【作者】 徐健；

【导师】 夏春玉；

【作者基本信息】 东北财经大学 ， 市场营销， 2010， 博士

【摘要】 自1993年山东省潍坊市提出农业产业化发展战略以来,农业产业化被普遍认为是一种有效的帮助农户进入市场的方式,受到了政府、涉农企业、农户和学术界的高度关注。近年来,农业产业化在其内在的激励机制和各级政府扶持政策的推动下,得到了快速的发展,但在发展过程中也出现了一系列的问题,例如在农业产业化实践中弱势农户的利益屡遭侵害、订单违约率居高不下、农户增收乏力等等。在所有的这些问题中,农户与其他农产品流通渠道主体之间的契约交易关系的稳定性更是成为了农业产业化的阿喀琉斯之踵。在农业产业化实践中,公司或农户违约的案例大量存在,有研究表明我国订单农业的违约率高达80%。农业产业化实践中的违约问题已经引起了学者们的广泛的关注。目前国内学者已经对契约型农产品交易关系稳定性进行了深入的研究,尤其是新制度经济学在该领域的应用,已经取得了丰硕的研究成果。但现有研究的一个重要不足在于学者们大多仅关注了契约的条款设计、农业产业化的组织模式与治理机制等经济因素对农产品契约交易关系稳定性的影响,而关系中的行为问题、社会文化问题却没有得到足够的关注。渠道行为理论认为渠道关系中的各种行为问题是影响渠道效率的重要因素,而农产品渠道关系中此种影响的一个突出特点在于渠道关系中权力结构的过度失衡。此外,根据经济社会学关于“嵌入”的观点,任何经济行为都是嵌入在社会关系中的,契约型农产品交易关系中的社会因素将会对交易过程、方式和整个渠道的绩效产生重大影响。特别是在我国的农村社会中,处于弱势地位的农户迫切需要寻求能够改善其交易地位的途径,而农村社会相对封闭的“熟人社会”的性质使得人际关系网络自然而然地成为农户用来处理与企业交易关系的一个重要工具。因此,为了给契约型农产品交易关系稳定性的研究提供多元化的研究视角和更为丰富的理论基础,非常有必要将渠道行为理论和社会网络理论引入该领域的研究。本研究以社会网络理论和渠道行为理论为基础,重点研究了契约型农产品渠道关系中农户人际关系网络结构特征(网络密度和网络中心性)、渠道的行为维度(农户渠道权力、企业权力应用方式、渠道冲突、农户满意),以及交易关系稳定性(农户违约倾向与续约意愿)之间的影响关系,以弥补现有研究的不足。论文所做的主要工作如下：第一,对社会网络理论、渠道行为理论和农产品契约交易关系稳定性的相关研究文献进行系统回顾与评述,掌握农产品契约交易关系稳定性研究的进展和现状。在此基础上,初步构建农户人际关系网络结构、渠道行为对农产品契约交易关系稳定性影响的理论框架,并形成若干命题与假设。第二,本研究将遵循规范的量表开发过程,在借鉴工业品流通领域的成熟量表的基础上,通过农户访谈和征求专家意见两个环节设计初始问卷。利用初始问卷开展预调查,并在预调查数据的基础上对量表进行修订。利用修订后的问卷开展大规模调查,进而根据分析结果对量表再次进行修订以得到本研究将采用的最终量表。第三,以存在契约型农产品交易关系的农户为样本开展大规模问卷调查。在调查数据的基础上,利用结构方程模型分析方法检验农户和农产品收购企业的渠道行为变量之间的影响关系,农户人际关系网络结构变量对渠道行为变量的影响,以及渠道行为变量对交易关系稳定性变量的影响。第四,围绕契约型农产品交易关系中农户与农产品收购企业的渠道行为间的影响关系、农户人际关系网络结构对渠道行为和交易关系稳定性的影响,以及农户与企业的渠道行为对交易关系稳定性的影响三个主题对结构方程模型分析的结果进行详细的分析与解释,并总结相关研究结论。最后指出本研究的理论与实践贡献,以及本研究的局限性和未来的研究方向。本研究的主要结论包括：第一,农户的人际关系网络结构对农户和农产品收购企业的渠道行为具有重要影响。农户人际关系网络密度的增强能够改变企业的权力应用方式,使企业较少使用强制性权力,而更多地使用非强制性权力,同时也有利于提高农户的满意度；与低网络中心性的农户相比,高网络中心性的农户具有更大权力,同时这类农户与企业之间的冲突水平也更高,并对契约交易关系的满意度更低。第二,农户的人际关系网络结构会以渠道行为变量为中介间接影响农户的违约倾向与续约意愿。具体而言,随着农户的人际关系网络密度的增加,农户的违约倾向会降低,而农户的续约意愿会增强。农户人际关系网络中心性对农户违约倾向的间接影响比较大,但对续约意愿的间接影响比较小。第三,农产品渠道中渠道行为变量间的影响关系与工业品渠道不尽相同。农户渠道权力越大,企业越倾向于少使用强制性权力,而倾向于多使用非强制性权力。农产品收购企业使用强制性权力会引起较高水平的渠道冲突,同时降低农户的满意度；企业使用非强制性权力则会提高农户的满意度,但对渠道中的冲突水平没有显著的影响。此外,渠道中的冲突水平对农户满意也没有显著的影响关系。第四,农户与农产品收购企业的渠道行为对农户的违约倾向和续约意愿具有重要的影响。农户渠道权力的增加会导致农户较高的违约倾向,从而会对交易关系的稳定性产生不利影响。但与此同时,农户渠道权力的增加还会提高农户的续约意愿,从而有利于交易关系的持续与稳定。企业非强制性权力的使用能够降低农户的违约倾向,并提升农户的续约意愿；而企业强制性权力的使用会降低农户的续约意愿,但却不会对农户的违约倾向产生显著影响。渠道中冲突水平的提高会增强农户的违约倾向,并降低农户的续约意愿。农户满意对农户的续约意愿具有显著的正向影响。本研究的创新主要有以下三点：第一,证实了农产品渠道关系中行为维度对渠道关系的重要影响。目前国内学者对农产品渠道关系的研究大多集中在交易关系的经济维度方面,虽然一些研究已经发现了交易关系中行为维度的重要作用,但这一问题并未引起学者们足够的关注。本文为农产品渠道关系中渠道行为的重要影响提供了实证证据,不仅丰富了国内关于契约型农产品交易关系稳定性的研究文献,也将有利于推动对农产品渠道关系中行为问题的研究。第二,检验了农产品渠道关系中行为变量之间的影响关系。本文在农产品渠道中检验了渠道权力,渠道权力应用方式、渠道冲突与满意等传统渠道行为变量之间的相互影响关系,从而拓展了渠道行为理论的适用范围。研究发现传统渠道行为理论在农产品渠道中有重新检验的必要,虽然多数行为变量之间的影响关系得到了与B-B渠道背景中一致性的结论,但本文也发现了一些与传统理论观点不同的结果。这些研究发现一方面对于拓展渠道行为理论的应用范围提供了支持,另一方面也对传统渠道行为理论在农产品渠道中的适用性提出了相应的挑战。第三,基于社会网络视角的渠道行为研究。针对传统渠道行为理论的研究限于二元分析范式而缺少网络视角的局限,本文引入了社会网络理论中的网络密度和网络中心性两个变量,检验了上述两个网络结构变量对渠道权力、渠道权力应用、冲突与满意的影响。虽然已有文献将网络密度和网络中心性引入了渠道问题的研究,但尚未发现有文献就网络密度、网络中心性对渠道权力、权力应用、渠道冲突与满意等行为变量进行实证研究,因此,本文的研究也进一步丰富了渠道行为理论的文献。更多还原

【Abstract】 Since the development strategy of agricultural industrialization was put forward by Weifang City, Shandong Province, agricultural industrialization has been widely considered to be an effective way to help farmers enter the market and received high attention of the government, agriculture-related businesses, farmers and academic circles. In recent years, agricultural industrialization has obtained the rapid development under the impetus of its internal incentives and the the government’s support policies, but also has met a series of problems, such as the repeatedly violation of the interests of farms, high level of the default reates, slow increase of the farmers’income, and so on. In all of these problems, the default issue in the contractual channel of agricultural products is the most serious problem. In agricultural industrialization practice, the case which the company or farm break a contract exists massively.The default issue in agricultural industrialization practice has caused widespread concern of scholars. The domestic scholars have conducted in-depth research, and obtained rich research results, especially the application of new institutional economics in this field. However, a significant lack of existing research is that scholars are mostly concerned only with the influence of the design of the contract terms, the organizational patterns of agricultural industrialization, the governance mechanisms and other economic factors on the stability of the contractual trading relationship, while the behavior and social cultural issues have not received sufficient attention. In fact, the contractual agricultural products trading relationship is also influenced by the channel behaviors, personal relationship network and other social factors. Some studies have shown that the channel behaviors have significant impact on the efficiency of the agricultural products channel, and one of the foundations of such effects is the excessive imbalance of the power structure in the agricultural products channel relationships. In addition, economic sociology pointed out that any economic activity is embedded in social relations. Social factors of the contractual agricultural products trading relationship have significant influences on the trading process, transaction mode and the performance of the entire channel. Especially in our rural society, farmers in the disadvantaged position need to seek approaches to improve the status of their transactions, while the "acquaintance society" nature of the relatively closed rural society makes the personal relationship network naturally to become an important tool for farmers to deal with transactions relationship with company. Therefore, in order to provide a wide range of research perspectives and a more extensive theoretical basis, it is necessary to introduce the channel behavior theory and social network theory to the research of the stability of the contractual agricultural products trading relationship.This paper researched the relationships among the farmers’personal relationship network structure (network density and network centrality), the channel behavior dimension (farmer’s power, company’s use of power, channel conflict, farmer’s satisfaction), and the channel relationship stability (farmer’s default tendency and renewal will) using social network theory and channel behavior theory. The major efforts of this study are as follows:First, through the review of social network theory, channel behavior theory and the research of the stability of the contractual agricultural products trading relationship, gaps in the theory of the existing researches were found, the research model and assumptions were raised.Second, this study will follow the standard scale development process to develop questionnaire. To measure the various constructs, validated items used by other researchers were adapted. The initial changes to the questionnaire were conducted based on the information from the farmers’interview and the suggestions of the experts. Then, the questionnaire was pilot-tested by convenient sampling, and the measurement was then refined. At last, large-scale survey was conducted, and confirmatory factor analysis was used to test the convergent validity, discriminant validity and reliability of the study constructs.Third, this study conducted a survey on the farmers who have contractual agricultural products trading relationship with company. The survey data were collected and analyzed. The hypotheses were tested by structural equation model.Fourth, the research results were discussed, and the research conclusion were summarized. Finally, the theory and practice contribution, limitations and future research directions of this study were pointed out.The major conclusions of this study are as follows:First, the analytical results of this study support the view that the farmers’ personal relationship network structure is an important antecedent of the behavior of farmers and company. The network density of the farmers’personal relationship network negatively influences the company’s use of coercive power and positively influences the company’s use of noncoercive power and farmer’s satisfaction. The network centrality of the farmers’personal relationship network positively influences the farmer’s power and the channel conflict, but it negatively influences the farmer’s satisfaction.Second, the farmers’personal relationship network structure indirectly influence the farmer’s default tendency and renewal will through channel behaviors. The analytical results confirm that higher the farmer’s network density increases the farmer’s renewal will, and decreases the farmer’s default tendency. The farmer’s network centrality has great indirect effect on the farmer’s default tendency, but slight effect on the farmer’s renewal will.Third, the influence relationships among the channel behaviors in the agricultural product channel are not the same as that in industrial product channel. The farmer’s power negatively influences the company’s use of coercive power, and positively influences the company’s use of noncoercive power. Although the farmer’s power does not have a direct effect on the channel conflict and farmer’s satisfaction, it indirectly affects the channel conflict and farmer’s satisfaction. The company’s use of coercive power has a positive effect on the channel conflict and a negative effect on the farmer’s satisfaction. The company’s use of noncoercive power increases the farmer’s satisfaction, but it does not has significant effect on the channel conflict. The Channel conflict also has no significant influence on the farmer’s satisfaction.Fourth, the analytical results confirm that the channel behaviors have significant influences on the farmer’s default tendency and renewal will. Farmer’s power positively affects the farmer’s default tendency and renewal will. The company’s use of coercive power enhances the farmer’s default tendency, but it dose not significant affect the farmer’s renewal will. The company’s use of noncoercive power reduces the farmer’s default tendency and enhances the renewal will. The channel conflict has a positive impact on the farmer’s default tendency and a negative impact on the farmer’s renewal will. The farmer’s satisfaction positively influences the farmer’s default tendency.The innovation of this research lies in three aspects:First, this study confirms that the channel behaviors do have significant influences on the channel relationship stability in Chinese contractual channel of agricultural products. Although some schlors have suggested the importance of the channel behaviors in the research of channel relationship stability, but the suggestions have not attracted sufficient attention. This study provides the empirical evidence for the importance of the channel behaviors. It not only enriches the stability research of the contractual agricultural products trading relationship, but also promotes the channel behavior research of the agricultural products channel.Second, this research tested the relationships between the channel behavior contructs in Chinese agricultural products channel, which expands the application scope of the channel behavior theory. The study found that the traditional channel behavior theory needs to be re-tested in Chinese agricultural products channel.Third, this research introduces the network density and network centrality into the channel behavior research, and tested the influences of the network structure on the channel behaviors. Although network density and network centrality have been introduced into the channel research, but there does not exist literature that tested the influences of the network density and network centrality on the channel power, use of power, channel conflict, and satisfaction. Therefor, this study further enriches the literature of the channel behavior theory.更多还原