【作者】 王太祥；

【导师】 周应恒；

【作者基本信息】 南京农业大学 ， 农业经济管理， 2011， 博士

【摘要】 以家庭联产承包责任制为核心农村改革解决了集体生产的监督困境问题,使农户成为农业生产经营的主体。这一制度改革极大地提高了农户生产经营的积极性,也提高了土地和劳动生产率,增加了农产品的市场供给。与此同时,传统的以供销社为主体的单一农产品流通格局逐渐为多元化、多层次、多渠道的现代流通网络所替代。分散的农户生产经营越来越难以适应市场供求关系的变化,造成我国农产品出现卖难现象,也表明我国农业生产已遭遇到市场约束。这使得我国当前农业和农村发展面临着新的难题,即如何实现农户的分散经营与大市场的有效对接、确保分散经营的农户农产品的质量安全。在家庭联产承包责任制不变的前提下,国内外学者从不同视角对此问题做出了大量的研究,普遍认为实施农业产业链管理有利于解决农户超小规模经营与大市场之间的矛盾、保障农产品的安全供给和增加农户的收入。其中,实施产业链管理的核心之一是对农业产业组织进行创新。现有研究主要集中于产业组织形式对农户质量控制行为的影响且多为定性分析,这些研究成果为提高我国农产品质量提出了很好的建议。然而,此类研究并未系统地阐述产业组织形式对农户市场行为的作用机理,也未从农户角度比较不同产业组织形式农户市场行为的差异及影响因素。本文通过理论分析,梳理了紧密的产业组织形式对农户市场行为的作用机理,为实证分析提供理论依据。接着以河北和新疆两省区4个县(市)、12个乡镇、24个行政村403户梨果种植户进行实地调研的数据为依据,运用实证分析方法对产业组织形式和农户优质安全梨果生产行为、销售行为和生产技术效率及收益的相互关系及影响因素进行统计分析和实证检验,全文最后提出相关政策建议。本研究分为七章,主要研究内容及结论如下：研究内容一：我国梨产业组织形式及其对农户市场行为的作用机理分析首先对世界梨生产与贸易状况及我国梨果生产、加工和消费现状进行了分析,研究认为我国是世界梨果生产大国,但却是梨果贸易小国,国内梨果以鲜食消费为主且属于买方市场,随着居民收入水平的增长和水果替代性竞争更加激烈,梨果的品质与包装档次对居民的购买决策影响越来越大。通过对河北和新疆两省区梨果种植户参与产业组织情况进行描述,进一步明确我国梨产业的产业组织现状。样本统计数据表明,目前梨种植户主要采用以市场交易为纽带的产业组织形式(64.52%),采用合作社和生产合同的比例较低,分别占27.79%和7.69%。调查数据的统计分析进一步表明,获取技术指导、较低价格的农资以及寻求产品销路是农户加入紧密的产业组织的主要原因,而农户周边企业或合作社的欠缺、对生产合同及合作社不了解是农户不加入紧密的产业组织的主要影响因素。继而本章从利益约束机制、信息传导机制、组织领导机制和企业规模四个方面分析了紧密的产业组织形式对农户市场行为的影响机理,为后续比较不同产业组织形式下农户市场行为提供理论支撑。研究内容二：产业组织形式与梨农优质安全梨果生产行为的比较分析利用调查资料,基于计划行为理论,采用多元线性回归方程模型较为系统地分析并比较了不同产业组织形式下梨农优质安全梨果生产行为的差异及其原因。研究表明,不同产业组织形式下农户的优质安全果品生产行为存在明显差异,而且影响因素不尽相同。具体来说,在松散的产业组织形式下,农户的优质安全果品生产行为主要受农户的态度、目标、种植经验和梨收入占家庭收入的比例等因素共同影响；而在紧密的产业组织形式下,农户的优质安全果品生产行为不仅受农户的态度、目标、主观规范、知觉控制行为等心理因素的影响,也受到经济环境、户主的种植经验、梨收入占家庭收入的比重和种植面积等因素的影响。研究内容三：产业组织形式和梨农果品销售行为实证分析首先对河北和新疆两省区农户果品销售渠道进行了分析并比较了不同产业组织形式下农户的果品销售渠道,发现农户果品的销售渠道仍以农村经纪人为主,企业和合作社是农户的第二大销售渠道(占30.27%)；紧密的产业组织形式农户以企业或合作社为销售渠道的比例(75.52%)高于松散的产业组织形式农户(5.38%)。从交易费用理论和产业组织理论角度解释了农户果品代销经营方式发生的原因,并比较了不同产业组织形式农户经营方式的差异。利用河北省237户农户数据,研究了农户影响选择代销经营方式及参与强度的因素,分析结果表明,户主的风险偏好程度、家庭人口数、梨收入占家庭收入的比重、对代销的了解程度和信息获取的难易程度是影响农户选择代销的主要因素。就代销方式采用强度而言,除受上述因素影响外,梨果种植面积越大,对近年来后期市场价格评价越高的农户参与代销经营方式的强度越高。研究内容四：产业组织形式对农户生产绩效的影响分析据实地调研资料,运用超对数生产函数估算了梨农生产技术效率。经测算,农户的平均生产技术效率为59.08%,说明在其他条件不变的前提下,我国梨种植户消除技术效率损失后的增产空间较大；紧密的产业组织形式下农户平均生产技术效率为68.35%,松散的产业组织形式下农户平均生产技术效率为54.18%,且前者显著高于后者；通过因素分析发现,农户的生产技术效率主要户主受教育程度、种植面积、梨收入占家庭收入的比重、产业组织形式和是否参加培训五个因素共同影响。进一步利用调研数据,对农户每亩梨园的净收益的影响因素进行分析,研究发现,每亩梨园的净收益主要受户主受教育程度、梨收入占家庭收入的比重、种植面积、树龄、产业组织形式、是否参加培训和地区差异的影响。更多还原

【Abstract】 As the core of the rural reform, the household contract responsibility system had resolved the problem of oversight in collective production, and made farmers become the chief part in agricultural production and management. This system reform not only greatly increased the enthusiasm of farmers’production and management, but also improved the land and labor productivity and increased market supply of agricultural products. At the same time, the traditional circulation pattern of agricultural product had changed a lot. It was replaced by modern distribution networks which are diversified, multi-level, multi-channel. It had become more and more difficult for scattered farmers to adapt to the changes in market, which resulted in the difficulty in selling agricultural products, it also showed that Chinese agricultural production had met with market discipline. This makes China face new challenges in current agricultural and rural development, namely how to achieve an effective way to connect scattered farmers with large market, and ensure the quality and safety of agricultural products.With the unchanged premise of the household contract responsibility system, both domestic and foreign scholars had made a lot of researches on this issue in different perspectives, however, they generally considered that the implementation of agricultural industrial chain management is conducive to resolve the conflicts between subminiature-scale farmers and large super markets, as well as to ensure the safety of agricultural products and increase farmers’income. Among of them, the innovation of Agricultural Organizations is the core part of the implementation of industrial chain management. But the existing research has mainly focused on industrial organization which affects farmers’behaviors and the quality control, on the other hand, most of them are qualitative researches, which provided feasible suggestions to improve the quality of agricultural products in China. However, these studies did not systematically elaborate the mechanism how industrial organization affected the behavior of farmers, nor analyze the difference and influencing factors in the view of farmers.Through theoretical analysis, this paper reviews logical relationship between industrial organization and farmers’ market behavior, which provided the theoretical basis for the empirical analysis.In order to analyze farmers’behavior, this paper use the 403 survey data from pear growers in 4 counties (cities),12 townships,24 administrative villages in Hebei and Xinjiang provinces. Then the paper empirically analyzed the correlations between industrial organization and farmers’behavior to produce high-quality pear, and the sales activities, the production of technical efficiency and per revenue of the pear production, then, after the statistic analysis and the empirical study, the research will concludes relevant policy recommendations. The study is divided into eight chapters, the main contents and conclusions are as follows:Part 1:The forms of pear industrial organization in China and the mechanism analysis of this organization to affect farmers’market behaviorFirstly, the paper analyzes the production and trade of the world pear industry, and describes the pear production, processing and consumption in China. The study suggests that China is the largest pear producer in the world, however, compared with the production, the trade of pear is still small in China. Domestic consumption is concentrated on fresh pear and the market is still controlled by buyers. With the ever-increasing income levels of residents and the intensity in other alternative and competitive fruits, both pear quality and packaging grades play more and more important roles in consumers’purchasing decision. Through description of the pear growers in different industrial organization in Hebei and Xinjiang, the paper further clarify the whole situation of pear industrial organization in China. Sample statistics showed that the pear growers currently mainly used market transactions (64.52%), while the percentage of farmers who attended cooperative organization and production contracts is relatively low, accounting for 27.79% and 7.69% respectively. The further statistical analysis on the survey data shows that the access for farmers to join the closely industrial organization are the technical guidance, lower prices for agricultural production materials and a well sales channel, while the lack of enterprises or cooperative organizations around the farmers, and the deficiency of knowledge in production contract and cooperatives are the major factors to prevent farmers from joining the closely organization. After that, this chapter analyzes mechanism of industrial organization on the behavior of farmers from four aspects--the interests of the constraint mechanism, signal transduction mechanism, organization and leadership mechanism and market structure, and these will provide a theoretical support for the follow-up analysis.Part 2:the Comparative analysis of different forms of Industrial organizations and farmers’behavior to ensure the quality and safety of pear industry.Using survey data and the theory of planned behavior model, the paper adopts multiple linear regression equation to analyze and compare the reasons of differences in farmers’ behavior in different industrial organization.The results show that in different Industrial organization forms, the farmers’behavior significantly differs, as well as the factors Specifically, in a loose form of industrial organization, farmers’behavior to gain high quality and safety in pear production is mainly affected by the following factors, fruit farmers’attitudes, goals, experience and pear growing revenue in the proportion of household income. But under the closely form of industrial organization, farmers’behavior is affect by farmers’attitudes, goals, subjective norms, perceived behavioral control and other psychological factors, and also by the economic environment, the decision maker’s cultivation experience, the share of pears income in total household income, the cultivated areas and so on.Part 3:the Empirical Analysis of Forms of Industrial organization and pear farmers’ selling behavior.Firstly, the article analyzes the fruit sales channels shared by farmers in Hebei and Xinjiang provinces, and compares the difference between these channels in different industrial organization forms.The result shows that broker is still the main channel, enterprises and cooperative society are the second largest trading partners (accounting for 30.27%).The proportion taken by enterprises or cooperatives in close form of industrial organization (75.52%) is higher than farmers in loose one (5.38% higher). Using the transaction cost theory and the theory of industrial organization, the paper explains the reasons why farmers adopt fruit consignment, and compares the differences of farmers’ selling behaviors under the two industrial organization forms.Using the 237 household data in Hebei Province, this paper studies the factors which influence the farmers’choice and the strength involved.The results show that the risk preference of the head in household, family size, pear income shares in total household income, levels of the knowledge of the consignment and the difficulty to obtain information are the main factors affect farmers to choose consignment.In addition, the greater the pear growing area, the possibilities for farmers to choose consignment will much higher, along with the higher evaluation of the latter market price.Part 4:Comparative Analysis of production performance of farmers in different industry organizations.According to field survey data, the paper uses the ultrasound C-D production function to estimate the production efficiency of pear farmers.After calculation, the average household production technology efficiency is 59.08% which indicates that under the premise of other conditions remaining unchanged, the yield can be increased a lot after eliminating the loss of technical efficiency.Under the close industrial organization, the farmers’average production technical efficiency is 68.35%, while the percentage in loose organization is 54.18%, undoubtedly, the former is significantly higher than the latter.Factor analysis shows that the efficiency of household production technology is impacted by the education levels of main decision makers, the planting area, pear income shares in total household income, industrial organization, and whether to participate in the training. After further analysis of the factors which affect the net income per acre of farmers, the result shows the net income is mainly affected by the education level of the head in the household, proportion of income by pear in total household income, acreage, ages of trees, forms of industrial organizations, whether to participate in training and the regional differences.更多还原