【作者】 文雷；

【导师】 卜风贤；

【作者基本信息】 西北农林科技大学 ， 农业与农村社会发展， 2013， 博士

【摘要】 农民专业合作社是在农村家庭承包经营基础上,同类农产品的生产经营者或者同类农业生产经营服务的提供者、利用者,自愿联合、民主管理的互助性经济组织。在我国,农民专业合作社作为一种农村组织创新,正充分地利用它的组织优势,立足当地资源,解决一家一户小生产与千变万化大市场的矛盾,使分散的农户经营更加适应市场乃至具有国际竞争力。在我国市场深化和金融深化的大背景下,农民专业合作社通过提高农民组织化程度与市场竞争能力,在实现农业生产专业化、现代化方面发挥着越来越重要的作用。然而,从整体而言,我国农民专业合作社还处于比较低的发展层次。一方面,农民专业合作社应有的组织优势还远远没有发挥出来；另一方面,许多发展较快、规模较大的专业合作在规范运行和持续发展方面存在的问题也逐渐显现。健全和完善治理机制是解决上述问题的关键,也是我国农民专业合作社下一阶段发展所面临的重大任务。有效的治理机制是提高农民专业合作社绩效的必要条件,绩效又是农民专业合作社治理机制健全与否的最直接和最有效的反映。治理良好的农民专业合作社,其成长能力和赢利能力相对较强,社员满意度也相对较高。对于尚处在发展初期的农民专业合作社,完善和健全治理机制可以为合作社运行创造良好的条件和环境,提高合作社绩效,使合作社的组织优势得到充分发挥；对于已经发展相对成熟的农民专业合作社而言,完善和健全治理机制则是农民专业合作社进一步提升竞争力,引领中国农业走向国际化、具备国际市场竞争力的关键。相对于一般法人企业而言,农民专业合作社的经营宗旨是社会公平与经济效率的二元结构,这种经营宗旨决定了合作社治理机制的特殊构造,进而决定了评价合作社运营绩效不能简单套用企业评价标准。本文运用新制度经济学和演化经济学的分析范式,结合我国农民专业合作社发展的现实背景,考察了我国农民经济合作社的治理机制,建立了关于农民专业合作社治理机制与绩效的理论分析框架,采用建模研究和演绎的方法推导出研究结论。这些结论修正和完善了目前国内农民专业合作组织的认识,为现阶段规范我国农民专业合作社发展提供了参考和借鉴。本论文由七章组成。第一章导论,介绍研究背景、研究的目的与意义,评述国内外研究现状,明确本研究重点解决的问题、研究思路与研究方法。第二章我国农民专业合作社治理机制的基础理论,在一般组织和治理理论的基础上结合农民专业合作社的特征维度阐述农民专业合作社面临的独特治理机制问题,并构建模型予以解释。第三章我国农民专业合作社发展分析,从政治制度、经济模式、文化理念三个因素论述了我国农民专业合作社发展环境,分析我国农民专业合作社的发展历程,总结我国农民专业合作社发展的特点与存在的问题。第四章农民专业合作社治理机制与绩效：样本选择与数据收集,介绍本文实证研究的样本区域选择、问卷设计过程和数据收集方法,并对回收的调查问卷进行汇总分析。第五章农民专业合作社绩效评价指标与模型选择,首先介绍了本文进行农民专业合作社绩效评价指标选取理论依据和方法,接着分析了本文选用的评价农民专业合作社绩效的主成分评价方法和模型,并对153家样本农民专业合作社绩效进行了计算。第六章农民专业合作社治理机制与绩效的实证分析,通过前述理论分析我们确立了一些可以验证的假设,用以检验理论分析中农民专业合作社的治理机制对于其绩效的影响。第七章是结论与展望,对全文的主要结论进行了概括性总结,并在理论研究结论和经验验证基础上,得出对我国农民专业合作社健全治理机制、完善治理结构的启示。最后分析了本文研究存在的不足以及未来研究的展望。本文在已有国内外大量相关文献及通过调查所收集到的实际数据的基础上,力图在以下方面作出贡献：(1)通过构建基本理论分析框架,为农民专业合作社治理机制与其绩效关系提供逻辑自洽的分析体系,深入地研究了我国农民专业合作社治理结构与治理机制问题。这一研究视角的创新,克服了已有研究成果主要运用逻辑推理和规范分析而缺乏实证检验、过分强调农民专业合作社治理结构形式的构建而相对忽视治理的根本目的的不足；(2)建立基于平衡计分卡的农民专业合作社绩效评价指标体系,并将主成分分析等计量研究成果应用于我国农民专业合作社绩效的综合评价中,克服已有农民专业合作社绩效评价研究中选择单一指标或简单加权综合评分衡量绩效的局限性,较好地体现对农民专业合作社绩效评价的客观性；(3)通过对153份样本农民专业合作社数据进行实证研究,验证了农民专业合作社治理机制与绩效的关系,拓展和深化了农民专业合作社治理问题的研究,得出的相关结论也为农民专业合作社治理机制的理论研究提供了依据和支撑。更多还原

【Abstract】 Farmers’specialized cooperatives is the mutual aid organization for economic that producers and traders of similar agricultural products or providers and users of similar agricultural production and business services unite voluntarily to manage democratically in the base of farmers contracted management in the unit of family. In our country, farmers’specialized cooperatives as a rural organization innovation is making good use of its organizational advantages, based on local resources, to solve the conflict between small-scale production based on households and ever-changing large market, which make the decentralized household management more responsive to the market and adapt to international competition situation. Especially, under the background of the market deepening and financial deepening, farmers’specialized cooperatives play an increasingly important role to specialize and modernize the agricultural production by improving the degree of farmers’organization and market competition ability. However, as a whole, farmers’specialized cooperatives in our country are also at lower levels of development. On the one hand, the organizational advantages of farmers’specialized cooperatives that have not yet developed are vastly underexplored. On the other hand, many problems are emerging in regulating the operation and sustainable development in many relatively fast developed and larger scale specialized cooperatives. Completing internal governance structure of farmers’specialized cooperatives, and improving the governance mechanism are the keys to resolving above two issues.Effective governance is a sine qua non for improving performance of farmers’specialized cooperatives, and performance is the most direct and effective reflection on the soundness of governance level and governance structure of farmers’specialized cooperatives. The farmers’specialized cooperatives of sound governance have relatively strong growth and profitability, and have much higher member satisfaction. Therefore, as to farmers’specialized cooperatives still in early stages, it could create favorable conditions and environment for cooperatives corporation, and improve cooperatives performance to make the organizational advantages of cooperatives full play by improving the governance structure and governance mechanism. And for the relatively mature farmers’specialized cooperatives, improving the governance structure and governance mechanism are the keys to further enhance competitiveness, and lead the Chinese agriculture to internationalization and Chinese farmers to participate in international market competition.Relative to general corporate, the business objectives of farmers’specialized cooperatives possess the double property of social equity and economic efficiency, which determines not only the uniqueness of the governance structure and governance mechanism, but also determines the construction of performance evaluation system of farmers’specialized cooperatives. This paper uses the analytical paradigm of institutional economics and evolutionary economics, combined with the development background of Chinese farmers’specialized cooperatives, to research the governance mechanism of farmers’specialized cooperatives in our country, and initially establish an analysis framework on the governance mechanism and performance of farmers’specialized cooperatives. Meanwhile, this paper derive inferences to complete the governance structure of farmers’specialized cooperatives, improve the governance mechanism and performance of farmers’specialized cooperatives by using the modeling method and deductive method. These inferences not only amend and improve the current domestic findings of the farmers’specialized cooperatives, as well as provide a reference for the current normative development of Chinese farmers’specialized cooperatives. This dissertation consists of seven chapters. Chapter1:introduction, and this chapter describes the background, purpose and significance of the study, review the current research at home and abroad, and clear research emphasis, idea and methods. Chapter2:basic theories of the governance mechanism of farmers’specialized cooperatives in our country, and this chapter describes the unique governance mechanism faced by farmers’ specialized cooperatives by combining the theoretical basis of organizational analysis and characteristics dimension of farmers’specialized cooperatives, and build the model to explain. Chapter3:the development analysis of farmers’specialized cooperatives, and this chapter from the political system, the economic model and cultural concept discusses the development environment of our farmers’specialized cooperatives, analyze the development course of our farmers’specialized cooperatives, and summarize the development characteristics of our farmers’specialized cooperatives and existing problems. Chapter4:the governance mechanism and performance of farmers’ specialized cooperatives:sample selection and data collection, and this chapter introduce the sample area selection, questionnaire design and data collection methods in empirical research, and analyze the recycling questionnaire. Chapter5:the performance evaluation index of farmers’specialized cooperatives and model selection, and firstly, this chapter introduces the theoretical basis and method of the performance evaluation index selection of farmers’specialized cooperatives, followed by an analysis of principal components analysis and model selected to evaluate the performance of fanners’ specialized cooperatives, and calculates the performance of153samples of farmers’ specialized cooperatives. Chapter6:the empirical analysis of the governance mechanism and performance of farmers’specialized cooperatives. In this chapter, we establish some verifiable assumptions through the above theoretical analysis to explore the influence of the different governance mechanisms on the performance in the theoretical analysis. Chapter7:conclusions and outlook. In this chapter, we synoptically summarize key findings in our full-text, and indicate the enlightenment of the theoretical analysis and empirical study to complete the governance structure of fanners’specialized cooperatives and improve the governance mechanism of farmers’specialized cooperatives. At last, we analyze this research deficiency and future research prospects.In the base of a large number of related literature at home and abroad and investigating the actual data collected, this article try to make a contribution in the following areas:(1) We select a special perspective, that is a systematic study of the relationship between governance mechanism of farmers’specialized cooperatives and its performance, to lucubrate the problems of the governance structure and the governance mechanism of farmers’specialized cooperatives. This innovation from the research perspective overcomes the lack of the existing research results, which mainly use logical reasoning and canonical parse so that to lack empirical test, and too excessively emphasize the formal structure of the governance structure of farmers’specialized cooperatives to relatively neglect the fundamental objective of governance.(2) We establish the performance evaluation index system of farmers’specialized cooperatives based on balanced scorecard, and apply the measurement results, such as principal component analysis, into comprehensive evaluation of performance of farmers’ specialized cooperatives. It overcomes the limitation to select single target or simple weighted score to measure performance in the existing performance evaluation study of farmers’specialized cooperatives, which better reflects the objectivity of the performance evaluation of farmers’specialized cooperatives.(3) The empirical study to153samples data of farmers’specialized cooperatives identifies the relationship between governance mechanism of farmers’specialized cooperatives and its performance, and expand and deepen research on the governance of farmers’specialized cooperatives. Meanwhile, the relevant conclusions drawn provide some bases and support for the theoretical study of the governance mechanism of farmers’specialized cooperatives.更多还原