机制和技术进步与流传的形式不仅是历史时期促进农业经济发展的重要手段，且同样可为当前紧张的农业生产资源提供更多手段的管理模式与实现效益增扩的途径；由于我国各地因资源、技术水平的差异，区域经济存在较大的联系和互补性，通过政府管理的宏观调控作用对资源进行有效的配置，可实现效益的最大化，以促进落后地区的经济发展。在对农业经济资源的开发与管理过程中，环境越来越成为影响农业发展的关键因素。农田生态环境是大环境循环系统的重要组成，良好的生态环境是农业持续发展的基础，农业的发展应以促进环境和谐为前提。对于政府而言要加大农田和生态环境保护的政策，二者的良性循环是社会经济和谐发展的基础。总之，通过客观评述汉代政府管理的制度机制对各种农业生产资源的配置形式、实现途径及影响范围，即经济组织效率和管理机制的关系，可了解汉代农业经济发展的生产组织形式、管理组织结构对农业经济绩效的促进或抑制作用。现代新制度经济学强调制度结构以及制度变迁是影响经济绩效以及经济发展的重要因素，即在国家力量作用下的制度变革和制度创新对引起经济增长和发展的各种要素起着极为重要的主导和诱使作用。通过对汉代社会基础制度以及他们如何影响农业经济活动绩效方式的剖析，基本可明白汉代农业经济运行和发展的基本面貌。这对于我们认识当前农村经济发展与改革的体制障碍，推动“三农”问题解决，促进社会主义新农村建设仍有现实的借鉴与警示意义。更多还原

【Abstract】 As a combination of natural reproduction and social reproduction, agriculture is thebasis of the society and economy and also the decisive productive sector throughout ancienttimes across the world. During the Han Dynasty, in order to consolidate the centralizationof state power, the government strengthened the control over society and economy.Resource elements for the production and development of agriculture, such as theallocation of land, population shift, technology diffusion, the control and distribution ofironware, economic communication, the promotion of agriculture-oriented cultural,farmland exploitation and so on, took different forms and ways in different areas anddifferent times due to the restriction from the political and economic strategies andmanagerial mechanism for institution of the government. This paper discussed the steeringand inducing of resource elements for agricultural production of the managerial mechanismof government and described the overall situation of economy in the Han Dynasty, such ascauses for the development of family economy in the West Han Dynasty, unbalanceddevelopment of agricultural economy among different areas, especially Jiang-huai Regionwhich was backward in the West Han Dynasty, causes for the huge differences amongdifferent areas in terms of the development and diffusion of ironware, causes for thediffusion of agriculture-oriented culture and the environmental effect of farmlandexploitation. All these social phenomena were closely related to the various managerialmechanisms of the government. Because technology plays an important role in agriculturalproduction and development, this paper focuses on influences of the elements oftechnology, which include effects on the forms of resource exploitation, the positive andnegative effects on economy and on the economic performance of productive andmanagerial organization. This paper falls into six chapters.Chapter one is family economy and its development in the Han Dynasty. The familyeconomy system was established during the Spring and Autumn and Warring States period.During the Qin and Han Dynasty, the family economy gained its legal status and was fullyimplemented. Individual family is the basis of family economy. The combination ofploughing and weaving is the basic unit of family economy. Grain production was givenpriority, and the production of mulberry, hemp, melon, fruit and vegetables were alsoemphasized. San Yang Zhuang houses and farmland site in the Han Dynasty was a proof ofsuch internal structure of family economy. Land was the basis for the existence anddevelopment of family economy. The ownership of private houses and land was crucial topetty farmers. It also embodied the ethic thoughts of the government that those who hadtheir own properties would behave properly. The government encouraged the developmentof family economy through various means. The ownership of private property was granted and corresponding responsibilities was described. However, the free flow of property rightstended to result in the losing of land ownership. Labor intensivism is a feature of familyeconomy. On one hand, technological advancement will lead to labor intensivism, on theother hand, the diffusion of techniques for cottage industry made petty farmers lead a plainlife.Chapter two is agricultural production management. Agricultural official system wasthe main part of finance system within the government of the Han Dynasty. The revenuewent to Danong or Shaofu, two departments in the central government. Danong was incharge of the land exploitation, water conservancy during the emperor Hanwu period.Agricultural official system was only in charge of agricultural tax collection but not socialmanagement. Local officials were responsible for social management and economicdevelopment. Their duties were to encourage agricultural production, to promoteagriculture-oriented culture policy, to promote technological exchange and to superviseagricultural production. It was essential for government to manage the agriculturalproduction in order to control the agricultural economy. The management focused on landexploitation, change in population, tax collection and diffusion of high yield crops andagricultural techniques. Small and medium Landowners, as an important force for thedevelopment of agricultural economy, became the spokesmen for the government. Theypromote agriculture-oriented thoughts in rural areas.Chapter three is the development and diffusion of iron farm tools, iron farm tools iscrucial for agriculture. And its advancement and diffusion embodied the level of agriculture.The policy of official in charge of iron refers to the monopoly of production anddistribution of ironware by the government. Ironware, as an important political andeconomic strategic resource, became an important means to adjust and control social andeconomic development. Under the policy, the production of ironware followed strictstandard. There was also a set of label system for the quality control and supervision. Inthis chapter, special attention was given to the so-called big tool mentioned in literature.This paper held that the so-called big tool is just a big iron plough with Li-Bi, which wasdeveloped for digging siol by the Da Nong department during the promotion of Dai Tianmethod. Due to its high price and big size, petty farmers were not allowed to own and use it.However, the invention of digging parts of plough laid a foundation for the futuredevelopment and improvement of the shape of iron plough. The diffusion of iron farm toolswas closely related to the three phases of the development of regional economy and politics.In the early West Han Dynasty, due to the blockage to the neighboring nationalities, thetechniques for ironware production were backward and the output was also limited. Duringthis period, wooden and iron farm tools were both used in many areas. In the middle andlate West Han Dynasty, due to the unbalanced development in terms of political andeconomic policy, iron plough and cattle ploughing were common practice in the basiceconomic districts. However, in Jiang-hui, Southwest and Lingnan regions, ironware washardly seen. In late Han Dynasty, iron farm tools were used in most part of then China. Thedifference of development of iron farm tools reflects the unbalanced development ofagricultural economy among different regions. Chapter four is farmland exploitation and its environmental effects. Farmlandexploitation was organized by the government. Farmland exploitation and waterconservancy projects greatly changed the original ecological system and had a certaineffect on the environment. Although farmland exploitation had resulted in increase infarmland areas and output, it also led to environmental disaster in some regions. Thedevelopment of pond irrigation works in Jianghuai Region optimized water resources thereand improved the agricultural environment as well as the living environment. This laid asolid technological and material foundation for the future development of economy inJiangnan Region. Negative effects of the farmland exploitation on the environment shouldserve as a warning for economic activities today.Chapter five is regional management and exchange of agricultural development.Policy concerning regional development of agricultural economy was gradually developedaccording to the political interests of the centralization of state power. The four regionaleconomic polices established during the Han Wudi period influenced the development ofregional economy in the late West Han Dynasty. Economic exchange among differentregions reflected the complementary among different regions. Economic exchange withforeign countries reflected the open mind of the Han nationality and the influences ofagricultural culture. Border trade with northern tribes and economic exchange with westAsian countries served not only as ties to preserve a steady relationship but also animportant channel for culture exchanges. The policy concerning the regional economicdevelopment and population shift promoted the diffusion of techniques among differentregions.Chapter six, the epilogue, is historical and realistic inspiration. Even today when wetry to develop the rural economy and reform the land ownership, we can still learn from theeconomic and ethic thoughts of the last 2,000 years that those who had their own propertieswould behave properly. The ways in which the agricultural economy developed in the basiceconomic districts were revealed. This paper held that governmental managerialmechanism and technological advancement and diffusion were not only important means todevelop agricultural economy in the history, its can also be adopted today to manageagricultural resources and to increase profits. Beeanse of the differences in resources andtechnology among different regions, regional economies are highly related andcomplementary. Through macro control the government can allocate resources effectivelyand optimize the profits so as to promote economic development in under-developedregions. Farmland ecological environment is an important part of the ecological system. Asound ecological system can ensure the sustainable development of agriculture. For thegovernment, great importance should be attached to the protection of both the farmland andthe ecological system.To sum up, relationship between managerial mechanisms and economic performance,namely the effects of governmental managerial mechanisms on the allocation ofagricultural resources, was described and discussed objectively in this paper. Positive andnegative effects of managerial mechanisms on economic performance in agriculture can beseen. Institution and its transformation are considered as important factors for economic performance and development in modern new institutional economics. Institutional reformand innovation is crucial to economic growth. The general situation of agriculturaleconomy in the Han Dynasty was described after the analysis of the basic socialmechanisms and its effect on economic performance. All this can be served as a referenceand also a warning when we now try to identify the present institutional obstacle of thereform and development of rural economy, to solve the san nong problem, or the problemof farmer, countryside and agriculture and to accelerate the building of a new countryside.更多还原