【作者】 邵科；

【导师】 黄祖辉；

【作者基本信息】 浙江大学 ， 农业经济管理， 2012， 博士

【摘要】 民主控制是合作社区别于公司等其他企业组织形式的本质性规定之一,而实施合作社民主控制的主体正是广大合作社社员。正是基于社员对合作社事务的积极参与,合作社才能顺利实现民主控制,进而实现组织规范运行。由于市场竞争压力和成员异质性,目前中国农民专业合作社的社员参与行为有可能与西方传统状态有了明显差异,对此,理论界还缺乏科学认知和系统阐释,从而无法准确地指导实务部门该如何推进社员参与下的规范治理。鉴于此,本文试图针对农民专业合作社的社员参与行为展开研究,科学回答社员参与对社员收益和满意度,以及其对合作社结构和绩效所可能造成的影响,以便为相关决策主体提供参考。本文的具体内容主要包括以下几个方面：第一,社员异质性与参与动机。本章分析了农民异质性特征和社员差异化参与动机,并且基于二元logistic模型研究了影响社员入社动机类型的因素；研究发现农民社员具有差异化的入社动机,不但如此,具有服务导向型动机特征的农户更加可能展现出规模生产特性。第二,社员参与角色与参与行为。本章探讨了社员参与角色与参与行为,并且借助于tobit模型和多变量probit模型研究了影响社员参与行为的因素；研究发现社员的业务参与、资本参与和管理参与水平并不相同,那些在合作社进行资本和业务参与的社员更加积极地参与合作社的管理事务。第三,社员参与行为与参与效果。本章阐述了社员的参与效果,并且借助于路径分析方法研究了社员参与行为对社员经济收益和满意度的影响机理；研究发现不同的社员参与行为会形成不同的社员参与效果,包括社员的经济收益和满意度。第四,社员参与与合作社结构。本章解释了合作社股权、惠顾和治理结构特征。以及社员参与对合作社股权、惠顾和治理结构所可能造成的影响,并且进行了描述性统计检验；研究发现社员资本、业务和管理参与下的合作社组织结构并不均衡,少数核心成员在合作社结构中地位突出。第五,社员参与与合作社绩效。本章引入了新的合作社绩效测量方法并且验证了其合理性,然后通过多元回归模型分析了社员参与下的合作社股权、惠顾和治理结构对合作社绩效所可能造成的影响；研究发现社员资本和业务参与下的均衡股权和惠顾结构并不利于合作社绩效的提升,而社员广泛管理参与下的治理结构可能会对合作社的绩效产生一些正面作用。研究启示：(1)中国的农民专业合作社应建立合理的入社标准,坚持入社自愿原则,并制定差异化服务策略服务于不同类型的社员；(2)鼓励社员人人入股,并限制理事长等少数核心成员的持股比例；(3)鼓励推行符合法律要求的基于惠顾额和股金的盈余分配制度,并且制定针对社员与非社员的差异化的产品服务策略；(4)鼓励社员参与管理,并且通过鼓励社员的资本和业务参与间接地促成其管理参与；(5)正视社员的非经济期望与需求；(6)政府部门要通过制度化的监督和考评机制遏制合作社核心成员排斥普通社员参与的行为；(7)通过法律法规的调整,制度性地解决社员参与问题。可能创新：(1)就研究视角而言,提出了社员参与的分析框架,并且创新性地将社员参与划分为资本参与、业务参与和管理参与三个维度进行分析,进而阐明了社员参与的机理；(2)就研究理论而言,丰富和拓展了参与理论,本文将政治学领域的民主参与理论和管理学领域的员工参与理论拓展到合作社组织领域,相关研究成果可能将会推动现有的参与理论在中国情境下的发展,更有机会丰富基于中国情境的合作社理论体系；(3)就研究方法而言,首次引入了管理学领域中研究中国企业绩效问题时常用的感知评价方法,拓展了合作社绩效评价的思路,是一个不错的研究方法上的创新尝试,不但如此,在分析社员参与行为的影响因素时,尝试运用多变量probit估计方法对方程进行联合估计,体现了为消除内生性问题对方程影响所做的方法改进努力。更多还原

【Abstract】 Democratic control by members is one of the key characteristics that distinguish cooperatives from other types of business organizations. The democratic control in cooperatives can only be achieved by the active participation of members, which sequentially contributes to the normalization of cooperatives’operations. Due to competitions from the markets and membership heterogeneity, the behaviors of the members’participating in Chinese farmer specialized cooperatives may deviate from the traditional Western norms. However, theorists were not able to recognize this problem scientifically, nor were they able to explain it systematically, and as a result, they failed to provide any valuable guidance to practitioners regarding how to govern a cooperative effectively in the context of membership participation. In view of it, this dissertation attempts to analyze the membership participating behavior in Chinese farmer cooperatives, and examines the impacts of member participation on the members’benefits, members’satisfaction, as well as cooperatives’structure and performance.The main contents are:(1) The dissertation depicts membership heterogeneity and examines the motivations of farmers’joining a cooperative by applying a binary logistic model. The results show that farmers have various motivations and farmers characterized by service-orientation motivation tend to have larger production scale.(2) Based on a Tobit model and a multivariate probit model, the dissertation clarifies the roles and behaviors of member participation and further discusses the factors that influence member participation. Results show that members display heterogeneous levels of operational participation, financial participation and managerial participation. To be specific, members who are operationally and financially involved are more likely to participate in the cooperatives’management affairs.(3) The dissertation identifies the impact of member participation on members’ economic benefits and satisfaction by path analysis method. The results indicate that different types of participating behaviors have different influences on the effects of member participation in terms of members’benefits and satisfaction.(4) The dissertation reports the features of cooperatives’ownership structure, patronage, and governance structure, and investigates the impacts of membership on the above mentioned features by descriptive statistical tests. The results show that member participation in terms of finance, business and management is unbalanced. Core members, as a minority group, participate in a more active way.(5) The dissertation introduces a new measurement of cooperatives’performance and examines its rationality. Besides, the paper evaluates the possible impacts of cooperatives’ownership structure, patronage, and governance structure on the performance by a multivariate regression model. The results highlight that equally distributed ownership structure and patronage structure in terms of members’ financial and operational participations are not beneficial to the improvement of the cooperatives’performance. However, the governance with wide membership involvement may have a positive effect on the cooperatives’performance.Some managerial suggestions of this study are summarized. (1) Firstly, to set up rational entrance requirements to guarantee voluntary membership and to serve heterogeneous members with differentiated service strategies. (2) Secondly, to encourage all the members to hold shares in the cooperatives and in the meantime set the upper share limit for the core members such as the director. (3) Thirdly, to distribute profit based on both patronage and shares according to the Law and to serve members and non-members differently. (4) To encourage members to participate in the management of cooperatives and contribute to the management via financial participation and operational participation. (5) To pay adequate attention to members’ non-economic expectation and needs. (6) The government should prevent the core members from excluding the managerial involvement of common members by institutionalized supervision and evaluation mechanism. (7) The government should make great efforts to solve problems regarding member participation through adjusting relevant laws and regulations. Compared with the existing domestic literature, the possible innovations of this dissertation include three aspects:(1) About the research perspective, the paper initiates a research perspective in which the concept of member participation is innovatively divided into three dimensions, i.e. financial participation, operational participation, and managerial participation. Additionally, the mechanism of member participation is identified as well. (2) Regarding the research theory, the dissertation enriches and expands the theory on participation. To be specific, the democratic participation theory in political science area and the staff participation theory in management area are innovatively applied in the research of cooperative organization. The research provides the development and application of the participation theory in the Chinese context and offers more opportunities to enrich the cooperative theoretic system in the Chinese context. (3) About the research methodology, the paper enriches the evaluation method of cooperatives’performance. The dissertation is a pioneer in introducing the perceptual measurement method which is generally used to study the performance of Chinese enterprises in the field of management. It is a good and innovative attempt to apply it in the research on farmer cooperatives.更多还原