【作者】 侯淑霞；

【导师】 王红玲； 李崇光；

【作者基本信息】 华中农业大学 ， 农业经济管理， 2008， 博士

【摘要】 纵向组织关系研究是产业经济研究的热点和前沿问题,其实质是实现产业的产前、产中和产后诸环节的联结,形成完整的产业链条以及实现产业链条系统内部的有机结合、相互促进和利益互补机制。乳业是农业、工业、第三产业相互连接、相互影响的特殊产业,产业链不同阶段的参与主体之间呈现“纵向关系”,因此,对乳业产业化的研究其实质就是对乳品产业链纵向组织关系的研究。我国乳业经过连续多年高速增长后,正处于从单纯的数量扩张向整体优化结构转变以及全面提升产业素质和竞争力的关键时期,乳品产业链纵向组织关系的深入研究,对促进乳业的产业化发展,促进优势特色农业——乳业和第二、第三产业的协调发展,促进农民增收、乳业增效,为我国中央政府和地方政府加强对乳业调控和支持的制度安排和政策选择提供依据具有重要意义。本研究以产业组织理论和制度经济学理论为依据,实证分析与规范分析相结合,历史分析与比较分析相结合,定量分析与定性分析相结合,在考察世界乳业和我国乳业发展现状的基础上,深入分析世界乳业典型国家乳品产业链纵向组织关系,对我国乳品产业链纵向组织关系的沿革和现状进行全面分析与总结,对我国现阶段乳品产业链主要的纵向组织关系类型——纵向约束下的关系行为进行深入研究,揭示了我国乳品产业链纵向组织关系的演变动因和机理,指出了我国乳品产业链纵向组织关系的目标模式和优化整合的路径以及实现目标模式的关键问题。本研究认为,乳业发达国家乳品产业链纵向组织关系相关行为(利益)主体关系紧密,实现了以经济利益为纽带的合作社一体化纵向组织关系,从而形成了比较牢固的“资源共享、利益共享、风险共担”的利益共同体。我国乳业诞生近百年来,在城郊型、牧区型以及农区型三种乳业模式下,乳品产业链的行为(利益)主体从分散、小规模走向规范化和产业化,乳品产业链纵向组织关系也经历了从无到有,从完全垂直一体化到多元化的过程。乳品产业链纵向组织关系总体上表现为,在计划经济体制下主要由政府统一安排,在市场经济体制下通过市场各活动主体进行理性选择并不断调整;我国乳品产业链纵向组织关系的演变是政府主导的强制性制度变迁和外部经济机会主导的诱致性制度变迁共同作用的结果,其中,政府主导的强制性制度变迁是主要因素,且交易费用的减少也促进了纵向组织关系向更高级形式的演进;乳品产业链纵向组织关系的演变受到外部利润和交易费用的影响,以制度均衡作为一个乳品产业链纵向组织关系演变周期的起点,经历了制度“均衡—非均衡—均衡”的过程。在乳品产业链纵向组织关系演变进程中,政府职能逐步发生改变,政府的职能从计划经济体制下的直接介入转变为市场经济体制下的间接调控。目前在我国乳业占主导地位的纵向约束关系存在不完备性;基于G-H-M模型的乳品产业链纵向组织关系分析表明,乳品企业与农户之间应该采用产权一体化的联结方式,即农户与乳品企业应该属于同一个所有者,这样的资源配置才是高效率的。论文阐述了“合作社一体化”纵向组织关系是我国乳品产业链纵向组织关系的目标模式,实现乳品产业链纵向组织关系从纵向约束向合作社一体化的转变是我国乳品产业链纵向组织关系优化与整合的路径。最后,论文探讨了存在的局限,并对未来需要进一步深化研究的问题进行了展望。本研究可能的创新主要有:1.对中国乳品产业链纵向组织关系的沿革与现状进行准确总结和概括,按照不同阶段对其发展历程展开全过程的分析和纵向透视;对典型国家印度、新西兰、荷兰的乳品产业链纵向组织关系进行全程的比较、分析,这在学术研究和实践总结方面均有一定的创新性。2.本研究运用回归模型分析了市场规模扩大等因素与乳品产业链纵向组织关系演变的实证关系;讨论了乳品产业链纵向组织关系演变的机理和过程,得出乳品产业链纵向组织关系演变机理的数学模型。这在理论探讨和研究方法上具有一定的先进性和创新性。更多还原

【Abstract】 Study on vertical organizational relationship is the most concerned issue, the truth of which is the connection of the processes of pre-production, in-production and after-production and it is also the internal organic integration and complimentary mechanism between the formation of complete industry chains and the realization of the industry chains.Dairy industry is a special factor influencing and interconnected with agriculture, industry and tertiary with "vertical" relationship presented in different stages among the main participants of industry chains. Thus, in fact the dairy industry’s research is the dairy industry chains’ study on the vertical relationship between the organizations.With the rapid development of dairy industry in China, China’s dairy industry is changing from the focus on growth of the turnover to optimization of the structure of the whole industry and is at the essential moment to raise industry quality in every aspects and its competitive ability. Further more, it is very important to study in depth on vertical organizational relationship of dairy industry chains, develop industrialization of the dairy industry and improve the development of the second industry and the third industry, which is also called special agriculture. In addition, it is also important to increase the income of farmers and efficiency of the industry. Finally, it is significant to offer some references for central and local governments to make policies on supporting and adjusting the industry.Based on industrial organizational theory and the theory on systematic economics, and the study is the combination of empirical analysis and formal analysis ; historical analysis and comparable analysis; quantum analysis and physical analysis, and based on the study of present conditions of the vertical organizational relationship of dairy products of typical countries in the world, this study is also a comprehensive analysis and summary about the present situation and the evolving factors of the vertical organizational relationship of dairy industry chains of China and a further study on the relationship forms of main vertical organizational relationship of dairy industry chains of China which might also be regarded as the vertically contained relation activities. Then the study indicates the evolving factors, the mechanism of the evolution, the approaches of optimizing and integrating the vertical organizational relationship of the dairy industry chains and some key problems in realizing the targeted models as well.Further more, the study shows the closeness among the main participants of the relative behaviors of the vertical organizational relationship of dairy products of developed countries in the world and the realized vertical organizational relationship of unified cooperative society manipulated by economical benefits, which has brought about the stable groups of common wealth with resources, profits and risks shared together.Nearly one hundred years have been past since the birth of dairy industry of China with three industrial models formed—suburban model, animal husbandry model, and agricultural model, under which the main participants of the dairy industry chains have been going from scattered and small-scaled operation to regulated and industrialized management. As a result, vertical organizational relationship of dairy industry chains has been growing from vertical unification to diversification.The vertical organizational relationship of dairy industry chains is generally being made mainly by the unified management of the government under the planed economy and continually adjusted and selected through participants of various activities under the marketing economy.The evolution of The vertical organizational relationship of dairy industry is the co-functional result of the change of the governmental enforced policies and the change of the non-forced policies dominated by external economical system, among which the governmental enforced policies are the key factor. And transaction expenses’ decrease also helps to the advanced development of the vertical organizational relationship of dairy industry.Influenced by the outer profits and the transaction expenses, the development of the vertical organizational relationship of dairy industry begins with the systematic balance as its starting point of the development cycling of balance—misbalance--balance. During the process of the development of the vertical organizational relationship of dairy industry, the function of the government has changed gradually from the direct interference under the planed economy to indirect control under the market economy. There is a considerable instability in the vertical contained relationship dominated by dairy industry. The analysis of G-H-M model of the vertical organizational relationship of dairy industry illustrates that the dairy farmers and the dairy industry should be connected through property integration and owned by the same owner, which would be an efficient recourses assignment.Unification of cooperative society between the enterprises and the fanners ought to be Target Model of China’s vertical organizational relationship of dairy industry. The transition of vertical organizational relationship of dairy industry from vertical containment to the unification of cooperative society is the approach to optimize and integrate China’s vertical organizational relationship of dairy industry.Finally the thesis discusses the limits and looked to the prospective issues which need further study.The possible innovations of the study: 1 The study puts accurate summary for the evolution and the present situation of vertical organizational relationship of China’s dairy industry chain according to the analysis on different stages of entire process, and compares and analyzes vertical organizational relationship of dairy industry chains of four typical countries such as India, New Zealand, the Netherlands and Australia, which proves to be innovative in academic study and practice summary.2 G-H-M is used in the study to investigate the empirical relationship among the increased production volume and enlarged market scale of China’s dairy industry and evolution of vertical organizational relationship of China’s dairy industry chain. And the mechanism and the process of evolution of vertical organizational relationship of China’s dairy industry chains are also discussed in the study.In the end, the mathematical model of the mechanism of evolution of vertical organizational relationship of China’s dairy industry chains are discussed in the study, which proves to be innovative in academic study and study approaches.更多还原