【作者】 何官燕；

【导师】 胡小平；

【作者基本信息】 西南财经大学 ， 农业经济学， 2008， 博士

【摘要】 农业产业化,无论是在发达国家还是在发展中国家,都是其传统农业向现代农业转变发展的方向和一般途径。在农业产业化发展进程中,农业产业链作为一个新兴的研究领域在国内外引起了广泛的关注,也取得了较为丰富的成果。供应链、产业链及其管理的相关理论为我国农业产业化的发展提供了很好的借鉴,西方产业组织理论也为我国农业产业组织的构建与发展提供了重要指导。但目前国内的研究还没有把供应链、产业链管理理论与产业组织理论充分应用到农业产业化中去。这就为本文的研究提供了空间:从产业链组织的视角去研究农业产业化的发展。过去两年多时间里,笔者在南充市南部县、北京顺义区和资阳市进行了实地调查。结合笔者的实际调研成果与我国现代农业的发展现状,本文在从宏观、中观、微观三个层次明确界定现代农业产业链组织这一概念的内涵及特征的基础上,构建了现代农业产业链组织研究的基本架构,并总结国内外相关理论研究成果及实践经验,从纵向和横向两个方面深入分析和探讨我国现代农业产业链组织的创新模式,提出了相应的制度建设与政策建议。从内容安排上看,全文分为十章,其主要安排如下:第一章为导论部分,主要介绍了本论文的研究背景、意义、研究前提、内容安排、研究的思路、方法及论文的创新与不足。第二章的主要任务是对论文的主要研究对象现代农业产业链组织这一核心概念作详细的界定与分析,为进一步深入研究打下基础。第三章作为论文的文献梳理部分,首先从供应链及其管理理论切入,分析其与产业链的关系及其对产业链的启发,然后在产业链理论的基础上对农业产业链的研究现状作简要概括和评述。其次介绍了西方产业组织理论的主要观点及其在我国农业产业组织研究中的运用,在此基础上着重论述农业产业化组织和农业产业链组织的研究现状,总结前人研究的不足,探寻本论文研究现代农业产业链组织的理论视角。第四章为现代农业产业链组织的国际比较与经验借鉴。本章在对美国、日本、荷兰等发达国家农业产业化发展过程的描述,农业产业链组织发展的模式、特点和经验进行比较分析的基础上,总结出构建我国现代农业产业链组织的几点启示。第五章比较分析了我国农业产业化进程中的农业产业化经营与农业产业链组织构建的区别与联系。指出农业产业链组织的构建是在农业产业化经营的框架下逐渐发展和完善起来的,某种意义上农业产业化经营的理论与实践可以看作是构建现代农业产业链组织的前期探索。而农业产业化经营的产生、发展、取得的成绩及存在的问题等方面的分析为农业产业链组织的研究奠定了现实基础。第六章作为本论文的理论基础,首先从纵向和横向两个角度设定了产业链组织的发展模式,进而指出现代农业产业链组织应是一种以中间组织为主体,介于企业、市场之间的组织系统。其次,本章运用了现代经济学的分析方法,通过构建相关的数理模型从买方垄断和卖方垄断的角度比较分析了农业一体化模式的价格效应,并在此基础上比较了农业纵向一体化与横向一体化的激励与效率。第七章选取了“公司+农户”、“合作组织+农户”和“公司+合作组织+农户”三种较为典型的模式作为是我国现代农业产业链组织的纵向一体化模式研究的主要内容,运用现代经济学中的博弈论分析方法对这三种模式的稳定性、参与主体的收益及违约冲动等进行了分析。第八章指出现代农业产业链组织的横向一体化是指纵向一体化上的农户、企业等各个节点的扩大化。同时,纵向一体化的各个节点中,农业生产经营主体始终处于中心位置,而所有这些农业主体中,家庭经营的农户和农民专业合作社是当前最主要的农业主体。因此,本章着重对专业化农户、农民专业合作社、股份合作社等横向一体化模式进行研究,以探讨现代农业产业链组织稳定发展的创新模式。第九章通过分析种植和养殖这两种典型的农业产业链,以四川南部、北京顺鑫和四川资阳的实践案例,着重分析了我国当前农业产业链组织构建过程中的三个典型模式。这三个典型的案例为现代农业产业链组织及其创新模式的研究提供了较好的实践经验。第十章在前文的基础上分析了“合作社一体化”模式的利弊,进而探讨了现代农业产业链组织在未来可能创新模式:中间组织模式。这种以中间组织为主要形态的一体化组织形式将成为适应我国农业走向现代化的主要模式。本章最后针对我国农业产业链组织构建过程中存在的一系列问题,提出了相应的制度建设与政策建议。本文注重各章节之间的内在逻辑性,结合本论文的研究思路,综合运用了现代经济学的规范分析与实证分析相结合、定性分析和定量分析相结合、历史分析与比较分析相结合、制度经济学博弈论等方法。对现代农业产业链组织的相关问题进行了深入系统的分析,本论文的基本观点主要包括:首先,构建和完善现代农业产业链组织在我国现阶段大力发展现代农业的进程中发挥着至关重要的作用。其次,由于市场失灵和交易费用等因素的存在,农业产业链作为产业链的一种特殊类型,将以一体化作为其发展的方向。一体化包括纵向一体化和横向一体化,其中农业产业链组织的横向一体化是指纵向一体化上的农户、企业等各个节点的扩大化,即通过农业产业链上同一环节的经济主体进行集中和扩大,增强各个经济节点的竞争力,实现各节点力量的均衡,从而保证产业链组织的稳定发展。再次,横向一体化和纵向一体化组织的复合模式合作社一体化实现了完全的一体化经营,有效降低了市场交易和产业化组织的内部的交易成本,但从某种程度上却增加了较多的管理费用。因而以介于市场与企业之间经济组织——“中间组织”为主要形态的一体化组织形式应成为我国农业走向现代化的主要模式。最后,从我国农业的发展现状来看,当前要建立以中间组织模式为主要特征的一体化组织相对较为困难。同时,正是由于中间组织的双重特性使得其构建和完善缺乏相应的现实基础,因而当前我国农业产业链组织的完善和发展应以“公司+合作组织+农户”模式作为现实载体,不断总结和探索,以从理论和实践的基础上更加准确的理解和把握农业产业链各环节之间关系,最终实现农业产业链组织的最优化发展。更多还原

【Abstract】 Agricultural industrialization, both in the developed and developing countries, is a general direction as well as a way of agricultural development from a traditional one to a modern one. In the process of agricultural industrialization, there has been an extensive concern over this emerging research field both at home and abroad, and substantial results have been achieved also. Over the years, we’ve been drawing on many relevant theories of supply chain, industrial chain and management in the course of development. Some other modern industrial organization theories have also contributed a lot to the construction and development of agricultural industrial organization. However, all these theories have not yet been applied to the actual practice, which enables this dissertation to study the development of agricultural industrialization in china from the perspective of industrial chain organization.During the past two years, the author has done some fieldwork in southern counties of Nanchong City, Ziyang City and Shunyi District in Beijing. Based on the author’s achievement of practical investigation and the present state of the development of modern agriculture in china, this dissertation constructs the basic framework of study, analyzes the innovative mode for modern agricultural industrial chain organization and also puts forward some corresponding suggestions on system and policy establishing after defining the meaning and features of modern agricultural industrial chain organization on macro, middle and micro levels.This thesis includes ten chapters. Chapter one is the introduction, which introduces background, significance and premise of the study as well as the main contents, way of thinking, research methods, some innovative points and shortages. Chapter two defines and analyzes the conception of modern industrial chain organization in agriculture in detail, which lays the foundation for further study.Confronting theories of supply chain and management directly, Chapter three first analyzes their relations to industrial chain and their illumination on it, and then a brief summary and commentary of the status quo of study on agricultural industrial chain based on theories of industrial chains are made. After that, main view points of the western industrial organization and their application in Chinese agriculture are introduced based on which the discussion on the status quo of study on agricultural industrialization organization and industrial chain is made. Furthermore, the insufficiency of previous study in this filed is summed up so that the theoretical perspective of this dissertation is born.Chapter four makes a comparative study on international modern industrial chain organizations in agriculture. After introducing the developing course of agricultural industrialization in U.S.A, Japan and Holland, a comparative analysis is made among their development models, features and experiences. Thus several things have been learned in this process for constructing our own modern agricultural industrial chain.Chapter five analyzes the connection and distinction between industrialized operation and the construction of industrial chain organization in agriculture. The author points out that the latter is built up in the framework of the former. In a sense, theories and practice of the latter can be seen as the initial exploration of the former as the emergence, development, achievements and existing problems of the latter lay the practical foundation for the former.As the theoretical foundation of this thesis, chapter six establishes, from vertical and horizontal points of view, the developing mode of the industrial chain organization in agriculture which should be a system between enterprises and the market, mainly composed of intermediary bodies. Applying the method of modern economic analysis and constructing relevant mathematical logic mode, this chapter also makes a study on the price effects of agricultural integration mode and compares the incentive and efficiency between vertical and horizontal modes from the angle of buyer and seller monopolization.Chapter seven chooses three typical mode, that is“company + peasant household”,“cooperative association + peasant household”and“company + cooperative association + peasant household”, as the main content of study on the vertical integration of modern Chinese industrial chain organization in agriculture. Game theory is applied to analyze the stability, income of participating bodies, and impulse to break agreement of each mode.Chapter eight considers the horizontal integration in the organization of industrial chain in agriculture as the expansion of each section on the vertical chain. Of all the sections, agricultural production and business bodies are always in the central position. Therefore, this dissertation focuses on horizontal integration modes such as specialized peasant households, professional peasant cooperatives and stock cooperatives so as to discuss the innovative mode for the stable development of the modern industrial organization in agriculture.Based on analysis of planting and breeding, two typical agricultural industrial chains and the author’s practice cases, Chapter nine analyzes the three typical modes mentioned in last chapter which provide practice experiences for the organization of modern agricultural industrial chain and study on its innovative mode.Chapter ten brings up two different types of the organization of industrial chain in agriculture in the future. The author points that the intermediate organization should become the main mode because of its various advantages, such as low transaction cost and high efficiency.Chapter ten analyzes the pros and cons of the cooperative integration mode and discusses the possibility of the future innovative mode: intermediary organization mode which will become the main mode in the course of agricultural modernization. Moreover, on the existing problems in construction process of the agricultural industrial chain, this chapter puts forward some suggestions for system and policy establishing.Great importance is attached to inherent logic and integration of different analytical methods in this dissertation, such as the integration of normative and positive analysis in modern economics, of qualitative and quantitative analysis, of historical and comparative analysis, and the game theory in system economics, etc. In-depth analysis is done on relevant questions in the modern agricultural industrial chain organization. The essential points are as follows:Firstly, constructing and perfecting the modern agricultural industrial chain plays an important role in the course of advancing modern agriculture in China. Secondly, due to factors like the malfunction of market and transaction fees, agricultural industrial chain, a special kind of industrial chain, takes integration as its direction in developing. Integration comprises vertical and horizontal ones. The latter refers to the expansion of each section on the former one, that is, the integration and expansion of economic bodies on the same section, strengthening of the competitive power of each section, and balance of the power on each section all together ensure the stable development of the industrial chain. Thirdly, cooperative integration, the complex pattern of vertical and horizontal integrations, realizes the complete integrative operation, thus effectively reducing the inner transaction cost in market transactions and industrialized organizations, whereas increasing management cost in a sense. Therefore, intermediary organizations, a shape of integration organizations between market and enterprises, should be the main mode for our agricultural modernization. Last but certainly not the least, on the status quo of our agricultural development, to establish the intermediary organization is a tough task. Meanwhile, the dual features of this kind of organization make it lack of the foundation in reality. Therefore,“company + cooperative organization + peasant household”mode should be taken in developing the agricultural industrial chain organization and more research should be done to understand and master the relation among different sections in the agricultural industrial chain so as to actualize the optimized development of it.更多还原