【作者】 杨丽莎；

【导师】 王钊；

【作者基本信息】 西南大学 ， 农业经济管理， 2014， 博士

【摘要】 农民合作是破除“三农”困境,带动农业发展、促进农村进步、实现农民增收的重要可行路径。从理论上讲,单个农户面对较大规模的市场时天然处于弱势地位,特别是农业生产中存在的产品生物性、地域分散性以及规模不均匀性,决定了农民合作存在必然性。国际经验也表明,通过农民合作向其成员提供农资统一供应、农产品统一销售、农产品包装或精加工等集体投资、技术和信息统一提供等服务,能够克服小农户在现代市场经济发展中遇到的种种问题。但从中国的现实来看,目前农民合作存在诸多制约,无论是依托农村能人、专业大户、涉农企业等社会力量,还是借助政府、农技部门等都难以有效带动农民合作的积极性,农民参与合作程度低、合作绩效差是长期困扰中国农民合作的突出问题。现有研究为解读当前背景下农民合作的制约因素,探讨促进农民合作的政策路径提供了重要的启迪和借鉴。但现有研究缺乏针对山地条件下农民合作行为与绩效的具体分析。贵州是典型的山区省份,全省土地中有超过90%的面积为山地所覆盖,落后的经济条件以及特殊的地理环境,使得贵州山地农业发展严重滞后。山地农业的独特环境和属性决定了拘泥于传统的小农经营模式只会积贫积弱,山地农业发展必须走出一条适宜路径,而合作经营便是重要的路径取向。本研究借鉴产业组织理论、合作组织理论和交易成本理论,联系山地农业的基本属性和特点,分析了贵州山地农业发展中农民的合作需求。并结合贵州山地农民合作的现状,剖析了贵州山地农业发展中农民合作的内外部困境。进一步通过实地问卷调查,运用数理统计方法,探寻特殊的山地环境下制约农民合作的主导因素,找出山地农业发展中农民合作的主要难点,探讨在山地环境下促进农民合作的具体路径。一、研究的主要内容第一部分是文献分析和理论分析。现有研究中国农民合作意愿、行为与绩效的文献相当丰富,但缺乏针对山地条件下农民合作行为与绩效的具体分析,本部分将梳理国内外研究现状,明确本研究的立足点和重要意义。另外,本部分将梳理产业组织理论、合作组织理论和交易成本理论等相关理论,奠定本研究的理论基础。第二部分是现状和问题分析。本部分将立足于山地农业的基本条件和具体特征,从-般性机理以及具体诱因出发刻画山地农业发展中农民合作需求产生的必然性。并基于贵州省农委等部门获得的统计数据,结合典型样本分析,在明确贵州山地农民合作的组织载体和推动策略基础上,剖析目前贵州推进山地农民合作存在的现实困境。第三部分是调研与实证分析。本部分分别从近郊、农业发达地区以及偏远地区三个区域选取样本展开实地调研,设计问卷对贵州山地农业发展中农民合作意愿、合作行为与合作绩效进行调查,并采用有序Probit模型、Logistic模型以及Heckman两步修正法等计量手段,实证分析贵州山地农业发展中农民合作的制约因素。第四部分是路径与策略分析。本部分将瞄准山地农业发展中农民合作的制约因子,联系贵州山地农业的特点,提出山地农业发展中农民合作路径选择的基本原则,并在确立山地农民合作路径选择的总体思路基础上,从合作载体、内外部引导力量等诸多因素出发探索在山地背景下推进农民合作的优化路径。二、研究的主要结论(1)农民合作是山地农业特色专业化经营的必然路径。山地农业既存在资源多样性、环境多样性、非耕地资源丰富、经济后发、政策优惠等有利优势,也存在地理位置偏远、基础设施落后、生态系统脆弱、耕地资源有限、居民文化素质不高、耕作技术传统和市场化水平低等不利层面,山地农业的各方面特征决定了山地农业发展往往需要采取与-般平原地区不同的发展模式,必须依托特色产业来带动山地农业发展和农民致富增收。山地农民合作既是整合农民力量保护农民利益的需要,也是整合优势资源开发特色项目的需要；既是疏通市场链条提高产业化水平的需要,同时也是发挥规模效应提升生产效率的需要,山地农业发展存在广·泛的农民合作需求。(2)贵州山地农民合作面临内外部困境。基于贵州省山地农民合作现状并结合案例分析,发现山地农业发展中推进农民合作存在内外部困境。具体内部困境包括：①特色优势产业的规模化发展受到山地耕作空间限制；②特色优势产业的标准化生产受到技术和人才限制；③特色产业的优势培育受到农民短视束缚。具体外部困境包括：①扶持政策不到位；②扶持资金力度弱而散；③农民合作组织发展多头管理,各自为阵。(3)山地农业发展中农民合作存在许多制约因素。基于贵州山地三个类型区域9个行政村的问卷调查与分析：①采用有序Porbit回归模型发现制约农民合作意愿的因素主要在于农村劳动力结构与合作农业发展不匹配、农民局限于传统耕种方式而缺乏合作意识、农民对合作经济缺乏信心以及山地农业经营绩效低下；②采用Logistic回归模型发现制约山地农民合作行为的因素主要体现在合作组织的推广示范程度与农民需求不对接、合作组织的经营效益与农民预期不相符以及合作组织的规模水平难以实现规模效应；③采用Heckman两步修正法发现制约山地农民合作绩效的因素主要在于合作社的资金规模与分配制度难以满足农民经营需要、合作社的技术溢出效应不明显,难以提高农民经营技术以及农民难以有效利用营销渠道和经营信息。(4)山地农民合作必须走出符合自身特点的发展路径。山地农民合作的基本思路应是在坚持相宜性原则、普惠性原则、长效性原则、可示范推广原则、优惠政策导向性原则、组织化原则基础上,立足于山地优势特色寻求产业载体、根据主导产业确立集聚载体、对接财政、金融和税收优惠政策敲定政策载体,依托专业化合作社稳固组织载体。本研究提出了山地农民合作必须以特色优势资源为产业载体,以品牌建设为集聚载体,以扶贫项目为政策载体,以专业化合作社为组织载体。并认为,促进山地农民合作必须以休闲农业为辅助产业、以互利互信为内部运行纽带、以政府诱导为发展主导方向,以“能人”带动为主要运行模式。当然,为保障农民合作载体的高效运转,在推进特色优势产业发展的同时也可以配套发展休闲农业,并以政府诱导作为初始发展方向,充分发挥“能人”作用推进合作社长效发展,培育互利互信确保合作社内部润通。三、研究的创新点(1)研究视角的创新。现有研究更多是从一般意义上探讨农民合作的制约因素和推进政策,而忽视了山地背景下农民合作的特殊规律,并没有针对山地条件下农民参与合作的行为与合作绩效进行分析。实际上山地资源的多样性、生态环境的多样性、非耕地资源丰富、地理位置偏远、基础设施落后、生态系统脆弱等多方面决定了山地农业发展中更需要展开农民合作。如果说平原地区农民合作是关系到绩效提升的话,那么山地农业发展中农民合作则直接关系到山地经济能否发展的问题。(2)研究思路的创新。在已有的研究中,对于山地农业的开发和改造基本都是围绕资源环境带来的劣势展开讨论,对于充分发挥山地优势,依托合作组织载体,将农民紧密联合起来发展现代农业的研究几乎没有。实际上,山地农业具有的资源多样性和生态多样性等特征,也决定了山地农业发展中更需要通过农民合作,依托特色产业化经营来谋求发展。而且山地往往更容易成为国家优惠政策的辐射区,这都为山地农民合作提供了重要的支撑。(3)研究内容的创新。以往在研究农民合作时,大多从合作意愿、合作行为或合作绩效单个方面出发,缺乏系统性的考察。本研究将基于贵州省山地农业发展中农民合作的问卷调查,从合作意愿、合作行为和合作绩效三个方面全面透视山地农业发展中农民合作的制约因子。并基于我们发现的制约因子,创新性地提出破解山地农民合作困境、推进山地农民合作的具体路径。四、进一步研究的问题(1)山地农业合作组织内部制度设计和微观管理研究。由于本研究重点是探寻山地环境下制约农民合作意愿、合作行为以及合作绩效的主导因素,具体分析也是围绕这一中心展开,因此对山地农民合作经济组织内部的具体制度设计和怎样提高经营效率等组织内部微观管理方面并没有做深入探讨,需要进一步研究。(2)山地农业合作组织多重融合问题研究。本研究主要探讨山地农民合作的经济效益,而实际上农民合作夹杂着文化等多重属性的融合,但对这些方面本研究并没有做过多讨论,这是下一步研究的方向。另外,山地农业调研的特殊困难,也决定了本研究收集数据的有限,可能对山地农业发展的全貌难以完全展示,未来需要进行更为详实的调研。更多还原

【Abstract】 Farmers’ cooperation is an important and feasible path to get rid of the "three rural" dilemma, drive agricultural development, promote rural progress and realize farmers’ income growth. Theoretically speaking, when individual farmer faces a larger market, is naturally in a weak position, especially the existence of biological characteristic, geographic dispersion and scale heterogeneity in agricultural products, which determines the necessity of farmer’s cooperation. International experience also shows that farmers’cooperation provides a unified supply of agricultural resources, unified sales of agricultural products, collective investments of agricultural products packaging or fashioning, unified offering of technology and information, and other services to its members which are able to overcome the problems encountered by small farmers in the process of modern market economy. However, from the view of China’s reality, the current low level of cooperation among Chinese farmers, relying on rural elite, professional investors, agricultural related enterprises and other social forces, or with the aid of government agricultural sector is difficult to effectively drive farmers’enthusiasm to cooperate. The low participation degree and poor performance in the cooperation are long-term prominent problems in Chinese farmers’cooperation development.In order to interpret the constraints of farmers’cooperation in China, the existing studies provide important inspiration and reference to discuss policies and paths to promote farmers’ cooperative. However, the existing studies lacked the elaborate analyses of the farmers’cooperation behavior and perfonnance in the condition of mountains. Guizhou is a typical mountainous area with its more than90%lands covered by highlands and hills. Because of its laggard economy and special geographical environment, Guizhou lags behind seriously in the development of mountainous agriculture. Besides, its unique environment and attribution have proved that the more people stick in the use of traditional small farmer business model, the weaker and poorer they will be. The development of mountainous agriculture must explore a proper way and cooperative management will be an important choice. By referring to the theories of industrial organization, cooperative organization, and transaction cost, by taking the basic attribution and feature of mountainous agriculture into consideration, this study analyzes the farmers’ cooperative need in the mountainous agricultural development of Guizhou Province. It also analyzes its internal and external predicament in accordance with the current situation of mountainous farmers’ cooperation in Guizhou Province. In addition, this study combines the on-site questionnaire survey with mathematical statistics to try to find out the dominant factors which restrict farmers’cooperation under the special mountainous circumstance, find out the main difficulties of the fanners’ cooperation in agricultural development of mountainous area, and discusses the specific paths to promote farmers’ cooperation in the mountainous environment.Ⅰ. Main contents of the studyThe first part is the literature and theory analysis. The current literature of Chinese farmers’ cooperative awareness, behavior and performance are abundant, however, there lack the elaborate analysis of the farmers’ cooperative behavior and performance in the condition of mountainous area. This part will clarify the current situation of foreign and domestic researches to identify the foothold and important meaning of this study. In addition, this part will clarify the theories of industrial organization, cooperative organization, transaction cost, and other related ones to establish the theory fundamental of this study.The second part is the analysis of current situation and problems. This part will based on the basic condition and specific characteristic of mountainous agricultural, start with the general mechanism and specific incentive to depict the necessity of the produce of farmers’ cooperative requirement in the mountainous agricultural development. In addition, based on the statistical data from the Guizhou agricultural department and the other related ones, combine the typical sample analysis, and identify the organization carriers and promotion policies of mountainous fanners’ cooperation in Guizhou Province to analyze the realistic dilemma in the current promotion of mountainous farmers’ cooperation in Guizhou Province.The third part is about survey and empirical analysis. This part will introduce the field research selected from three areas (suburbs, agriculturally developed regions, and remote regions), and the questionnaire is about the farmers’ cooperative willingness, cooperative behavior, and cooperative performance, then the empirical analysis of the constraints of farmers’ cooperation in mountainous agricultural development of Guizhou Province with the application of ordered Porbit model, Logistic model, Heckman two-step modified method and other related measurement methods.The forth part is the analysis of route and strategy. This part will aim at the constraint factors of the farmers’ cooperation in the mountainous agricultural development, provide the basic principle of the route selection of the farmers’ cooperation in mountainous agricultural deveiopment with the characteristic of the mountainous agriculture in Guizhou Province, and base on the identification of the general thoughts of mountainous farmers’ cooperative route selection then from the factors of cooperative carrier, internal and external guiding force to explore the optimized path that promote farmers’cooperation under the background of mountains.Ⅱ. Main conclusions of this research1. Farmers’cooperation is a must way to develop the specialized and professional business of mountainous agriculture. The diversity of mountainous resources and ecological environment, and the abundant resources of bare place are the advantages of mountainous agriculture, however, there exists the disadvantages of remote geographical location, unprogressive infrastructure, and highly occurring natural disasters. So, these characteristics give a rise to the adoption of a different developing model with the one in plains. Farmers must rely on the cultivation of specialty industries to promote the agricultural development and farmers’income growth. The mountainous farmers’cooperation is not only the integration of farmers’power to protect their benefits, but also the need of specialty program development with advantage resources optimization; it is the need of industrialization improvement with market chain opened, and the need of production efficiency improvement with the function of scale effect. In the mountainous agricultural development, there exists a widely need of farmers’cooperation.2. The internal and external difficulties in Guizhou mountainous farmers’cooperation. Base on the current situation of Guizhou mountainous farmers’cooperation, and combine with the case analysis to explore the internal and external difficulties in the promotion of farmers’ cooperation in the mountainous agricultural development. The specific internal difficulties include:(1) the scale development of specific industries with local advantages is restricted by mountainous farming space;(2) standardization production of characteristics of competitive industries is restricted by technology and talents;(3) advantageous industries cultivation is restricted by farmers’ shortsighted. The specific external difficulties include:(1) support policies are not in place;(2) support funds are weak and unfocused;(3) the development of farmers’cooperation organizations is bull management, and each arrays.3. There exist many constraints in farmers’cooperation of mountainous agricultural development. Due to the questionnaire survey and analysis of the three types of districts and nine administrative villages:(1) with the application of ordered Porbit regression model to find that the constraints in farmers’cooperative willingness mainly because the mismatching of the. rural labor force structure with the cooperative agricultural development, the farmers are lack of cooperative awareness with the restriction of traditional farming, the farmers are lack of confidence to the cooperative economy, and the low business performance of mountainous agriculture;(2) with the application of Logistic aggression model to find that the constraints in mountainous farmers’ cooperative behavior mainly reflect on the mismatching of the promotion and demonstration extent of cooperative organizations with the farmers’ demand, the discrepancy of the economic benefit of cooperative organization with the farmers anticipation, and the difficulty to achieve scale effect with the scale level of cooperative organization;(3) with the application of Heckman two-step modified method to find that the constraints in mountainous farmers’cooperative performance mainly exist on the cooperation’s capital scale and distribution system cannot satisfy the farmers’ operational demand, the cooperation’s technology spillover effect is not obvious enough to improve the farmers’ operational technology, and the farmers have difficulty to apply the marketing channel and operational information.4. The mountainous farmers’cooperation must take the development paths accord with its own characteristic. The basic thoughts of mountainous farmers’cooperation should insist on the bases of suitable principle, inclusive principle, long-term principle, demonstrable and promotable principle, preferential policy orientation principle, and organized principle; establish the industrial carrier with special advantage resources, the concentration carrier with characteristic industrial base, the policy carrier with preferential policy of financial, monetary, and revenue; rely on the solid organization carrier with professional cooperation. This study provides that the mountainous farmers’cooperation must take the specific advantage resources as the industrial carrier, take the characteristic industrial base construction as the concentration carrier, take the poverty relief project as the policy carrier, and take the professional cooperation as the organization carrier. In addition, it points out that the promotion of mountainous farmers’cooperation must take the leisure agriculture as the assistance industry, take mutual benefit and mutual trust as internal operation bond, take the government guide as the main development orientation, and take the "talent" drive as the main operational model.Ⅲ、Research innovation1. Innovative points of research perspective. Existing studies more explore the constraints of mountain farmers’cooperation and its promoting policies from the general sense, while ignoring the special laws of farmers’cooperation under mountain conditions, and did not analyze farmers’ behavior and performance to cooperation according to mountain conditions. In fact, diversity of mountain resources and ecological environment, rich non-cultivated land, geographical remoteness, poor infrastructure, fragile ecosystems, and many others determine the mountainous farmers in agricultural development must expand farmers’cooperation. If the farmers’cooperation in plains is related to the improvement of performance problems, then farmers’cooperation in mountain agricultural development is directly related to the question whether the mountain economy develops.2. Innovative points of research idea. In previous studies, both the development and transformation of mountain agriculture are discussed according to disadvantages from resource environment. Researches on giving full play to the advantages for mountain resources, relying on cooperation organization carrier, and take farmers closely together to develop agricultural production, almost did not appear. In fact, mountain agriculture is characterized by resource diversity and ecological diversity also determines the mountainous agricultural development can pursue development through the farmers’cooperation and characteristic industrial operation. Furthermore, the mountain is often easier to become a radiation zone of national preferential policies, which provides important support for mountainous farmers’cooperation.3. Innovative points of research contents. In the past of farmers’cooperation research, most started with the single aspect of cooperative willingness, cooperative behavior, or cooperative performance, and the researches were lack of systematic investigation. This research will base on the questionnaire survey of farmers’cooperation in Guizhou mountainous agricultural development, from the three aspects of cooperative willingness, cooperative behavior, or cooperative performance to analyze the constraints factors of the farmers’cooperation in mountainous agricultural development. And base on the constraints factors that we discovered to innovative put forward the specific path that broke the mountainous farmers’cooperative dilemma and promote the mountainous farmers’cooperation.Ⅳ. Issues for further studies1. Study on Mountainous farmers’cooperation organization’s interior system design and micro-management Since the focus of this study is to explore the main factors in restricting farmers’cooperative willingness, cooperative behavior and cooperative performance, and the focus also launched around this central idea. So the specific system design inside the mountain agricultural cooperative economic organization and how to improve operational efficiency and other aspects of micro-management in organization did not do in-depth research, the further research is needed.2. Study on multiple fusion of mountain agriculture cooperation organization. This paper studies the economic effects of farmers’cooperation economic organization, but in fact that the farmers are co-mingled with culture and other multiple properties. These aspects did not explore too much in this paper, which is the direction of next research.In addition, mountain agriculture research is quite difficult, which determines the data collected in this study is limited. And may not completely show the whole picture of mountain agricultural development, more detailed research is needed in the future.更多还原