【作者】 刘婧；

【导师】 王征兵；

【作者基本信息】 西北农林科技大学 ， 农业经济管理， 2012， 博士

【摘要】 我国农民专业合作社的发展经历了萌芽阶段、起步阶段和深化发展的阶段至今，逐步形成了以家庭承包经营为主、统分结合的双层经营体制为基础的新型农民专业合作社，农民组织化、生产专业化、分布区域化、服务社会化是新型农民专业合作社的重要特征。随着市场经济的发展和农村经济改革的不断深化，农业现代化已经成为适应市场需求的发展大趋势，而农业现代化的实现也必然要从培育和发展高效的农业微观组织——农民专业合作社入手。近年来，各种类型的农民专业合作社发展速度明显加快，数量急剧上升，农民专业合作社对农户的覆盖面和服务种类也迅速扩大，并且在发展中积累了宝贵的经验，探索了一些发展的好路子。但在农民专业合作社迅速兴起和繁荣的过程中，伴随着合作社小而散、散而乱的状况，使农民专业合作社总体上存在着规模不经济的问题。农民专业合作社的规模经济和范围经济既是一个理论研究问题，也是一个实践研究问题。规模经济刻画了农民专业合作社的规模与成本效益的关系，范围经济刻画了农民专业合作社提供多种服务的成本收益状况。首先，本文在经济理论的基础上探讨了农民专业合作社规模经济和范围经济的存在，对农民专业合作社的规模经济和范围经济进行定性分析。其次，通过获取调研样本合作社数据，对农民专业合作社的规模经济和范围经济进行定量分析，提出农民专业合作社的扩张具有适度边界，并对这一有效边界进行了测定和方法上的尝试。农民专业合作社的规模经济和范围经济研究不仅可以为目前出现的农民专业合作社扩张浪潮提供理论说明，也能为农民专业合作社扩张的合理边界提供一种研究方法上的依据和通达途径。最后，结合目前我国农民专业合作社的现实环境，提出实现我国农民专业合作社的规模经济和范围经济的策略。本文主要由七章内容构成：论文第一章阐述了农民专业合作社的研究背景、研究目的和研究意义，综述和总结了农民专业合作社规模经济和范围经济的国内外研究动态，梳理了本文的研究思路，确定了本文的研究方法，提出本文的可能创新之处。论文第二章论述了规模经济和范围经济的理论基础，详细总结了经济理论中的规模经济、范围经济和规模报酬之间的联系与区别，并讨论了经济学中规模经济和范围经济的一般常用计量函数。论文第三章是农民专业合作社规模经济和范围经济的定性分析。基于新古典经济学理论、社会组织理论、产业组织理论、市场力量均衡理论、交易费用理论、制度创新理论和竞争理论阐述了农民专业合作社产生的理论基础，叙述了农民专业合作社产生的原因和农民专业合作社的涵义。从投入—产出理论、农民专业合作社功能、交易成本理论的角度论述了规模经济在农民专业合作社中存在的可能性；又从资产专用性角度、农户交易模式说明了范围经济在农民专业合作社中存在的可能性，为下一章的研究内容提供了理论依据。论文第四章是农民专业合作社规模经济和范围经济的定量分析方法研究。通过对国外已有的农民专业合作社的实证研究方法进行归纳和比较，探寻和选取适宜该课题研究的方法。本章对投入—产出的分类方法定义为：生产法、中介法和细分法。此外，还详细列出了农民专业合作社的总体规模经济和特定产出规模经济、总体范围经济和特定产出范围经济的计算公式。论文第五章主要以理论研究为基础，对农民专业合作社的规模经济和范围经济进行实证研究。本章首先论述了山西省农民专业合作社的发展历程，从农民专业合作社的运行机制等角度描述了样本农民专业合作社的发展现状，并对山西省农民专业合作社的发展现状进行了SWOT分析，明确了山西省农民专业合作社总体发展所面临的问题和外部环境。接下来，论文选取山西省15个县市的70家果蔬农民专业合作社中的44家调研数据较全的合作社为样本，运用超越对数成本函数和广义超越对数成本函数作为基本计量模型，研究样本农民专业合作社的规模经济和范围经济。结论显示：样本农民专业合作社总体上存在轻微规模经济，资产规模小于200万元的样本合作社不存在规模经济，资产规模大于200万元的样本农民专业合作社存在显著规模经济；样本农民专业合作社均具有总体范围经济和特定产品范围经济，特定产品规模经济和产品互补性各不相同。论文第六章认为实现规模经济，农民专业合作社的扩张是必然的。进一步探讨了农民专业合作社扩张的规模经济和范围经济，提出农民专业合作社的边界不可能无限扩张，盲目的扩张必然会导致规模不经济和资源的浪费等现象。那么，在扩张的过程中就必然会产生一个最适边界，这个最适边界就是农民专业合作社实现规模经济时的有效边界。最后，本章对这一最适边界进行了方法上的尝试和实证预测。结论显示：资产规模小于200万元的样本农民专业合作社最佳社员规模为68～100人；资产规模大于200万元的样本农民专业合作社最佳社员规模为150～176人。论文最后一章从对山西省农民专业合作社的实证研究上升到探讨全国农民专业合作社发展的高度上，通过将模型的描述性数据作为影响规模经济的因子，检验影响因子对规模经济的影响程度，指导策略制定。认为扩张是实现规模经济和范围经济的重要手段，并结合样本农民专业合作社现状，从构建创新体系、人才供给和扶持政策共四个方面提出实现规模经济和范围经济的策略。更多还原

【Abstract】 Famers’ specialized co-operatives has gradually formed a new type famers’ specializedco-operatives based on giving priority to the household contract management andoutpus-related dual operation system, which experience the embryonic stage, underway stageand deepening development stage and so far, the farmers’ organizational, specializedproduction, distribution of regional and service socialization are an important characteristicsof the new type farmers’ specialized co-operatives. The agricultural modernization hasbecome the big development trend satisfied the market needs with the development of marketeconomy as deepening reform of the rural economy, meanwhile, realizing agriculturalmodernization also would start begin from cultivating and developing the efficientagricultural microstructure—farmers’ specialized co-operatives. In recent years, various typesof farmers’ specialized co-operatives developed fast, rising sharply, coverage and service offarmers’ specialized co-operatives are also expanded rapidly, and accumulating some valuableexperience and exploring some of the good development path. But there still existsdiseconomies of scale in the prosperity process of co-operatives with the apperance of smallscattered, loose and disorderly.Not only farmers’ specialized co-operatives economies of scale and scope is a theoryproblem, but also an empirical questions. Economies of scale depicts the relationship betweenscale and cost-benefit of farmers’ specialized co-operatives, while else economies of scopedepicts the cost-benefit status of the various services offered by co-operatives.Therefore,exploring existence of the economies of scale and scope of farmers’ specialized co-operativesand testing the economies of scale and scope of farmers’ specialized co-operatives. This paperalso gives a qualitative and quantitative analysis to the exsitence of economies of scale andscope in co-operatives. Study on the economies of scale and scope would provide explaintheory for the expand wave presented at present, also offer a method and for expandingboundary of the farmers’ specialized co-operatives.Finally, according to the theory and theempirical results, giving some suggestion and strategy for realizing economies of scale andscope of farmers’ specialized co-operatives. There are seven chapters in this dissertation:Chapter1expounds the research background, purpose and significance of this study,reviewing and summarizing the research dynamic of economies of scale and scope ofco-operatives domestic and overseas, carding the train of thought, confirming the method ofthis dissertation and putting forward the possibility of innovation.Chapter2discusses the theory basis of economies of scale and scope and details therelationship among economies of scale, economies of scope and return of scale in theeconomic theory, also summarizing the measurement function of economies of scale andscope usually used in the economics.Chaper3uses methods of qualitative analysis the economies of scale and scope ofcooperatives. Expounds the theoretical foundation of the generation of co-operatives andanalizes the reason of generation and implication of co-operatives in view of the new classicaleconomics theory, social organization theory, industrial organization theory, market forcesequilibrium theory, transaction cost theory, system innovation theory and competition theory,discussing the existence of economies of scale from the perspective of input-output theory, thefunction of co-operatives and the transaction cost theory, also analyzing the economies ofscope undering the angle of asset specificity and famer trading pattern, which establish thetheory basis for the research of next chapter.Chapter4uses quantitative analysis method talk about scale and scope economies forcooperatives. Concludes and compares the empirical studies of economies of scale and scopeabroad for choosing the most appropriate research method in this dissertation. The studymethods abroad defined the inputs and outputs firstly, and then using the diverse cost functionto study economies of scale and scope of co-operatives. Sorting technique for inputs andoutputs mainly includes as follows: production method, intermediary method and subdivisionmethod, taking Cobb-Douglas cost function, transcend logarithm cost function andgeneralized transcend logarithm cost function as the principal cost function. In addition, thischapter detailed the calculation formulas of overall economies of scale and scope and specificoutputs economies of scale and scope.Chapter5empirically analyzes the economies of scale and scope mainly basis on thetheory study. Firstly, talking about the development history of famers’ specializedco-operatives in Shanxi province and representing the current situation from the angle ofoperating mechanism etc. and expliciting the issues and external environment in thedevelopment of co-operatives in Shanxi province through doing SWOT analysis. Then,choosing44friut and vegetable co-operatives which have clear paper data from77friut and vegetable co-operatives as samples for the empirical research of economies of scale and scopeby the way of transcend logarithm cost function and generalized transcend logarithm costfunction.2million as a boundary, I divide44samples into two groups. Results shows that twogroups of co-ops have general economies of scale and scope, but product-specific economiesof scale (scope) is different. Conclusion is that the group (assets<200million yuan) shouldexpand its business scale, the second group (assets>200million yuan) has competitiverelatively and joint production among outputs which could save total cost of co-ops. The threesamples all have economies of scope, but the specialized scale and scope economy aredifferent.Chapter6considers expansion is inevitable as realizing economies of scale ofco-operatives, and there will emerge economies of scope in this process. The next, talkingabout the economies of scale and scope in expansion and proposing the expanding boundaryis not infinite, blind expansion would result to diseconomies of scale and waste of resourcesetc. phenomenon. Therefore, there should be an effective boundary in expansion.Finally, this chapter tries to empirically predict the effective boundary in the end.Conclusion is that the appropriate number of members of the first group is between68and100people, the appropriate number of members of the second group is between150and176people.Chapter7rises from the study of Shanxi province to the height of the development ofco-operatives in the national. Through seeing the description of the model data as the impactfactors of inspection the economies of scale influence degree for achieving scale economystrategy, the results is that expansion can achieve economies of scale and scope. Put forwardthe suggestion and strategy for realizing economies of scale and scope from the other threeaspects of constructing innovation system, supply of talent and supporting policies in allusionto the current situation of co-operatives in China.更多还原