【作者】 瞿珊珊；

【导师】 蔡根女；

【作者基本信息】 华中农业大学 ， 农业经济管理， 2009， 博士

【摘要】 农业产业化经营自从上世纪八十年代中期在我国山东等一些地区实施以来,逐渐在全国各地被采用、推广和普及,被认为是农业经营体制的第二次改革,是中国农业发展的基本方向。但是,在农业产业化经营发展的过程中,所出现的龙头企业与农户合作关系不稳定、违约率高的问题,严重阻碍了农业产业化经营的进一步发展。因此,探讨龙头企业与农户合作关系的治理机制、治理机制对合作关系绩效的影响,合作关系治理机制的影响因素,寻求提高合作关系绩效的方法等,对于丰富农业产业化经营研究成果,指导龙头企业与农户的合作实践,构建和谐社会,无疑具有重要的理论和现实意义。根据文献研究和实践调查,本文发现对龙头企业与农户合作关系的研究,需要回答三个方面的问题:龙头企业与农户是怎样合作的?合作方式对合作绩效有怎样的影响?为什么龙头企业与农户要这样合作?针对这三个问题,本文以龙头企业与农户合作关系为研究对象,综合运用管理学、经济学、社会学等理论,基于问卷调查数据,采用规范与实证研究相结合的方法,按照“怎样合作、这样合作带来什么结果、为什么这样合作”的思路来开展研究。首先,对相关研究成果和理论进行回顾和梳理,提出了“问题三维度”,包括合作关系的治理机制、绩效和影响因素;针对这些问题,基于理论和现实观察提出相关研究假设,构建出本文的分析框架。第二,利用实际问卷调查数据,采用统计分析、计量模型检验等方法工具,实证分析龙头企业与农户合作关系的治理机制、治理机制对合作绩效的影响、各因素对治理机制的影响,以检验研究假设的真伪,回答本文提出的问题。第三,利用实地调查的案例和网络搜集的案例,进行案例对比分析,以进一步检验研究假设,并对统计分析结果进行补充和完善。最后,依据上述研究结果,归纳研究结论,提出对策建议。主要研究结论:(1)龙头企业与农户之间存在多种类型的合作关系。我国龙头企业与农户合作关系的治理机制包括法律治理、经济治理和关系治理,由此构成了多种不同类型的合作关系,诸如三种治理机制都较强的“紧密型”合作关系;三种治理机制都较弱的“疏远型”合作关系;法律治理、经济治理较弱,关系治理较强的“感性型”合作关系;法律治理、经济治理较强,关系治理较弱的“理性型”合作关系等等。之外,在案例分析中,我们还发现法律治理较强、经济治理较弱、关系治理较强的类型。其中,疏远型的合作关系较多,紧密型的合作关系较少,说明我国龙头企业在与农户的合作中,所采取的手段比较单一,合作的层次比较低,处于比较低级、松散的阶段,有待进一步的发展。(2)龙头企业与农户合作关系治理机制对绩效有着不同的影响。对合作关系绩效中的龙头企业满意来说,法律治理、经济治理和关系治理中的共同解决问题,对龙头企业满意都有正向影响;对合作关系绩效中的农户满意来说,法律治理、经济治理和关系治理中的情感交流和共同解决问题,均对农户满意有正向影响;从四种不同类型合作关系绩效的比较发现,紧密型合作关系对龙头企业与农户满意度的绩效都要优于其它三种类型;疏远型合作关系对龙头企业与农户满意度的绩效都要劣于其它三种类型;感性合作关系和理性合作关系,居于中间位置。在龙头企业满意上,感性合作关系和理性合作关系,没有明显的差异:而在农户满意上,感性合作关系要优于理性合作关系。(3)龙头企业与农户合作关系治理机制受多种因素的影响。对龙头企业与农户合作关系法律治理机制来说,公司的规模、对农产品质量的要求、经济实力,公司对农户风险态度的假设,农产品的特殊性、技术含量和对公司的重要性,交易的不确定性等对之都有正向影响;对龙头企业与农户合作关系经济治理机制来说,公司的规模、对农产品质量的要求、经济实力,农产品的特殊性、技术含量和对公司的重要性,交易的不确定性,政府的作用等对之都有正向影响;对龙头企业与农户合作关系中关系治理机制来说,公司的规模、对农产品质量的要求、经济实力,公司对农户经济理性的假设,农产品的特殊性、技术含量和对公司的重要性,交易的不确定性,政府的作用等都对之有正向影响。提出对策建议:对龙头企业来说,(1)重视法律治理,规范合作行为;(2)强化经济治理,提高合作收益;(3)提高关系治理,强化合作意识;(4)开发综合治理,提高合作绩效;(5)综合考虑各种因素,选择合适的治理机制。对政府来说,(1)创造良好的制度环境;(2)发展和完善中介组织系统。主要创新点:(1)研究视角上的创新。本文深入到合作关系的内部治理机制,在新制度经济学理论中加入了社会性因素,即从法律治理、经济治理和关系治理三个方面来分析其对龙头企业与农户合作关系绩效产生的影响和带来的绩效差异,探讨如何提高合作关系绩效,弥补了单一以交易成本经济学理论为基础,忽视社会性因素,忽视对非市场、非科层组织的中间形态研究的不足。这为深入研究龙头企业与农户合作关系、提高合作关系绩效提供了一个新的视角。(2)研究方法应用上的创新。本文在对龙头企业与农户合作关系治理机制分析的基础上,采用聚类分析法对合作关系进行分类。同时,还对合作关系绩效提出了可量化的指标。在此基础上,本文构建了合作关系“影响因素—治理机制—合作关系绩效”的理论分析框架,提出相关研究假设,并借用现代计量经济学的分析工具对假设进行了检验。这些方法的运用,使合作关系的分类更具科学性,改变了以往龙头企业与农户合作关系评价的模糊性和主观片面性,使得研究结论的可信性增强。(3)研究结论有所创新。本文通过实证研究发现,龙头企业与农户合作关系治理机制对绩效有着不同的影响。并且,不同类型的合作关系间存在绩效差异。这些结论为如何提高龙头企业与农户合作关系绩效提供了不同于以往的解决方案。特别是,研究结论显示了关系治理在龙头企业与农户合作关系中的重要性。这一结论对已有研究成果只重视法律治理和经济治理,是一个有益的补充。更多还原

【Abstract】 Agriculture industrialization has been adopted, expanded and popularized since last middle 80s when it’s put in practice in Shangdong province. It’s considered the second revolution of the agriculture system and the development direction of Chinese agriculture. However, there come some problems, such as instability of cooperative relationships between the agribusiness firms and the household farmers, the rate of contract enforcement is low. These problems block the further development of agriculture industrialization. Therefore, studying on the governance mechanisms in cooperative relationships between the agribusiness firms and the household farmers, the influences of the governance mechanisms on performances and the various factors on the governance mechanisms to find ways to improve the performances of cooperative relationships is with no doubt significant to enrich the research on agriculture industrialization, guide agribusiness firms and household farmers how to cooperate and construct harmonious society.Based on the review of research and survey, the thesis discovers the following three questions which are necessary to be solved: how agribusiness firms cooperate with the household farmers? How the way they cooperating influences the cooperation performances? Why the agribusiness firms and the household farmers cooperate in this way? Regarding the three questions, the thesis takes the cooperative relationships between the agribusiness firms and the household farmers as research objective, integrates theories of management, economics, sociology, bases itself on the investigation data, uses both the methods of normative research and positive research, and shows the research through the train of thought of "how to cooperate, what’re the results and why cooperate in this way".First, based on the review of relative achievements and research theories, the thesis raises "the three dimensions of the question" including the governance mechanisms, performance and influential factors of cooperative relationships. Then, based on research theories and the observation of practice, the thesis proposes several research hypotheses and constructs the research framework.Second, using the investigation data, the thesis adopts the methods such as statistical analysis and metrological model check to positively analyze the governance mechanisms of the cooperative relationships between the agribusiness firms and the household farmers, the influence of the governance mechanisms on the cooperation performances and the influences of various factors on the governance mechanisms to test the research hypotheses and answer the questions the thesis has proposed.Third, the thesis compares the case which is from field survey with the case which is from internet to further test the research hypotheses and complement the statistical analysis. Finally, according to the above research, the thesis makes a conclusion and puts forward a series of suggestions.The main conclusions:(1) There are many types of cooperative relationships between the agribusiness firms and the household farmers. The governance mechanisms including legal governance, economic governance and relational governance construct the many types of cooperative relationships, such as the close cooperative relationship in which the levels of all the three governance mechanisms are high, the distant cooperative relationship in which the levels of all the three governance mechanisms are low, the sensible cooperative relationship in which the levels of legal governance and economic governance are low but the level of relational governance is high, the rational cooperative relationship in which the levels of legal governance and economic governance are high but the level of relational governance is low. Additionally, we find another type in which the levels of legal governance and relational governance are high but the level of economic governance is low. In these types, the type of the distant has the most number, the type of the close has the least. This situation demonstrates that the way how the agribusiness firms and the household farmers cooperate in our country is simple; the level is low and need to be improved.(2) The governance mechanisms have different influences on performance. Legal governance, economic governance and solving problems together in relational governance have positive influence on the agribusiness firms’ satisfaction; Legal governance, economic governance, emotional communication and solving problems together in relational governance have positive influence on the household farmers’ satisfaction; According to the comparison of the performances of the four types of the cooperative relationships, the close cooperative relationship is the best, the distant cooperative relationship is the worst, the sensible and the rational cooperative relationships are in the middle. On the agribusiness firms’ satisfaction, the sensible and the rational have no difference, but on the household farmers’ satisfaction, the sensible is better than the rational.(3) The governance mechanisms are influenced by various factors. The agribusiness firms’ size, request of the quality of the primary products, economic strength, the agribusiness firms’ hypothesis of the household farmers’ attitude on risk, the difference, technology and importance of the primary products, the uncertainty of the transition have positive influences on the level of legal governance in the agribusiness firms and the household farmers. The agribusiness firms’ size, request of the quality of the primary products, economic strength, the difference, technology and importance of the primary products, the uncertainty of the transition and the effect of the government have positive influences on the level of economic governance in the agribusiness firms and the household farmers. The agribusiness firms’ size, request of the quality of the primary products, economic strength, the agribusiness firms’ hypothesis of the household farmers’ attitude on risk, the difference, technology and importance of the primary products, the uncertainty of the transition and the effect of the government have positive influences on the level of relational governance in the agribusiness firms and the household farmers.Suggestions:To the agribusiness firms, (1) Pay attention to legal governance to make the cooperative behavior standardized. (2) Strengthen economic governance to make the cooperative benefits increased. (3) Raise relational governance to make cooperative consciousness enhanced. (4) Develop integrated governance to improve cooperative performance. (5) Consider the various factors to choose the appropriate governance mechanisms.To government, (1) Build comfortable institutions. (2) Develop agency system.The main original views:(1) The originality in research angle of view. The thesis penetrates into the governance mechanisms in the cooperative relationships and adds social elements into New-institutional Economics which means the thesis analyzes the differences of the performances of the agribusiness firms and the household farmers from legal governance, economic governance and relational governance to improve the cooperative relationship performance. This angle of view makes up for the neglecting of social elements and the middle organizations which are not market or hierarchy in the past researches. This angle of view helps deepen the research of the agribusiness firms and the household farmers and improve the cooperation performance.(2) The originality in application of research method. Based on the analysis of the governance mechanisms in the agribusiness firms and the household farmers’ cooperative relationships, the thesis uses clustering to clarify the cooperative relationships. Meanwhile, the thesis puts forward the indexes to measure the performance of the cooperative relationships. Then the thesis constructs a theoretical research framework which includes the factors, governance mechanisms and the cooperation performance and proposes the relative research hypotheses. After that, the thesis uses the analysis tools of modern econometrics to test the hypotheses. The application of these methods makes the clarifying of the cooperative relationships more scientific, changes the ambiguity and subjectivity of the assessment of the cooperative relationships in the past researches and makes the conclusions more reliable.(3) The originality in research conclusions. The thesis finds that the governance mechanisms in the agribusiness firms and the household farmers’ cooperative relationships have different influences on the performances and there is performance difference between different types of the cooperative relationships. These conclusions propose the ways to improve the performance of the cooperative relationships between the agribusiness firms and the household farmers which are different from the past research. Especially, the research conclusions show the importance of the relational governance in the cooperative relationships between the agribusiness firms and the household farmers which are helpful complementarities to the past researches which just emphasize legal governance and economic governance.更多还原