【作者】 王建功；

【导师】 冯子标；

【作者基本信息】 山西财经大学 ， 政治经济学， 2010， 博士

【副题名】农民转型的经济分析

【摘要】 本文通过对中国农民的认知,将农民转型与工业化的关系高度联系起来,探索中国农民转型的产业、技术以及制度基础。工业化过程就是农民的转型过程,即由分散落后排斥协作的小生产者被大工业改造为在分工精细而又协调水平很高的工业生产中的经营者和生产者,一旦这一转化过程在深度和广度上“洗礼”了农民的旧俗,传统农民就转化为现代工业文明的人。农民转型是工业化的咽喉之道。当前,半转型的农民工已经在制约工业化的前行。农民的半转型和土地制度约束下农业组织的小农化,使得第一产业依然占有40%的劳动力,但是却出现了劳动力转移的停滞和摇摆。要释放更多劳动力,必须实现农民的彻底转型。占到全部人口近7成的9亿农民,一方面是工业化的瓶颈,另一方面,也是工业化进一步扩展的广阔天地。农民呼应工业化的能力、创造力和人力财富的积累,就成为衡量工业化成就的标杆。在此意义上,农民转型是破解工业化瓶颈和实现产业升级的必经之路。农民转型理论的构建和展开,是尝试在诸多关于工业化和发展问题的理论体系中,针对中国工业化面临的迫切问题,进行理论探索,以期提供一个新的视角。它的研究基于三大密切相关的理论：其一是马克思主义生产力理论；其二是资本理论,包括人力资本理论；其三,产业组织理论。研究方法上,本文搜集农民包括农民工的相关数据和信息,并对数据进行了相应的分析。有些数据进行了实地调查,做了村庄调研。为了刻画农民转型的进程并进行区域间比较,本文构建农民转型指数,并基于面板数据进行了计量分析。本文基于对农民转型三大维度：人力资本水平、分工水平、非农化集聚程度三者的解析,从三个层面即产业的牵引、城镇化的吸纳、农业对劳动力释放的角度对农民转型的必要性和可行性进行论证。结合中国工业化的实践,分析影响农民转型的三大悖论：即就业优先目标与产业升级路径的排斥劳动、城镇化吸纳农村劳动力同时存在的驱赶效应、土地制度的刚性和农民转移的流动性。它形成工业化升级与农民转型要求之间的矛盾体,制约了农民转型,同时,也是农民转型的突破口。这一矛盾源自一系列制度所形成的垄断。化解了这一矛盾,促进竞争,破除垄断,工业化升级,农民顺利转型。这是全文的逻辑主线。为了化解农民转型的困境,寻求实现农民转型的路径,本文对农民转型的产业技术基础进行较为详细的理论阐释和实证分析；提出以农民转型作为城镇化的主题；探讨农民转型与农业生产、农业现代化和农村现代化的关系,其核心是配合劳动力流动,促进土地流转,改进农业生产组织,提高农业生产效率。农民转型与工业化相为镜鉴,是回到人本身看经济发展。农民具有在市场经济中自生和自我发展的能力和需要,激发9亿农民的生产力和创造力,是中国工业化的内在要求。农民在工业化过程中的转型,是一个自然历史过程。生产力是社会进步的基石,其核心是劳动生产力。在工业化的历史过程中,由于资本等要素更加稀缺,劳动力的地位往往受到忽视。但是进入20世纪后期,工业化开始进入人力资本时代,“以人为本”不再只是虚言,而是奠定经济内生增长的坚实基础。实现农民转型,需要充分借助工业化的力量,并逐渐营造完善的市场和制度环境。农民转型不仅仅是为了从根本上改善农民处境,更为重要的是实现工业化向着更广泛深入的领域展开,完成工业化改变我国二元经济和社会面貌的历史使命。更多还原

【Abstract】 In this dissertation, we analyzed the characteristics of Chinese peasants, identified the correlation between peasants transformation and industrialization and explored the technical, industrial and institutional basis for such transformation. Industrialization also is the process of peasants transformation, which transfer the peasants from scattered, backward and small producers to new producers, which reorganized into large industrial system and integrated with the high level industrial production, the peasants also come across from old traditional customs into modern industrial civilization.The semi-transformation of peasants as migrant workers is hindering the progress of China’s industrialization. Under the constraints of the current land system and the semi-transition of peasants, China’s agriculture is dissected to small farmers. Consequently, although the primary industry still retains40%of the workforce, labor transition has ceased and begun to alter. In order to release more surplus labor, thorough transition of peasants must be effected. Accounted nearly70%of the population.the900million peasants is the bottleneck, while also leave further expansion for industrialization. The ability of react to industrialization, the creativity and human wealth accumulation of peasants, can be regarded as the benchmark of industrialization In this sense, peasant transformation is the inevitable way of industrialization in China.The theory of peasants transformation provide a new perspective on China’s industrialization。 Its research based on three closely related theories:of productive forces of Marxist theory; capital theory, including human capital theory; theory of industrial organization. To describe the process of peasants transformation, we construct the index of peasants transformation, empirical analysis based on panel data we collecting data of peasants and migrant workers, some data from factory survey or village survey.Peasants should transfer from traditional agriculture to modern sector with labor productivity improvement. Peasants transformation has three dimensions in practice:human capital level, division level and conversion agglomeration.It realized from three aspects, which are industry traction, urbanization absorbing, agriculture and rural labor release. There are three paradox in current industrialization:industrialization upgrade to employment priority objectives, urbanization to rural labor expelled effect, the rigidity of land system to labour liquidity..It restrict peasants transformation, and also the breakthrough.for peasants transformation This contradiction come from institutional monopoly. Defuse contradictions and promote competition, break monopoly, will bring about industrialization upgrade and peasants transformation.Peasants transformation and industrialized phase as the mirror for each other.We believe that peasants have the needs and capabilities of self-support and self-development in a market economy. What we need to do is just stimulate the productivity and creativity of the900million peasants in China. It is a natural historical process. for peasants transformation in industrialization. Productivity is the cornerstone of social progress, and the core is labor productivity. In history, because material capital was more scarce, labor often was neglected. In the late of20th century industrialization entered human capital era. People--oriented no longer just namely introduction,it can be the solid foundation for endogenous growth. Peasants transformation, need full advantage of the power of industrialization, and gradually create a perfect market and institutional environment. Peasants transformation not only to improve the situation of peasants, more importantly, it lead to a extensive industrialized areas,and to change the state of dual in economic and social in China.更多还原