【作者】 彭可茂；

【导师】 雷海章； 祁春节；

【作者基本信息】 华中农业大学 ， 农业经济管理， 2007， 博士

【摘要】 本论文的研究目的在于揭示中国油菜产业的内在发展规律并为产业的发展提供政策依据。论文以新制度经济学为主要理论基础，采用实证分析与规范分析相结合，动态分析和静态分析相结合，定性分析和定量分析相结合、宏观分析与微观分析相结合以及案例分析法等多种方法，对中国油菜产业进行综合研究。论文以中国油菜产业运作的交易费用和利益主体的合约选择行为切入点，通过SCP分析范式和交易成本、资产专用性、交易的不确定性、信息与合约的不完全性、交易频率等范畴，针对中国油菜产业的生产、加工、流通、消费等各环节的问题与特征，研究了油菜产业的主体行为特征、制度变迁因果、组织结构演进与经济绩效提升的问题，分析了中国油菜产业的发展规律与趋势特征，探索了基于新制度经济学变量的影响中国油菜产业的产业组织形式、资源配置效率、经济绩效与福利效用的运作机理及实现途径。论文最后设计出了相关的对策与措施，为发展中国油菜产业提供了科学的理论指导和现实的政策决策参考。论文主要回答了以下一些问题：对当前中国油菜产业组织结构及其成因从制度角度做出解释。对中国油菜产业组织的运行绩效进行全面的实证分析，并从产业组织制度安排和产业主体行为选择方面剖析原因，进而提出关于油菜产业组织结构与产业运行绩效的一般性结论。对政府油菜产业相关政策的绩效进行评价，在实证研究的基础上，提出相关的政策参考。在对油菜产业进行理论实证和经验实证研究的基础上，以优化产业资源配置、提升主体绩效为目标，提出油菜产业组织制度创新的途经，构建高绩效的油菜产业市场运行组织模式，引导和推进油菜产业组织的创新和产业技术的升级。论文共分为七章。第一章为导言，在明确研究目的和意义的基础上，提出研究的内容、所要回答的主要问题、论文的整体分析框架及研究方法，并介绍了主要创新点及需要进一步研究的问题。第二章为文献综述，首先明确了论文的一些主要概念，随后综述了国内外关于交易经济学与合约选择理论、产业组织理论、农业产业化研究进展等方面的文献，为研究工作铺垫了理论基础。第三章将自1949年以来的生产划分为四个不同的发展阶段，评述了各阶段的发展特征及其原因，阐释了技术进步特征和区域分布。进而以超对数随机前沿生产函数、CD生产函数和灰色关联理论模型为分析手段，对中国油菜的投入—产出进行了深入分析，测算了技术效率、科技进步贡献率、要素产出特性、规模效益、要素关联度及排序等，并比较了三种测算结果。最后，根据CD生产函数结论，预测了国内未来30年的产量。第四章以油菜产业的生产组织运作的合约模式为研究对象，以不同形式产业组织的合约选择所带来的绩效为主线，以湖北省油菜产业组织为案例，着重研究了“公司(+基地)+农户”型、“专业合作协会+企业+农户”型和“纵向一体化”型油菜产业组织，对不同的产业组织在存在基础、组织结构、利益联结方式、运行方式、运行绩效等方面做了对比研究，为油菜产业组织的进一步发展提供了一定的参考。第五章从植物油加工业的历史、现状与特征入手，在油菜加工行业的组织特性、竞争结构、市场结构、行业壁垒等方面分析了油菜加工行业组织结构。进而在研究行业企业行为的基础上，着重从行业经营绩效和行业规模经济这两个方面，深入研究了中国油菜加工业的交易行为与合约行为。行业经营绩效从全行业及区分产权的经营成果及资本运营绩效上展开研究；规模经济从全行业及区分产权的不同规模企业的主要经济效益指标进行统计与分析，为政策改进提供了思路。第六章首先从供需的角度测算并分析了居民食用植物油及菜籽油的消费状况与特征。其次，多角度地研究了居民食油购买行为特征。第三，运用扩展线性支出系统，通过求解中国城乡居民食油的各种需求弹性，揭示了城乡居民食油消费行为与制约因素之间的关系。第四，运用1998年～2004年的收入与消费数据，对城乡居民的消费行为、结构、趋势进行了实证分析和比对研究。最后，探讨了中国食油发展的发展方向，为及时调整食油的生产、加工、流通和外贸结构、满足居民日益提高的物质生活需求提供了依据。第七章是本文的研究结论和政策探讨。本章总结了油菜产业在如下方面的研究结论，包括：生产环节的资源配置效率、技术效率、科技进步贡献率等，及主要产业组织形式的绩效比较；加工环节的产业集中度、品牌市场占比、行业壁垒、不同产权的经营绩效、资本运营及规模经济；消费环节的购买行为介入度、品牌意识与偏好度、需求弹性、消费变动趋势等方面。在此基础上，从四个方面提出了政策建议：针对油菜生产效率特征，提高生产资源配置效率的政策建议；针对油菜产业组织的行为与绩效特征，推行农业产业化的政策建议；针对油脂加工行业结构与行为特征，提高行业绩效的政策建议；针对居民食油消费行为特征，提高社会剩余的政策建议。本文可能的创新主要体现在以下方面：第一，选题接触学科前沿，具有开创性。本文从新制度经济学的视角，以交易主体的交易行为和合约选择为核心，对中国油菜产业进行了系统的经济分析和发展对策研究，其选题接触学科前沿，具有开创性。第二，研究范畴有别于以往文献。本文以中国油菜产业的交易费用和合约选择为切入点，并将中国油菜产业分解为生产、加工及消费等环节，分别研究了中国油菜产业的产业组织结构与经济效率问题，从而明显地有别于以往文献的研究范畴。第三，构造了一个基于SCP分析与新制度分析相结合的农业产业组织绩效的研究范式。这一研究范式着力对引致“绩效”的产业结构及主体行为进行分析，并把研究重点放在影响农业经济运行“绩效”的制度变量之上，不仅使制度变量内生于经济运行分析当中，并在对农业产业组织绩效问题的研究方面实现了新古典研究范式与新制度方法的融合。第四，综合运用多种研究方法，注重实证和定量分析。本文运用动态分析和静态分析相结合、定性分析和定量分析相结合、宏观分析与微观分析相结合等多种研究方法，注重实证和定量分析，利用数据资料建立数据库并进行模型的设定和运算，对中国油菜产业进行综合研究，并设计出相关的对策与措施。更多还原

【Abstract】 The goal of this dissertation is to expose the intrinsic developing rules of Chinese oilseed rape industry and provide the policy basis for the industrial development. This dissertation, by the methods of combining empirical analysis with standard analysis, dynamic analysis with static analysis, qualitative analysis with quantitative analysis, macroscopic analysis with microscopic analysis, as well as the case analytic method and so on, takes the new institutional economic as the main rationale to conduct the comprehensive study to the industry. Also, this dissertation, taking the operating transaction costs and the contractual-choice behavior by economic entities of Chinese oilseed rape industrial organization as the analysis beginning, through the analysis model of Structure-Conduct-Performance and the categories such as transaction costs, special-purpose property, uncertainty of transaction, incompleteness of information and contract, transaction frequency and so on, in view of the problems and characteristics of Chinese oilseed rape industrial production, processing, circulation, consumption and so on, has studied the issues of the behavior characteristics by economic entities, the causes and effects of institutional vicissitude, the evolution of organizational structure and the promotion of economic performances in industry, analyzed rules of developing and the tendency characteristics of the industry, and explored the operating mechanism and the realizing ways of the industrial organizational forms, the resources disposition efficiency, the economic performances and the welfare utility, which base on the new institutional economic variables and affect the industry. Furthermore, in order to develop the industry, this dissertation has designed the related countermeasures or measures, and provided some scientific theoretical instructions and practical reference for policy and decision-making.This dissertation mainly answered some questions below: Firstly, it made the explanation about the current Chinese oilseed rape industrial organization structure and its origin form the institutional perspective. Secondly, via carrying on the comprehensive empirical analysis of the Chinese oilseed rape industrial organization’s operating performances, and analyzing the reasons from the view of the industrial organizational institutional arrangement and the industrial entities behavior choice, it proposed some general conclusions about the oilseed rape industrial organizational structure and the industrial operating performances. Thirdly, based on the empirical research foundation, by applying the policy performances appraisal correlated to the industry of the government, this dissertation put forward correlated policy reference. Fourthly, on the basis of the theatrical and experiential empirical research of the industry, taking optimizing the industrial resources disposition and promoting performances of entities as the aim, this dissertation proposed the institutional innovation way of industrial organization, constructed the market operating organizational pattern of high performances, also guided and advanced industrial organizational innovation and the industrial technology promotion of the industry.This dissertation altogether divides into seven chapters.Chapter 1 is the introduction, on clarifying the goal and significance of this research, it proposed the research content, the main questions to be replied, the overall analysis frame and the research technique, and introduced main innovations and further issues to be studied.Chapter 2 is the literature summary, it clarified some main concepts of this dissertation, and summarized the literature of researching progress in respect of the transacting economics and the contractual choice theory, the industrial organization theory and the agricultural industrialization, which was laid as rationale for this research.Chapter 3 divided the yielding into four different developing phases after 1949, commented developing characteristics and the reason of these phases, and explained the technology advancement characteristics and the regional distribution. Then, taking the Tran-logarithm stochastic frontier production function, the Cobb-Douglas production function and the gray connection theoretical model as the analysis methods, it applied thorough input-output analysis to the Chinese oilseed rape’s yield, and surveyed the technical efficiency, the contribution ratio of scientific-technical advancement, the output characteristic of each input factor, the scale benefit, the input factor connective degree and their arrangement, etc., and compared three results. Finally, according to the conclusion of CD production function, it forecasted the domestic output of 30 years in the future.Chapter 4, taking the contractual patterns in producing organizational operation of the industry as the research object, and following the line of performances which are brought by the different forms of industrial organizational contractual choice, taking the oilseed rape industrial organizations in Hubei Province as examples, studied the oilseed rape industrial organizations with the types of "company-(base)-peasant household", "Special Cooperation Association-Enterprise-peasant household" and "Vertical integration" emphatically, and compared different industrial organizations in respect of basis of existence, organizational structure, benefit joint pattern, operating way, operating performances, so as to provide some reference for the further development of oilseed rape industrial organizations.Chapter 5, beginning with the history, present status and characteristics of vegetable oil processing profession, analyzed the organizational structure of oilseed rape processing profession in respect of organizational characteristic, competition structure, market structure, profession barrier and so on. Then, on researching the enterprise behavior of the profession, it thoroughly studied transacting behavior and the contractual choice of Chinese oilseed rape processing profession from the view of profession management performances and the profession economies of scale emphatically. The profession management performances were launched on management achievement and capital operating performances of the entire profession and the different property rights, and the economies of scale were carried out according to the statistics and analysis of main economic efficiency targets of the entire profession and the different property rights with different scales, so as to provide the mentalities for the policy improvement.Chapter 6 firstly surveyed the edible vegetable oil and the rapeseed oil consumption status and characteristics from the supply-demand angle. Secondly, it studied the inhabitant edible oil purchasing behavior characteristics from many angles. Thirdly, via solving edible oil demand elasticity of each kind by Chinese urban and rural inhabitants with extended linear expenditure system, it exposed the relationship between the edible oil consuming behavior of urban and rural inhabitants and the restricting factors. Fourthly, though utilizing income and the consuming data of 1998-2004, it carried out empirical analysis and comparing studies on the behavior, structure and the tendency of urban and rural inhabitants’ consumption. Finally, to satisfy inhabitants’ increasingly enhancing material life demand day by day, it discussed the direction to go of Chinese edible oil industry, and provide some references for the prompt adjustment of producing, processing, circulation and the foreign trade structure of edible oil.Chapter 7 includes research conclusions and policy discussions, and it summarized conclusions in following aspects: resources disposition efficiency, technical efficiency, contributive ratio of scientific-technical advancement, performances comparison anomy main industrial organization forms and so on in yielding; industry concentration, brand market proportion, profession barrier, management performances, capital operating and economies of scale of different property rights in processing; involving extent of purchasing behavior, brand consciousness and partiality, demand elasticity, changing tendency in consuming, and so on. To sum up, it put forward the policy proposals from four aspects, that include the policy suggestions to enhance the resource disposition efficiency in view of the yielding efficiency characteristic, the ones to carry out agricultural industrialization in view of the industrial organizational behavior and the performances characteristic, the ones to enhance the processing profession performances in view of the profession structure and behavior characteristic, and the ones to enhance the social surplus in view of the inhabitant edible oil expense behavior characteristic.The possible innovation of this dissertation mainly includes several aspects as follows:Firstly, from the view of new intuitional economy, taking the transacting behavior and contract choice of transacting entities as core, this dissertation has carried on the systematic economic analysis and the development countermeasure research to the Chinese oilseed rape industry. The topic choice shows discipline front and groundbreaking. Secondly, taking the transacting costs and the contract choice of Chinese oilseed rape industry as a breakthrough point, and dividing the industry into yielding, processing and consuming, this dissertation has studied the issues of industrial organizational structure and economic performance respectively of Chinese oilseed rape industry. The researching categories are different from those of the former literature.Thirdly, this dissertation has structured the researching model of agricultural industrial organizational performance, which is based on the combination of Structure-Conduct-Performance analysis and new institutional analysis. The model puts emphasis on the analysis industrial structure and entities behavior inducing performance, focuses on the institutional variables that influent agricultural economic operation performance, which not only make institutional variables result from economic operating analysis inherently, but also realize the fusion of neoclassic research model and new institutional method in respect of agricultural industrial organizational performance.Finally, this dissertation, by applying various researching methods, such as method of combining dynamic analysis with static analysis, qualitative analysis with quantitative analysis, macroscopic analysis with microscopic analysis, and so on, has put emphasis on the empirical and quantitative analysis, and built up database to carry out hypothesis and calculation of models, so as to conduct the comprehensive studies to the Chinese oilseed rape industry, and designs the correlated countermeasure and the measure.更多还原