【摘要】 当前我国农村社会经济正处于全球化和城镇化的浪潮中。全球化带来了拥有先进技术和雄厚资金等林业生产要素的外资企业,将对集体林的传统经营与生产形成了竞争压力。城镇化使得我国普遍存在兼业型的农民和长期在外务工的农民,形成留守农村的劳动人口逐渐减少和农村人口年龄的两极化。由于农林生产的比较利益低,投资农林生产的机会成本可能非常高,农林生产资金和农村优秀的人力等生产要素不断外流,造成了我国农村当前林业生产资金和有较高知识和技能的劳力生产要素非常稀缺。随着集体林权制度改革全面开展,家庭成为集体林的经营主体,也为林农合作奠定了产权基础。在各地实践过程中,林农的合作行为多样化,形成了不同形式的林农合作组织。那么在以上农村社会经济大转变的背景下,林农的合作行为为何会呈现多样化?他们是如何做出理性选择的?由其形成的不同形式的林农合作组织发展现状如何?同时在我国完全市场经济和民主进程两大改革主线下,我国林农合作组织发展将走向何方?基于以上背景与问题,本研究以新制度经济学的交易费用、产权、利益相关者、企业治理等理论基础,运用委托代理模型、博弈模型和利益分配模型等分析工具,并通过构建不同形式的林农合作组织的利益分配模型,着重研究集体林权制度主体改革后,实践中林农合作行为的多样化及其选择的问题,并结合短期和长期视角,运用内部运行机制、外部利益相关者和发展环境这三个逐层放宽的分析框架来评估林业专业合作社、林业专业协会和家庭股份合作林场这三种不同形式的林农合作组织的发展,从中进一步提出我国林农合作组织发展的取向,初步得出以下结论:首先,研究认为林农合作行为的多样化主要是在当前林产品交易制度环境下林农关于交易成本的理性选择结果。研究认为资产专用性高,交易不确定性大和交易频率低是当前森林经营的三大明显特征。在它们共同影响下,林农进入市场的交易费用很大。因此林农针对自己的资源禀赋,通过选择不同的合作形式降低林产品交易费用,从而形成当前不同形式的林农合作组织。其次,林业专业合作社当前倾向管理者的非对称的内在运行机制符合现在农村林业具有管理技能人力和资金两大生产要素稀缺的实际,且其发展具有不同类型和层次的外部利益相关者和良好的政策环境支持。但研究发现就农村当前较低的森林经营水平下难以适应经营周期长,交易频率低的木材林产品生产。现有政策的实施比政策本身更加重要。长期来看这种运行机制也难以兼顾社会公平的组织目标,林农的权益难以得到保障。第三,林业专业协会具有服务针对性强和较好的现实适应性等优点,但研究指出其内部运行缺乏监督机制,容易影响组织的稳定性。林业专业协会涉及的外部利益相关者较少,且契约关系简单,但其非赢利的性质决定了它没有自收能力,导致它又严重依赖外部利益相关者,形成了林业专业协会的发展困境。加之其功能单一,业务范围狭隘,难以应对未来外部环境可能发生的变化,并难以保障广大林农权益。第四,家庭股份合作林场是目前相对兼顾经济效率与社会公平的林农合作组织形式,由于不完全开放的成员机制,使其具有治理简单的成本低的运行机制,非对称决策和委托代理问题和股东异化程度不明显,利益分配机制简单等优点,比较适宜具有某些良好关系的家庭之间,以交易频率低的木材林产品为经营对象的小规模合作。但其发展正面临着“政策真空”的挑战,以及由于其特殊的并不完全开放的成员机制使其难以自愿扩大规模,影响力偏弱,不利于应对未来环境可能的变化及广大林农权益的维护。第五,从长远来看,研究认为我国林农合作组织应坚持促进森林持续经营、提供林业综合服务、提高林农收入和维护林农权益四个定位,采取形式多样化,以及促进和规范合作、经济实力加强和社会影响扩大三个阶段化的发展取向。并认为在我国当前的林农合作组织形式的发展基础上,发展以维护林农权益为主,综合经济、培训和社会功能的综合属性的林农合作协会可能是我国集体林区未来林农更加紧密合作、完善乡村治理、以及应对完全市场经济地位,较好保障林农权益的组织制度选择。最后,研究认为我国林农合作组织现阶段和长期的发展可以从发展的政策依据、融资渠道、森林保险、产业扶持和组织保障五个大方面着手。在完善发展政策依据的基础上,目前重点规范不同形式的林农合作组织的内部运行机制,降低林产品交易成本,和改善农村林业生产要素的稀缺程度等,而从长远来看,还需要培育林农民主参与意识,构建林农参与林业政策过程的长效机制,从根本上保障林农权益,充分发挥林农合作组织的各项功能。

　　【Abstract】 Nowadays, rural social and economy in China is on the wave of globalization and urbanization. Foreign forestry companies with advanced technology and abundant capital has been come into China, formating competitivity to rural traditional forest management and production. There are many farmers who work in agricultre and nonagriculture or work in city overtime because of urbanization, formating rural population gradually decreased and the labor force with polarization of the age left behind. Because of low comparative advantage of agricultural, the opportunity cost of investment in agriculture can be very high. The labor with knowledge and skill and capital elements has been very scarce resulted frome the continued outflow of excellent human capital and forestry production capital.With the overall development of collective forest tenure reform, family has become the mainforce of collective forest management, establishing cooperative property rights foundation for forestry farmer. In parctice, the cooperative behavior of forestry farmers diversified, some different cooperative organizations has been formed. So in the changesof rural socio-economic context, why do cooperative behaviors of farmers diversified? And how do they make rational choices? What are the development statuses of different forms of Forestry Farmers Cooperative Organiztions (FFCOs) formed by the diversified behaviors of farmers? At the same time, under the two main reforms of full market economy and democratic process, where will the development of FFCOs going?Based on the above background and problems, some new institutional economics theories of transaction costs, property rights, stakeholders and corporate governance were use and some analysis tools of principal-agent models and game models were applied, and constructing different benefit distribution model for diversified FFCOs. The study focesed on different cooperative behavior of forestry farmers and their choice, combined with short-term and long-term perspective, analytical framework of the internal operating mechanism, external stakeholders and development were applied to evaluate three forms of FFCOs——forestry cooperatives, forestry professional association and family shareholding cooperative forest farm, from which the development orientation of FFCOs were proposed. Conclusions are followed:Firstly, in the current environment of forest products trading, the diversity of farmers cooperative behavior is the result from transaction costs rationally choosed by forestry farmers. Study suggests that curruent forestry management and production have three obvious features of high asset specificity, large transaction uncertainty and the low trading frequency. With their combined effects, market transaction costs of forestry farmer can be high. So farmers can reduce transation cost of forest products by choosing different forms of cooperative moldes on their own natural resources, and then different forms of FFCOs were formed.Secondly, the current asymmetric internal operation mechanism for managers of forestry cooperatives complies with the scarcity of capital and rural labor with managerial skills. And the developments of forestry cooperatives are supported by different types and levels of external stakeholders and good policy environment. But the study found under the lower level of current forest management in rural, forestry cooperatives are difficult to adapt to timber forest products production with low frequency of transactions, and the implementation of existing policies is more important than the policy itself. With the long term, the organizational goal of social equity is difficult to take into account and ensure the interests of other farmers.Thirdly, there are some advantages of professional services and good adaptability in foreatry professional association. But study pointed out the lack of internal supervision mechanism likely to influence the stability of the organization. The external stakeholders involved in few group with simple contractual relationship, but the non-profit nature of the association implying there is no self-profit capacity, leading it heavily dependent on external stakeholders, formatting development difficulties of forestry professional associations. Together with its function of a single, narrow scope of business, it is difficult to respond to future changes from environment and difficult to protect the interests of forestry farmers.Fourthly, family shareholding cooperative forest farm is a form of cooperative for forestry farmers with shares of economic efficiency and social equity becaruse of its members mechanism without completely open. There are some advantages of simple and low cost of control, unobvios asymmetric decision-making, agency problems and shareholder alienation, also simple benefit distribution mechanisms. So family shareholding cooperative forest farm is adapt to small-scale cooperation for some families with good relationshiop, timber forest products with low frequency of transactions. But its development is facing a "policy vacuum"challenge. And because of its special member’s mechanism, it is difficult to expand the scale with the voluntary, so the social-economic influence is weak; it may be detrimental to respond to future changes frome external environment and Maintenance of the interests of the majority of forestry farmers.Fivethly, In the long run, research suggests that four positions for development of FFCOs of promotting sustainable forest management, providing integrated services, improving forestry farmers’income and protecting interest. The development orientation of FFCOs should take diverstity and three stages of promoting and regulating cooperation, strengthening the economic strength and expansion of social affected. And then research gives the preliminary view that based on curruent forms of FFCOs, forestry farmer cooperative association with integreted property, which main functions is pretect forests farmers rights integreted with funcion of economic, education and social, may be the better choice for the future of working closely in forestry farmer interest group, improving governance in rural communities, as well as responding to full market economy status.Lastly, Studies suggest that at the present stage and long-term of development of FFCOs can be focus on five major aspects of based development policies financing, forest insurance, industry support and organizational guarantee. Based on development policy, the regulation of in internal operating mechanism, reduction of transaction costs of forest products and improving the rural forestry production factors maket are the main task, in the long term, sense of democratic participation of forestry farmer also need to be cultivated, long-term mechanism to participat in forest policy processes need to be builded to protect forestry farmers interests from the fundamental and to fully play the function of FFCOs.

　　【关键词】 集体林； 林权制度改革； 林农合作组织； 形式；

　　【Key words】 collective forest； forest tenure reform； forestry farmer cooperative organizations (FFCOs)； forms；