【作者】 李旭；

【导师】 戴蓬军；

【作者基本信息】 沈阳农业大学 ， 农业经济管理， 2012， 博士

【摘要】 农民专业合作社是农业产业中非常重要的组织，对促进农民增收、推动现代农业建设作用巨大。自2007年《农民专业合作社法》颁布以来，我国农民专业合作社出现快速增长势头，截至2011年三季度末，全国农民专业合作社达48.43万家，产业分布广泛，服务内容多样，成为近年来农村改革发展中的突出亮点之一，也成为广大学者研究的焦点领域。农民专业合作社作为一种新型的农村合作经济组织，尽管在某些建立原则上与企业略有不同，但同样可以看作是一系列契约的联结，是“一种治理和管理专业化投资的制度安排”，那么其生存和发展就离不开各个专业化投资者的影响和作用以及专业化资本的持续投入，而农民专业合作社成长的过程就是综合平衡他们之间的利益关系、实现利益最大化的过程。因此，分析农民专业合作社的利益相关者的构成，以及与农民专业合作社的利益关系及诉求，是研究农民专业合作社成长的必然要求，对于促进农民专业合作社健康成长，为各利益相关者特别是政府理清与农民专业合作社之间的相互关系，发挥其对农民专业合作社的监管作用具有重要的理论意义和现实意义。目前，学术界从利益相关者的视角对农民专业合作社成长进行研究还很少见，观点比较分散，尚未形成系统的理论框架。因此，本文旨在以利益相关者这一崭新的视角研究农民专业合作社成长的影响因素。本文以制度变迁理论、交易成本理论、产业组织理论、企业成长理论、利益相关者理论等为指导，在充分把握与农民专业合作社成长领域相关的研究进展的基础上对其成长的动因进行剖析，然后将利益相关者理论引入到农民专业合作社成长模型中，分析农民专业合作社及其利益相关者之间的利益冲突与协调；采用问卷调查法，随机抽取73家农民专业合作社进行访谈，运用层次分析法得出衡量农民专业合作社成长性的指标权重进而求出每个样本合作社的成长性指数，同时构建利益相关者影响农民专业合作社成长的实证分析模型，通过多元回归分析对模型进行检验，研究农民专业合作社主要利益相关者对合作社成长的影响；最后给出提升我国农民专业合作社成长性的策略选择。本文主要完成了以下几个方面的研究工作：（1）构建了分析利益相关者影响农民专业合作社成长的理论框架。首先对农民专业合作社成长的定义、阶段特征进行阐述。农民专业合作社的成长是一个从量变到质变的过程，既包括农民专业合作社组织规模的扩大，又包括农民专业合作社内部治理结构完善等质的飞跃。农民专业合作社也象生命有机体一样，经历初创阶段、成长阶段、成熟阶段和衰退阶段。其次，从内外两方面分析农民专业合作社成长的影响因素。内部影响因素有资金、人力资本、组织结构完善程度等，外部影响因素为政治法律、经济、社会文化、技术、社区等环境因素。第三，重点探讨了利益相关者影响农民专业合作社成长的原因、利益相关者的构成以及与合作社的利益关系和诉求，本文认为农民专业合作社的利益相者相关者包括社员、领办人、负责人、大股东、供应商、客户、政府、债权人、社区、被带动的农户、其他经济组织等。按照这些利益相关者同农民专业合作社的关系，将利益相关者分为合作型利益相关者、指导型利益相关者和关联型利益相关者，并一一探讨了上述利益相关者与农民专业合作社的利益关系和诉求。最后从理论上分析利益相关者对农民专业合作社成长的可能影响，构建了利益相关者影响农民专业合作社成长的理论框架。（2）提出了测度农民专业合作社成长性的方法。成长性是指农民专业合作社的发展能力或增长能力，是衡量农民专业社成长的重要指标。本文结合农民专业合作社成长的影响因素，认为农民专业合作社成长性具备效益性、市场性、扩展性和可持续性等四方面的特征，通过征集专家的意见，构建了农民专业合作社成长性的评价指标体系，用来测度农民专业合作社的成长性。（3）实证研究了利益相关者对农民专业合作社成长的影响。本文主要基于利益相关者的视角分析农民专业合作社成长的影响因素，通过对辽宁省73家农民专业合作社的问卷调查，首先就各主要利益相关者（合作社成员、领办人、客户和供应商、政府等）对合作社成长的影响进行描述性分析，然后根据上述分析得出的结果设置影响农民专业合作社成长的变量，构建利益相关者对农民专业合作社成长影响的计量分析模型，提出利益相关者影响农民专业合作社成长的假说，使用计量软件STATA10对提出的假说进行实证检验，并分析实证检验的结果。从规范和实证两方面分析利益相关者对农民专业合作社成长的影响因素。（4）给出了提升农民专业合作社成长性的策略选择。基于上述分析结果，本文有针对性地从各主要利益相关者的角度给出了提升农民专业合作社成长性的策略选择。从农民成员的角度出发，农民专业合作社应加强社员的素质教育、有效发挥民主决策机制弱化成员间的股份差异、兼顾核心成员和普通成员的利益需求建立合理的利益分配机制等；从领办人（负责人）的角度出发，农民专业合作社应加大力度培训，提高领办人（负责人）专业技能和经营管理能力、设置农民专业合作社职业经理人职位；从客户和供应商的角度，农民专业合作社应开发高价值客户群提高农民专业合作社的竞争力、提高客户管理能力、开展多样化经营以及充分利用供应商的竞争局面为农民专业合作社赢得更优惠的农资供给和更优质的产前服务；而对政府来说，“适当”定位、“适度”管理、“适时”服务、“适量”支持包含了政府有关合作社工作的全部内容。更多还原

【Abstract】 Farmer professional cooperative(FPC), which contributes a great deal to increasingfarmers’ income and promoting the construction of modern agriculture, plays an importantrole in agricultural industry. Since the Law of the People’s Republic of China on FarmerProfessional Cooperatives was promulgated in2007, China has witnessed a rapid growthmomentum of cooperative organizations. By the end of September2011, the number of FPCsreached484,300. The wide distribution of industry and diversity of service content hasbecome one of the outstanding characteristics during the process of countryside reform anddevelopment in recent years, and also becomes focal research field among scholars. A FPC, asa new type of the rural economic cooperative organization, has a little difference inestablishing principles from the enterprises, but still can be regarded as a series of contractconnections,“a system arrangement for the control and management of the professionalinvestment”. So its existence and development can’t be separated from the influence andeffect of each professional investor, as well as the professional and sustained capital input.The growth of FPCs is a process, in which can comprehensively balance the interestrelationship and realize the benefit maximization. Thus, the analysis on the composition ofstakeholders of FPCs, as well as the interest relationship and appeals, is the inevitable demandfor the research on the growth of FPCs. It also has very important theoretical and realisticsignificance to improve the healthy growth of FPCs and help the stakeholders, especially thegovernment, understand the relationships with the organization.At present, the research from the perspective of stakeholders is very rare, and theviewpoints are diverse and a systematic theoretical framework hasn’t been formed. Therefore,the purpose of this dissertation is to study on influence factors of growth of FPCs with thefresh perspective of the stakeholders.With the application of the Institutional Change Theory, the Transaction Cost Theory, theIndustrial Organization Theory, the Enterprise Growth Theory, and the Theory ofStakeholders, this dissertation analyses the motivation of the growth of FPCs, based on thefully understanding of research development in this field.Then this dissertation introduces the stakeholder theory to FPCs growth model, in orderto analyze interest conflicts and coordination between FPCs and stakeholder. Through thequestionnaire survey method,73cooperatives as random samples have been interviewed. It ismade the measure index weight to find out each sample FPCs’ growth index by using analytic hierarchy process. At the same time, the empirical analysis model which can reflects the waystakeholders influence development FPCs is constructed. Finally, measures and strategicchoice of FPCs in our country to promote the growth is given in the dissertation.The main research of this dissertation is as follows:(1)A theoretical framework to analyze the roles of stakeholders in the growth of FPCs ispresented. The growth of FPCs is a progress from quantitative change to qualitative change,which includes the expansion of the scale of FPCs, as well as the qualitative leaps such asimproving the internal management structure. A FPC is like a living organism, thatexperiences initial stage, growth stage, mature stage and decline stage.Secondly, this dissertation analyzes the influence factors from inside and outside. Theinternal factors include capital, human capital, and the degree of organizational structure. Theexternal influencing factors include political and legal, economic, social and cultural,technology, community and environmental factors.Thirdly, this dissertation focuses on the reasons why stakeholders can influence growthof FPCs, the composition of stakeholders and the interests and demands of FPCs.This dissertation argues that the stakeholders of FPCs include members and leader, bigshareholders, customers, suppliers, creditors, government, community, farmers, and othereconomic organizations. According to the relationship between these stakeholders and FPCs,the stakeholders can be separated into cooperative ones, guidance ones, and related ones.Then it explores the interests and demands of organizations in this dissertation. Finally, thetheoretical framework after analyzing the effect that stakeholders probably exert on growth ofFPCs is proposed in this dissertation.(2)The method measuring the growth of FPCs is constructed. Growth, the developingability of FPCs, is an important index to measure the growth of FPCs. Considering theinfluence factors of the growth of FPCs, this dissertation argues that growth has fourcharacteristics, benefit, market, expansibility and sustainability. An evaluation index system isthen proposed to evaluate the growth of FPCs, through the collection of experts’ opinions.(3)Influencing factors on the growth of FPCs is empirical analyzed. Based on the view ofstakeholders, using questionnaires for73FPCs in Liaoning Province, this dissertationanalyzes influencing factors of the growth of FPCs.First, it makes a descriptive analysis that how each main stakeholder influence on thegrowth of a FPC, then it sets the variable according to the results, builds quantitative analysismodel, puts forward a hypothesis, uses the measurement software STATA10to have anempirical test, and analyzes the test results. In brief, the influence factors of stakeholders on the growth of FPCs are analyzed both normatively and empirically.(4)The strategic choice to enhance the growth of FPCs is proposed. Based on the aboveresults, this dissertation proposes the strategic choice in the view of stakeholders. From theperspective of members, FPCs should strengthen quality education; promote effectivedemocratic decision-making mechanism among members, effectively weakening membersshare differences; build reasonable allocation mechanism to meet profit demand of both thecore member and the ordinary member.From the perspective of leaders, FPCs should increase the intensity of training, for theimproving professional skills and management capabilities of leaders, and set the positions ofthe professional managers in FPCs.From the perspective of customers and suppliers, FPCs should develop high-valuecustomer to improve the competitiveness of the cooperatives, improve customer managementcapabilities, and carry out the diversification and take full advantage of the competitivesituation of the supplier, in order to win more favorable policy for FPCs agricultural materialssupply and quality of prenatal services. Meanwhile, for the government, work for FPCsincludes the "appropriate" position,"moderate" management "timely" service and "moderate"support, which are the entire contents of service from governments.更多还原