【作者】 王薇薇；

【导师】 王雅鹏；

【作者基本信息】 华中农业大学 ， 农业经济管理， 2011， 博士

【摘要】 2010年,我国粮食产量达到54645万t,比上年增产2.9%,实现连续7年增产,国内粮食供需矛盾得到有效缓解。但不可否认的是,目前我国粮食安全形势不容乐观：粮食流通体系不健全；粮食供求区域性、结构性矛盾突出；粮食主产区售粮难、价格低迷等“增产不增收”现象时有发生；粮食主产区与粮食主销区利益分配失衡,区域经济差距不断扩大；产区原粮与销区成品粮差价过大,生产者与消费者剩余受损等。以上诸多因素已经引起了一系列问题,如粮农生产积极性不高、粮食储备成本上升、粮食主销区抗风险能力减弱等,中和了连年粮食增产带来的国家粮食安全系数的提高。粮食流通是社会商品流通的重要组成部分,更是连接粮食生产与消费的重要环节。从目前粮食市场利益分配来看,中间商已经成为整个粮食产业链中最大的利益群,而生产者和消费者的利益则有减无增。因此,为增加粮农收入、稳定粮食生产、平抑市场粮价、保障消费者利益,急需对粮食流通市场进行有效管控、协调粮食流通市场各主体利益分配。本研究在保护国家粮食安全背景下,运用微观经济学、博弈论与信息经济学、计量经济学等相关理论方法,从流通效率视角研究粮食供应链微观主体的经济行为。首先,构建双层市场模型分析粮食流通市场各主体利益协调方式,探寻影响粮食流通市场效率提升的深层次原因。其次,运用调研数据从实证角度测算粮食流通企业交易效率、技术效率、规模效率、全要素生产率,分析当前粮食流通市场交易效率、经营效率高低。最后,在综合理论论证与实证研究结论的基础上,设计符合我国粮食生产、流通实际的协调粮食流通市场各主体利益的政策体系。全文的主要研究内容和结论如下：第一：我国粮食流通市场现状研究。在粮食生产能力渐趋稳定、粮食流通体制市场化改革不断深化的双重推力下,我国粮食供需安全的重心逐渐由总量安全转为依靠流通的区域供需安全。依据微观经济学理论,实现粮食流通安全的根本在于协调市场主体利益关系。现阶段,我国粮食流通市场主体利益协调尚存在诸多问题：一是市场主体发育不成熟,这种不成熟不仅体现在数量方面,还体现在利益主体的经济实力上；二是粮食购销市场与粮食生产协调不力,表现为粮食主产区与主销区利益分配失衡；三是政府政策目标与国有粮食企业市场化运行存在冲突,需要构建有中国特色的粮食流通体制调控措施。第二：粮食收购市场各主体利益协调的经济学分析。运用双层市场模型分别探讨粮食收购市场中粮农、私营粮商、国有粮食收购企业等各利益主体的关系,并剖析粮食最低收购价政策的综合效应。研究结果表明：企业收购的粮食数量与其交易效率成正比,即企业交易效率越高(MG、M(?)越小),其可获得的粮源越多；降低市场交易费用、提高交易效率是协调粮食收购市场各主体利益、稳定市场秩序的突破口；理论上,执行粮食最低收购价政策能取得较好的经济效益和社会效益。第三：粮食销售市场各主体利益协调的经济学分析。该部分首先以粮食销售市场中粮食所有权的流转为线索探讨市场中各利益主体间的关系,然后运用交易费用理论分别分析市场粮源充足和市场粮源不充足两种情况下阻碍粮食跨区域流通的主要因素。研究显示：①在具有买方市场性质的粮食销售市场中,向粮食主销区提供粮食的大型粮食购销企业为了支付较少的交易费用往往倾向于降低粮食交易量；②在具有卖方市场性质的粮食销售市场中,随着粮食交易量的增加,充当粮食需求方的私营粮商支付的边际交易费用不断增加,其最终将拒绝购买更多的粮食,阻碍市场交易的完成。由此可见,促进两种情况下粮食交易顺利完成的切入点都在于降低粮食购销企业的交易费用。因此,降低购销企业的交易费用、提升企业交易效率是促进粮食在产销区之间顺畅流通的关键。第四：粮食流通企业交易效率测算及分析。该部分采用萨缪尔森的“冰山交易费用”模型推导出仅考虑商品价格因素的交易效率计算模型,用以测算湖北省21家粮食流通企业2006年到2008年三年间的交易效率。通过比较企业间交易效率值、企业年际交易效率波动、享受政策优惠企业的交易效率变动,得出如下结论：粮食流通行业整体交易效率处于较高水平且在不断提升,但是尚处于不稳定的曲折性提升中；企业之间的交易效率差距有不断缩小的趋势,但是单个企业交易效率的提升缺少稳定性,与行业整体交易效率水平的提升不协调；政府对个别粮食购销企业的优惠政策并未对其交易效率的提升产生明显的积极作用。第五：粮食流通企业经营效率测算及分析。运用DEA方法测算湖北省21家粮食流通企业从2006-2009年度的技术效率、规模效率、全要素生产率值。测算结果表明：多数粮食流通企业资源要素配置不合理,且企业对要素配置的优化过程比较随意；政府针对部分企业的政策优惠措施对行业效率影响力较小；政策倾斜和优惠有助于受惠企业效率的全面提升,但是这种正面影响缺乏持续性；随着时间的推移,粮食流通行业内企业之间的差距逐年拉大,包括经济实力和技术实力；粮食流通行业内基于技术效率增加的生产是可持续的,但是规模效率却呈逐年下降的态势；企业经营的可持续性是增强的,但是这种趋势并不稳定。第六：粮食流通市场政策体系设计。综合前文研究,文章从市场主体利益协调保护角度设计了中国粮食流通市场政策体系,并对粮食流通市场硬环境建设提出建议。更多还原

【Abstract】 The grain output of China has reached 546.45 million tons in 2010, which increased 2.9% over 2009, and has registering the seventh consecutive annual increase. However, the condition of food security is still far from being satisfactory: imperfect grain circulation; the sharp regional and structural contradictions between food supply and demand; condition of output improvement without income increase happening frequently in major grain producing areas; uneven distribution of benefits and disparate development of regional economy between major grain producing areas and major grain sales areas; growing sales price disparities between raw grain and processed grain, which damaged the interests of peasants and consumers. These negative factors have caused a series of questions concerned, such as peasants lack productive enthusiasm、increasing of grain reserving cost、decreasing risk resistance capability of major grain sales areas and so on, which offset the improvement of food security level that has depended on grain yield expand for several years. Grain circulation is an important component of social commodity circulation, and a significant link to grain production and grain consumption. Looking from interests distribution of grain market at present, distributors hold most of profits in the grain industry chain, while interests of peasants and consumers are compressed. Therefore, it’s necessary to control the grain circulation market and coordinate interests distribution of participants in the market in order to stabilize grain production, control grain prices, safeguard the consumers’interests and increase income of peasants.In the context of food security protection, based on related theories of micro-economics, game theory and information economics and econometrics, this paper studies interests participants’economic behavior of grain supply chain in the circulation efficiency perspective. First of all, it is by using two-tier market model that this paper analyses interests coordinate mode among interests participants in the grain circulation market, explores underlying negative reasons of grain circulation efficiency improvement. And then it calculates transaction efficiency, technically efficiency, scale efficiency and total factor productivity of the grain circulation enterprises applying research data in Hubei province in order to discuss transaction efficiency level and operational efficiency level of grain circulation industry in China at present. In the end, the research designs appropriate policy system to coordinate interests relationships in the market based on the conclusions of the study, considering the practical situation of grain production and circulation in China. The main contents and conclusions are as follows:Firstly, it is about the research of the status quo of grain circulation market in China. Under the double thrust of the stabilization of grain productivity and the deepening of grain circulation system marketlization reform, the focus of food security protection has been transferred from quantity safety to regional supply-demand security relying on circulation market. According to micro-economic theory, the key point of grain circulation security is to coordinate interests distribution of market participants. At present, there are many difficulties in interests coordination of market participants:At first, the market interests participants grow immaturely not only on the aspect of quantity but also on the economic strength of enterprises. Moreover, coordinate smoothly with grain production, which appear in unbalanced distribution of profits between major grain producing areas and major grain sales areas. Furthermore, government’s policy targets conflict with the market operation of state-owned grain enterprises, which requires to establish adjustment measures of grain circulation system with Chinese characteristics.Secondly, it is to make economic analysis of interests coordination of participants in the grain purchasing market. Using two-tier market model, this chapter explores the relationships among peasants, private grain purchasing businessman, and the state-owned grain purchasing enterprises in the grain purchasing market. Also, it anatomizes the integrated effects of the minimum purchase price policy for grain. The results show that: enterprise’s availability of grain is proportional to its transaction efficiency, which means the higher the transaction efficiency, the more grain the enterprise reachable. As well, the reduction of transaction expenses and the improvement of transaction efficiency are keys to coordinate benefits of the interest groups in the grain purchasing market and to stabilize the market order. At last, the actualization of the minimum purchase price policy for grain can achieve preferable economic benefits and social benefits in theory.Thirdly, it is to make economic analysis of interests coordination of participants in the grain sales market. This chapter explores the relationships among interest groups in the grain sales market in the clues of the transfer of the grain-ownership in the market, and then anatomizes main factors that hinder cross-regional grain circulation when the grain supply in the market is sufficient and un-sufficient with transaction cost theory using transaction cost theory. The results show that:①in grain sales market with buyers market characteristics, large-scale enterprises that provide food to major grain sales areas will incline to decrease trading quantity in order to pay less transaction cost;②in grain sales market with sellers market characteristics, private grain enterprises will refuse to buy more grain with high marginal transaction cost, which will hamper the trading. In conclusion, reducing the transaction cost of enterprises is a breakthrough point to promote grain cross-region trading under above conditions. Therefore, reducing transaction cost and improving transaction efficiency of grain circulation enterprises are keys to promote cross-regional grain circulation.Fourthly, it is to calculate and analyze transaction efficiency of grain circulation enterprises. This chapter uses the transaction efficiency model that just only including price factor, which is inferred from iceberg-transaction model of Paul A.Samuelson, to calculate transaction efficiency of 21 enterprises in Hubei province from 2006 to 2008. By comparing transaction efficiency among enterprises, annual variability of transaction efficiency, transaction efficiency variation of enterprises which enjoy incentive policies, this chapter obtains conclusions as follow: the transaction efficiency of the grain circulation industry has been in high level but raised unstably; transaction efficiency disparity has lessening, however, the raising of transaction efficiency of single enterprise was unstable which was inconsistent with the development of the industry; the positive effects of the incentive policies to enterprises’transaction efficiency were inconspicuous.Fifthly, it is to calculate and analyze operation efficiency of grain circulation enterprises. Using data envelopment analysis, this chapter calculates technically efficiency, scale efficiency and total factor productivity of the 21 grain circulation enterprises in Hubei province from 2006 to 2009. Calculation results show that:resource allocation of most of the enterprises were unreasonable, and the optimization process of resource allocation was haphazard; incentive policies had few influences on variation of industry efficiency; the positive effect of the incentive policies to enterprises’efficiency improvement was obvious, however, this positive effect was unstable; the gaps between enterprises have deepening over time, which included economic strength and technology strength; production capacity of the industry based on technically efficiency improvement was sustainable, whereas scale efficiency of the industry has being fallen; although the sustainability of business operation was risen, the trend was unstable.Finally, it designs policy system of the grain circulation market. This chapter designs policy system of grain circulation market from the view of market participants’ interests coordination and protection. Also, several suggestions are given to construct environmental hardware facilities of the grain circulation market.更多还原