【作者】 李维林；

【导师】 赵梦涵；

【作者基本信息】 山东大学 ， 财政学， 2010， 博士

【副题名】以山东省为例

【摘要】 20世纪70年代末开始的改革开放标志着中国进入了经济转轨时期。经过30多年的持续快速发展,我国在总体上已进入“以工促农、以城带乡”的发展阶段,通过实施包括农业补贴在内的各种激励政策实现“工业反哺农业”是今后解决“三农”问题和实现城乡协调发展的基本政策导向和发展趋向。农业补贴是政府对农业激励政策的重要组成部分,补贴的总体目标是通过政府介入农产品或生产资料市场,利用价格杠杆,或以直接支付的方式,提高农业生产者收益,拉动农业的总体产出水平,实现三次产业的协调发展。这一狭义的概念符合国际上的流行观点,有益于分析和评价国际农产品贸易环境。但从更宽泛的意义上来说,农业补贴在提高农民群体的社会地位和福利水平、实现环境保护、促进社会和谐等方面同样具有重大意义,它所产生的微观经济效益和宏观社会效益完全吻合公共财政服务于经济、提供均等化服务的理念。要研究一国的农业补贴政策及其效应,需要将其放到特定的历史时期和特定的制度环境中去。在过去相当长一段时期内,中国实行的是以公有制为基础的计划经济下的农业经营模式,农业市场化水平低,政府对农业的经济行为主要通过投资力度的大小和税负的轻重影响集体农业的发展,政府的农业补贴行为呈现出明显的政府“一元化”供给特点。它对农民直接的激励作用是有限的,对农业生产力发展的激励作用也是有限的。改革开放之后,农村土地以“包产到户”的形式恢复农民的家庭经营,市场经济因素普遍引入“三农”领域。与此同时,工业经济蓬勃发展,进入了工业化中期阶段。国家财力显著增强,政府的农业补贴力度开始加大,手段开始多样化,并逐步与市场经济体制要求相适应。进入上世纪90年代中后期,我国市场化程度不断提高,适应市场经济的公共财政框架也开始建立。这也决定了我国农业补贴的目的发生了根本性的转变,不再是全方位的支持工业,也不再是维持低水平的自我循环,而是由工业的发展哺育、带动农村和农业的发展与升级,拓宽农民的收入渠道,维护农民的利益。加入WTO将我国推向了一个更加开放的经济环境中,也使带有计划经济痕迹的农业补贴面临着重大变革。农业补贴政策必须符合国际规范,符合市场化农业发展要求,违背市场规律、过分干预市场的补贴手段逐渐遭到摈弃,效率和公平将同时受到重视。由此可见,在经济转型和制度转轨时期,中国农业补贴政策是在各种背景和现实因素的共同影响下产生和运作的。农业补贴是政府公共政策中的重要组成部分,政策的制定、实施、评估等各环节蕴含于政府公共政策的决策机制和政体结构之中,在政策的实施范畴、实施对象的界定及政策与对象的互动关系上依托于政府的财政体制,在政策实施效果上又与农户、农业产业、经济增长、国际贸易甚至环境保护、社会福利等在微观和宏观层面发生千丝万缕的相互牵制和相互促进的联系。基于以上思路和理念,本文将转轨期中国农业补贴的政策演变、政策效应作为研究背景,选取山东省作为典型案例,深入分析农业补贴政策构建的逻辑起点、农业补贴与制度环境的互动性作用机理,并对农业补贴产生的政策效应进行实证检验,在此基础上,提出对转轨时期我国农业补贴政策的修正路径和未来发展方向,为相关政策的制定提供理论参考。在具体的研究方法上,着重体现历史研究与现实分析相结合,规范分析与实证研究相结合。本文采用的研究方法主要有：1、文献研究法。国外理论界对农业补贴具有较长的研究历史,形成了一定的理论积淀。本文搜集大量的国外文献资料和各国实践经验,将其进行分类归纳,理顺农业补贴的理论分析脉络,并与中国特色相结合,在前人研究的基础上,希望提出更有价值的观点,完善转型时期中国农业补贴理论。2、案例分析法。本文在实证研究部分,主要利用了案例分析法。选取山东省作为案例分析对象,深入实地展开调研活动,获得详实的数据资料。从财政农业补贴的大、小两个口径,将各类补贴相关数据进行横向、纵向的对比分析,找出农业补贴产生的政策效应、存在的问题,并深入挖掘现象和问题背后的制度层面、政策层面的原因。3、实证分析法。首先构建一般的农业生产函数,假设农业补贴全部来源于财政拨款或来源于非农业,将其纳入到农业生产函数中,分析农业补贴率对均衡时的农业产量、资本存量和农业消费的影响。通过利用图示、数理推导、模型分析法分析验证农业补贴手段所产生的各种补贴效应,如福利效应、增长效应、收入效应、价格效应以及结构效应等。力图从质、量、度等各个方面对农业补贴问题进行较为全面深入的分析,为修正以往的农业补贴方式、选择未来科学的农业补贴路径提供了实证方面的检验。具体而言,本文主要在以下几个方面进行了创新性的探索：1、提出一个分析转轨时期中国农业补贴及其效应的一般理论分析框架。将整个分析过程分为三个层次：农业补贴政策构建的逻辑起点、农业补贴政策制定的制度依托和农业补贴政策实施的效果评价。这一分析模式,有助于突破我国理论界以往过于局限的农业补贴分析层面,从质、量、度各个角度全面展开对农业补贴的系统性分析,也有助于设计我国未来农业补贴规范化的制度演变路径。2、建立理论模型对农业补贴及效应进行了全面、系统的动态研究。突破当前理论界局限于加入WTO后一系列应对性、功利性的政策研究层次,从长期的、可持续发展的、关注经济增长的同时又体现人文关怀的科学决策深度,展开全方位、系统性的深入动态研究,进而从微观到宏观层面制定出更加科学、合理的富有弹性的农业补贴政策。3、拓展农业补贴效应的分析范围。突破以往过于重视农业补贴的经济效应分析,将对政策效应的研究拓展到农业补贴的资源配置效应、社会福利效应、产业协调发展效应、价格和产量稳定效应以及生态环境效应等全方位、深层次领域。这符合农业补贴在公共财政框架下运作的特点,有助于实现运用科学发展观建设农业、促进经济增长、加强国际竞争力、构建和谐社会的重大目标。4、选取农业大省山东省作为案例,建立农业补贴效应的实证分析模型,具有较强的典型性和代表性。突破以往仅从宏观层面研究农业补贴的政策效应,将研究触角深入到微观层面,对农作物良种补贴、家畜良种补贴、农机购置补贴效应进行测定、推导与实证,使得未来政策制定的科学性、规范性有了更坚实的实证依据。研究结果表明,近几年的中国农业补贴不仅具有促进农业发展的正相关效应,而且在补贴的力度、品种、覆盖面等诸多方面,正以前所未有的规模向前发展,并以新的补贴方式,减少了补贴发放的中间环节,提高了补贴的效率,有效地发挥了对农业的激励作用。同时随着补贴力度的增大,在运作过程中也出现了一些需要进一步解决的问题。从实际情况看,尽管我国目前农业补贴的规模与范围已有显著的扩展,但仍然存在加大补贴力度的政策空间。为全面落实国家的各项惠农政策,从各个层面加大农业补贴的力度,针对当前“三农”形势发展的需要和存在的突出问题,今后在完善农业补贴政策的思路与对策上应有新的发展与突破,应从长远考虑,在总结各地实践经验的基础上,建立和完善农业补贴的政策体系和公开透明、轻便快捷、规范高效的网络管理体系与信息传播系统,形成各类农业补贴的长效机制。更多还原

【Abstract】 China’s reform beginning late 1970s marked that China has entered a period of economic transition. After 30 years of sustainable and rapid development, China has entered a stage of development as " promoting agriculture through industry and enhancing rural through urban areas." To achieve "industry-supported agriculture" through a variety of incentive policies, including agricultural subsidies, is the basic policy orientation and development trend of solving "three rural issues" and of coordinating urban and rural development.Agricultural subsidy is an important component of the government’s agricultural incentives. The overall objective of subsidies is to use price leverage through government intervention in agricultural products or capital goods markets or using direct payments to enhance agricultural producers’ earnings, to boost the overall level of output in agriculture, and to realize the coordinated development of three industries. This narrow conception represents international prevailing view, and is useful for analysis and assessment of international agricultural trade environment. However, in a broader sense, agricultural subsidy has a great significance in improving the social status and welfare standards of farmers, achieving environmental protection, and promoting social harmony. Provided that its micro-economic and macro-social efficiency are fully in line with the ideology of public finance in serving economy and providing equal services.To analyze agricultural subsidy policy, and its effects, we need consider institutional circumstances under specific history stages. In a quite long period of the past, China’s agricultural operation model has been characterized by public ownership under a planned economy. Therefore, the level of agricultural marketization was low, and the government economic behavior towards agriculture mainly focused on collective agricultural development by adjusting investment and taxation policy. As a result, China’s government farm subsidies had shown an obvious characteristic of "unified" supply. Its direct stimulating effect, with regard to either farmers or the development of agricultural productivity, was limited.Since China’s reform and opening up began, farm land policy has transferred from "household responsibility system" to family-run regime, and market economy factors have been generally introduced into the "three rural" areas. At the same time, industrial economy has been booming, and China entered the middle stage of industrialization. China’s economic power has been rising significantly, and government farm subsidies have been strengthening with variety of policy tools along with market economy system. From the middle 1990s, China’s market-oriented level has been improved dramatically while the public finance framework has been built to adapt to the market economy. Those also determined the fundamental changes of the purpose of agricultural subsidies. Agriculture’s full support to industry ended, and its low level self-loop was replaced. Instead, industrial development began to subsidize agriculture, promote rural farm development and upgrading, broaden income sources of farmers, and safeguard the interests of farmers. China’s accession to the World Trade Organization (WTO) has also created a more open economic environment, and challenged China’s agricultural subsidies under its planned economy. Agricultural subsidies policies must be consistent with international norms and domestic market-oriented agricultural development requirements. Any subsidies, which against the laws of market or involved in market intervention must be gradually abandoned, while efficiency and equity will also be taken seriously.Thus, during the economic transformation and institutional transition period, China’s agricultural subsidy policies have resulted from complicated backgrounds with realistic factors. As an important part of government public policy, agricultural subsidy policy, from its formulation, implementation to evaluation, has been involved in government decision-making mechanism as well as political regime. The areas and object definition of policy implementation and the object-interaction between policies are relying on government financial system. The effects of policy implementation have countless mutual containment and reinforcing linkages with farmers, agricultural industry, economic growth, international trade and even environmental protection, social welfare at both micro and macro level. Based on these ideas and concepts, using a research background of the evolution of China’s policy on agricultural subsidies and their effects in the transition period, taking a typical case study of Shandong Province, this thesis will exploit in depth the logical starting point of China’s agricultural subsidy policy, and the interaction mechanism between agricultural subsidies and institutional environment. The author will also examine the effects of agricultural subsidy policy by conducting an empirical analysis, and provide policy recommendations and theoretical references with regard to proper amendment on China’s agricultural subsidy policies and the future path during the transition period.This research has combined the methodology of historical research and reality analysis, as well as normative analysis and empirical study. The main methods are as follows:1. Literature Research. Foreign theoretical societies have a long history in academic research of agricultural subsidies, and have created a theoretical accumulation. This paper has collected a large number of foreign literatures and valuable experience from different states. Proper classification and theoretical induction together with Chinese characteristics will serve to make a more valuable point of view, and to improve China’s theory of agricultural subsidies in the transition period.2. Case Analysis. In this paper, case analysis was mainly used in the empirical studies part. By selecting Shandong Province as a case study, the author started field studies and practical survey, and collected detailed research data. From the large and small caliber of financial agricultural subsidies, the paper took both horizontal and vertical comparative analysis of all kinds of relevant subsidies data, identified the policy effects and problems generated by agricultural subsidies, and found out key reasons at both institutional and policy level behind the phenomenon and problems.3. Empirical analysis. First of all, a general agricultural production function was built with the assumption that agricultural subsidies entirely come from the financial allocation or non-agricultural sector. By applying the above to the agricultural production function, this paper analyzed the agricultural subsidy rate on the equilibrium of agricultural production, capital stock, and agricultural consumption. By means of graph, mathematical derivation and model, the paper analyzed and tested the effects and means of various agricultural subsidies, such as welfare effects, growth effects, income effects, price effects and structural effects. This paper conducted comprehensive and deep analysis on agricultural subsidies from the perspectives of quality, quantity, and extent. This has also provided empirical analysis on correcting previous methods used for agricultural subsidies and on selecting future scientific approaches for agricultural subsidies.Specifically, the main innovative achievements reflected in this paper include:First, a general framework of theoretical analysis has been built for analysis of China’s agricultural subsidies and their effects in the transitional period. The analysis process is divided into three levels:building the logical starting point for agricultural subsidy policy, institutional foundation of policy-making in agricultural subsidies, and effects evaluation on agricultural subsidies policy implementation. This analysis model may serve to help break through the limited theoretical analysis existed in previous research with regard to China’s agricultural subsidies, and to make a systematic analysis from the quality, quantity and other different angles. It also helps to design the standardization system of China’s agricultural subsidies in the future evolution path. Second, some theoretical models were established to make a comprehensive and systematic dynamic study of the effects of agricultural subsidies. Unlike most current theoretical analysis, which paid too much attention to responsive and utilitarian level of policy research in the post-WTO era, this research focuses on the depth of scientific decision-making based upon a long-term, sustainable development, reflecting both economic growth and humanistic care. The comprehensive, systematic in-depth dynamic study has been taken place. From both micro and macro levels, a more scientific and rational policy of agricultural subsidies in the elastic has been developed.Third, the research scope of agricultural subsidy effects has been expanded. In the past, too much emphasis was made on analysis of economic effects of agricultural subsidies. This paper expanded the study of the policy effects into the resource allocation effects, social welfare effects, coordinated development effects of industry, price and output stability effects, and eco-environmental effects of agricultural subsidies. This is consistent with the characteristics of the operation of agricultural subsidies within the framework of public finance, and is helpful to achieve the major goal of building agriculture, promoting economic growth, strengthening its international competitiveness, and building a harmonious society by using scientific concept of development.Finally, it is a strong and typical empirical study to be conducted by selecting Shandong Province, a major agricultural province in China, as a sample. In-depth micro-level study, instead of the macro level in the past, have provided strong evidence and evaluation on the effects of subsidies on crop varieties, livestock varieties, and farm machinery purchase. More scientific and standardized policy-making in the future will have a more solid empirical basis.The research conclusion shows that China’s agricultural subsidies not only has the effect of a positive correlation for agricultural development, but also has developed best ever in an unprecedented scale with many aspects of intensity, species and coverage of subsidize, and has adopted a new way of subsidy which cut down the number of intermediate links, improved the efficiency, and effectively played the role of agricultural incentives in recent years. At the same time, with increasing intensity of subsidies, there have been some problems need to be further addressed in the course of operation. In fact, although China’s current size and scope of agricultural subsidies have occured significant expansion, there are still more need to be done to enhance the subsidy policy. In order to realize full implementation of the national policy of supporting agriculture and benefiting farmers, the intensity of agricultural subsidies should be increased from various levels. In the future, to better solve the current "three rural" problems and to promote further development based on practical experiences, long-term considerations should be taken to establish and improve the system of agricultural subsidy policy and network management system. This system should be open and transparent, fast and convenient, formal and efficient, and represent a long-term mechanism of various types of agricultural subsidy.更多还原