【作者】 倪细云；

【导师】 王礼力；

【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】 随着中国经济高速发展和加入WTO农产品市场竞争的加剧，农民专业合作社成为现阶段解决“小农户”与“大市场”之间矛盾的最有效的载体。自2007年《农民专业合作社法》颁布以来，各类农民专业合作社如雨后春笋在我国各地蓬勃发展，在推进农业产业化、规模化和现代化方面起到了重要的作用。与此同时，国家在注重农民专业合作社数量增长的同时更注重质量的提升，深入推进和支持示范社建设。虽然国家对于农民专业合作社的支持力度逐步增大，但是我国农民专业合作社发展还不成熟，尚处于起步阶段，到目前为止，还没有一套能够有效区分发展不够完善、管理尚不规范的农民专业合作社的发展能力衡量标准。为了促进农民专业合作社的有序健康发展，培育合作社的发展能力尤为关键。基于此，本文运用山西省100家农民专业合作社的一手调研数据，借助层次分析法、主成分分析法、因子分析法、德尔菲法和模糊综合评价法等定量分析工具，从理事长能力、融资能力、技术创新能力和营销能力等四方面对农民专业合作社发展能力进行深入的微观研究和分析，构建了一套综合评价农民专业合作社发展能力的测度模型，既为政府等主管部门提供了“测评”依据，又方便合作社“自评”，同时有利于其他利益相关者更好的了解合作社。在本文农民专业合作社发展能力的研究上，首先、梳理国内外文献和合作社与能力理论，从组成、地区分布、行业分布、组建方式、服务内容和示范社建设等方面介绍了自《农民专业合作社法》颁布以来农民专业合作社发展的发展现状，并结合种植业、养殖业和农机类三种不同类型合作社的典型案例分析和实证分析合作社发展能力构成要素。结果表明，当前合作社发展的主要短板有人才、资金、技术和市场，合作社发展能力主要由理事长能力、融资能力、技术创新能力和营销能力构成；其次、基于运城市100家合作社的调查数据，确定了测度合作社理事长能力的九个维度：政府关系能力、社会关系能力、管理能力、战略能力、创新能力、资源整合能力、学习能力、操作能力和机会能力，并对理事长能力的差异性之根源进行了探讨。实证分析结果表明：在理事长能力的结构中，政府关系能力贡献最多，其次是创新能力，再次是资源整合能力，其他依次为社会关系能力、管理能力、战略能力、学习能力、操作能力和机会能力。理事长能力主要受合作社组建方式、合作社产品类型、理事长受教育程度和担任理事长的时间影响；再次、从保障能力、发展潜力、财务管理、环境因素和社会影响等五方面选取最能够代表农民专业合作社融资能力的29个指标，构建了农民专业合作社融资能力测度模型。实证结果表明：合作社整体融资能力不强；财务管理和环境因素较弱；发展潜力大；各合作社之间的影响能力的差距大；保障能力整体较强；第四、利用创新理论，结合农民专业合作社的特性，分析合作社技术创新的特点，从内部技术创新能力和外部创新环境支持能力两方面构建了一个包涵7个二级指标，30个三级指标的合作社技术创新能力测度模型，并对内部创新能力进行实证。实证结果表明：合作社内部创新能力整体不强；创新市场能力最为薄弱；创新投入能力大于创新产出能力；创新管理能力较强；第五、在分析了合作社营销能力特点的基础上，利用层次分析法和模糊综合评价法相结合，从核心能力层、基础能力层和辅助能力层三方面构建了一个包含3个一级指标，9个二级指标，35个三级指标的合作社营销能力的测度。实证结果表明：合作社整体营销能力不强，基础能力较好，核心能力最为欠缺，辅助能力尚待加强；第六、以理事长能力、融资能力、技术创新能力和营销能力的各方面作为因子对农民专业合作社发展能力进行因子分析和聚类分析。因子分析的结果表明这四方面的能力对发展能力的解释程度为72.585%，合作社发展能力主要受理事长能力和融资能力影响，其次受技术创新能力和营销能力影响。聚类分析结果表明合作社发展能力可以聚为5类，第一类合作社发展能力最强，表现为四方面能力都具有优势；第二类合作社发展能力较强，表现为其中三方面能力具有优势；第三类合作社发展能力一般，表现为其中两方面能力具有优势；第四类合作社发展能力较弱，表现为其中的一方面能力有优势；第四类合作社发展能力最弱，表现为四方面能力都没有优势。并在此基础上，从融资能力、技术创新能力、理事长能力和营销能力等四方面提出培育农民专业合作社发展能力的对策。更多还原

【Abstract】 As economic development and market competition, farmers’ cooperatives become one ofthe most effective carriers of the solution of the contradiction between “small farmers” and“big market”. Farmers’ cooperatives accelerate rural modernization and agricultural scientificand technological achievement into truth, and have a very important practical significance.Since the law of farmers’ cooperatives promulgated, various types of farmers’ cooperativesmushroom all over the country. At the same time, the government not only focuses on thequantity but pays more attention on the quality of farmers’ cooperative and provides subsidiesto the high ability and democratically cooperatives. In the recently few years, the governmentgives more and more support to the farmers’ cooperatives, while compared to the largenumber of farmers’ cooperatives, the subsidies are quite small. So it is quite important toallocate the funds fairly and efficiently between different cooperatives. However, farmers’cooperatives are still in the infancy stage in our country, and there is not a useful measurementcriteria to effectively distinguish the development capability of the not perfect developed andnonstandard managed cooperatives. Based on it, this dissertation with first-hand data and avariety of quantitative analysis tools, does micro research and analysis to the developmentcapability from chairpersons’ competences, financing capability, technological innovationability and marketing ability with a comprehensive evaluation index system, by which thegovernment can evaluate the capability of different cooperatives and the cooperatives can doself-assessment, as well as help other stakeholders to better understanding the cooperatives.Firstly, based on the analysis of cooperatives and competence theory, the dissertationanalyzes the status quo of the cooperatives from compositions, geographical distribution,industry distribution, formation types, service content and promoting demonstrationcommunity, and analyses the composition of the development ability of farmers’ cooperativesby taking three different types of cooperatives for examples and empirical analysis, theresults show that the short-board of the development of cooperatives are human resource,funds, technological.innovation and marketing and the composition of the developmentability of cooperatives are financing ability, technological innovation ability, chairpersons’competences and marketing ability. Secondly, based on the survey data of100farmer cooperatives, this paper confirms9dimensions to measure the chairpersons’ competences of farmer cooperatives, which arecompetences of government relations, social relations, management, strategy, innovation,resource integration, learning, operation and opportunity; and analyzes the reasons ofdifferentiation and ways of cultivating chairpersons’ competences. The empirical analysisresult shows: in the structure of chairpersons’ competences, the most important factor isgovernment relations, followed by innovation and then resource integration, and the others insequence of social relations, management, strategy, learning, operation and opportunity.Chairpersons’ competences are mainly affected by ways of formation, product types, level ofeducation and the time of being a chairperson.Thirdly, with the combination of AHP and fuzzy comprehensive evaluation, we establishan evaluation index system of29indexes from support capacity, growth potential, financialmanagement, environmental factors and impact capacity. Finally, through field survey data,we estimate the financing capability of the68growing cooperatives. The empirical resultsshow that the total financing capability of the cooperatives is not strong; the capability offinancial management and environmental factors is weak; the growth potential is very high;the impact capacity of cooperatives has great difference and the support capacity is good.Fourthly, according to the characteristics of technological innovation, the innovationtheory is used to analysis the characteristics of farmer cooperatives. We build a model tomeasure technological innovation abilities from the perspective of both internal and externalenvironment which include7secondary indicators and30third indicators. This model istested using68leading farming cooperatives. The empirical results reveal that the overallinternal technological innovation abilities are weak and market innovation abilities are theweakest. Meanwhile, the abilities of innovation input are found greater than the abilities ofinnovation output and the abilities of innovation management are excellent.Fifthly, after analyzing the characteristics of marketing capability of cooperatives, weestablish an evaluation model including3first indicators,9secondary indicators and35thirdindicators from the layers of core competence, foundation capability and complementarycapability. Then based on the micro survey data of68growing cooperatives, we evaluate themarketing capability of the cooperatives. The empirical results show that the total marketingcapability of the cooperatives is not strong; the foundation capability is good; corecompetence is the weakest and complementary capability need to be enhanced.Sixthly, with the secondary indices of the financing capability, technological innovationability, chairpersons’ competences and marketing ability as the factors, the dissertationcomprehensively evaluates the development capability with factor analysis and cluster analysis. The factor analysis results show that all the four aspects interpretation of72.585%ofthe development capability of the cooperatives, and the capability of cooperatives is mainlyeffected by chairperson’s ability and finacing ability and followed by the ability oftechnological innovation and marketing ability. The cluster analysis results show thatcoperatives’ development capacity can be clustered into five categories, the first categoryhave strongest development capacity and all the four aspects are advanced; and the secondcategory have very strong, and the three aspects have advantages; the cooperaitves’development ability of the third category is medium, and two aspects have advantages; thecooperaitves’ development ability of the fourth category is weak and just one aspect hasadvantage, and the cooperaitves’ development ability of the last category is weakest and allthe four aspects has no advantage. At last, the dissertation gives some suggestion to raisingthe development capability of the cooperatives from financing capability, technologicalinnovation ability, chairpersons’ competences and marketing ability.更多还原