【作者】 刘婷；

【导师】 李小建；

【作者基本信息】 河南大学 ， 区域经济学， 2009， 博士

【副题名】以河南省农区为例

【摘要】 农民专业合作社是特定环境(社会、经济、人文、自然等环境)条件下的产物,同时,合作社的发展也会对区域环境系统产生一定的影响。农民专业合作社与区域环境是相互作用的关系,既能相互选择又能相对独立发展。随着市场经济的发展,在农产品交易过程中处于弱势地位的小农户通过集体联合来维护自身利益是其发展农民专业合作社的初衷。然而,实践中大多数合作社的形成和发展主要依赖于农村基层干部、龙头企业及地方政府等诸多非小农主体的外部力量。根据各地区社会经济环境的不同,这些外部力量在合作社发展过程中发挥的功效也有不同。由这些处于相对强势地位的非小农力量主导农民专业合作社的形成与发展,是我国现阶段农民专业合作社发展面临的一个现实“悖论”,特别是对于经济欠发达、地处内陆、以传统农业为主的河南省农区,这种现象更为明显。本文在总结国内外合作社相关研究成果的基础上,延承合作社研究的联盟学派观点,并基于组织理论、网络理论、外部经济等理论以及农民专业合作社实践活动,运用归纳和演绎的方法,构建了分析农民专业合作社与区域环境相互作用的研究体系,并以河南省三个农民专业合作社?缑氏葡萄专业合作社、大口蔬菜专业合作社、南马庄大米生产者合作社为案例进行了实证研究。着重对这三个案例合作社的形成路径、地方根植性、以及其对所在区域环境的影响进行了研究,并探讨影响河南省农民专业合作社形成的区域环境因素、促使合作社形成的动力机制、合作社对区域环境系统的影响程度,进而归纳出农民专业合作社与区域环境的协同演进关系。论文共分为七大部分:第一部分导论。从合作社的发展实践和理论背景出发,阐明了农民专业合作社研究的重要意义。评述了国内外合作社的相关研究文献,系统地梳理了国内外合作社研究进展以及目前国内研究存在的不足之处。在此基础上,引出本文的研究思路、研究框架、研究方法和研究的主要特点。第二部分阐释了农民专业合作社和区域环境相互作用的理论基础。本文认为农民专业合作社与区域环境发生相互作用关系的理论基础主要包括:组织理论、农户行为理论、社会关系网络理论、行动者网络理论,以及外部经济理论。进而提出了农民专业合作社的形成依赖于:农户之间合作博弈以及突破集体行动困境的行为结果、农户基于社会关系网络而产生的经济联合、各利益相关主体出于利益联结而形成共同支持合作社组建的行动者网络。同时,在外部经济效应的作用下,合作社的形成与发展也深刻的影响着其所在区域环境的改变。第三部分分析河南省农民专业合作经济组织发展的现状及特征。通过对河南省农民专业合作经济组织发展现状的分析,得出了河南省农民专业合作经济组织的发展具有整体上实力弱、影响范围有限、创建多依赖于本地乡村精英和地方政府机构共同推动等特征。农民专业合作社是农民专业合作经济组织中依照我国《农民专业合作社法》登记注册的一部分。由于研究农民专业合作社与区域环境的相互作用关系,相关数据需要大量细致的实地调查才能获得,所以不可能对所有农民专业合作社进行逐一调查。因此,通过逐步筛选以及实地调查访谈,最终从河南省农民专业合作经济组织中确定了三个农民专业合作社作为案例,进行微观研究。调查发现三个案例合作社代表了三种不同的社会经济环境影响下的农民专业合作社的形成,并对三个案例合作社的形成过程与发展状况进行了概述。第四部分对影响农民专业合作社形成的区域环境因素进行分析。首先从理论上归纳了影响农民专业合作社形成的区域环境因素,将这些区域环境因素分为外生影响因素(政治、经济、文化、技术)和内生区域环境因素(乡村精英资源、劳动力资源、自然资源、资金资源);其次设计影响合作社形成的区域环境因素评价指标体系,通过实证分析,运用组合赋权法得出各影响因素的评价结果,其中影响农民专业合作社形成的决定性因素前三个依此是:牵头人、农产品销售率、政府宣传;最后从农户角度分析了不同区域环境下农户参与合作社的主要动因。第五部分探讨农民专业合作社形成的机制和路径。农民专业合作社的形成机制是驱动农民专业合作社形成的力量结构体系及其运行规则,具有一定的稳定性和规律性。可以从两个方面来总结农民专业合作社的形成机制:内在动力机制和外援动力机制,内在动力机制和外援动力机制相辅相成、相互融合。由于农民专业合作社的形成是由内在动力机制和外援动力机制共同推动的,这种作用机制也就导致了农民专业合作社独特的形成路径。在外部动力机制的作用下农民专业合作社的形成往往表现为涉农企业、政府部门等各相关利益主体的共同参与和推动;另一方面,乡村精英及社会关系网络对农户入社的带动和凝聚,也直接影响到合作社的形成。由于经济组织是在环境和个体行为的互动过程中形成和发展的,它起源于社会环境和人们需求的推动,并与各种环境因素互动发展。实践证明,农民专业合作社的形成过程,仅有农户参与是远远不够的,它需要多方外界力量的共同作用。其中必不可少的几种外力因素有政府机构、技术提供者、生产资料供应者、农产品购买者等人类因素。此外,非人类因素农产品也扮演着关键角色。由这些人类与非人类行动者共同构建的行动者网络是合作社形成和发展的基础。以行动者网络理论分析农民专业合作社的形成与发展过程,突破了传统的单从合作社自身研究问题的缺陷,将合作社置放于特定的环境和关系网络之中,研究其他行为主体和行为环境对合作社的空间结构的影响。第六部分是农民专业合作社对区域环境的作用及合作社与区域环境的协同演进关系分析。首先,用实证方法研究了农民专业合作社对区域环境的作用。农民专业合作社尽管是一个经济合作组织,但是通过众多生产经营相互独立的农户在经济利益上的联合,建立起了自己的合作文化,形成了推动农村社会、经济、文化等协调发展的一个重要组织力量。乡村社区本身作为一个相对独立的小型社会经济综合体,它在经济、社会文化、自然资源环境等各个方面都会因为农民专业合作社的发展而受到影响,然而,不同发起方式和不同发展水平的合作社对区域环境影响的侧重点也不同。其次,阐述了合作社与区域环境的协同演进关系。在动态环境中,农民专业合作社作为一种新型的经济组织形态,是在环境选择和组织适应力互补和交错发展的协同演进过程中,不断寻求和创造自身竞争优势而得以形成和发展起来的,与此同时,农民专业合作社的形成与发展也促使区域环境达到一个新的状态。第七部分是结论与讨论。对本文的主要结论进行概括,总结研究中存在的不足,并讨论和展望进一步研究的方向。更多还原

【Abstract】 Farmer specialized cooperatives are product of specifically environmental conditions including social, economic, natural environment. On the other hand, the development of farmer specialized cooperatives has an impact on the region environment. Farmer specialized cooperatives and their region environment is the relationship of interaction. Farmer specialized cooperatives and region environment can not only select mutually but also develop independently.With the development of the market economy, in the process of agricultural trade the farmers that are the weak position unite to defend their own interests. This is the original intention of farmers developing cooperatives. However, in practice, the formation and development of most of farmer specialized cooperatives mainly depend on external forces including the rural grass roots organizations, agricultural enterprises, local government and so on. According to the different socio-economic environment, these external forces exert the different effects in the development of cooperatives. It is the paradox of reality that the formation and development of cooperatives are led by those strong external forces at this stage of our country. In particular, this kind of phenomenon is more obvious in Henan province. Henan province has the characteristics of the less developed economy, located inland, traditional agricultural region.In this paper, the research system of the interaction between cooperatives and their region environment is built on the basic of reviewing and exploring to the results of domestic and international cooperatives research. This paper inherits the opinion of alliance school of cooperatives research and uses the method of induction and deduction based on organization theories, network theories, external economic theories and the practical activities of cooperatives. The empirical study is used to analysis the relation between cooperatives and their region environment, so three cooperatives are selected, that is, Goushi Grape Specialized Cooperatives in Tangsengsi village, Daikou Vegetable Specialized Cooperatives in Han village and Nanmazhuang Rice Producers Cooperatives in Nanmazhuang village. It focuses on the formation path of these cooperatives, and the impact of these cooperatives on region environment. It explores the regional environmental factors that impacts on the formation of farmer cooperatives in Henan province, and the power mechanism to promote the formation of cooperatives. And then it concludes the relation of co-evolution of farmer specialized cooperatives and their region environment. This paper is divided into seven parts.As an introduction, Chapter One first presents the background and significance of the selected title and the research areas. Then, based on a review of farmer cooperatives theories and relevant documents, it brings ideas, framework, and research methods of this paper.Chapter Two elucidates the theoretical foundations of the interaction relation between farmer specialized cooperatives and their region environment, such as organization theories, farmer behavior theory, network theories, and external economic theories. Then, based on these theories, it proposed the formation of farmer cooperatives depending on the result of farmers breaching collective action dilemma, cooperative game between farmers, the farmer uniting grounded on social network, and all kinds of participants joining who are linked together by common interests to build a actor network. As well as, under the role of external economic effect, the development of cooperatives profoundly influences their region environment.Chapter Three analyses the status and characteristics of farmer specialty cooperative economic organizations in Henan province. In Henan the organizations have the characteristics, such as they are weak as a whole, they have the limited scope of influence, and they are created mainly by village elites and rural grass roots cadres. Because of researching the relation between farmer specialized cooperatives and their region environment, and the relevant data obtained by a large number of detailed field surveys, it is impossible for investigating all of the farmer specialized cooperatives in Henan province. In accordance with the principle of merit, representative and feasibility, finally three farmer specialized cooperatives as cases are selected from the farmer specialty cooperative economic organizations in Henan province. Then the survey finds that three cases represent the different formation under the influence of three different socio-economic environments.Chapter Four studies the regional environmental factors influencing on the formation of the farmer specialized cooperatives. Firstly, the regional environmental influence factors are summarized, which are divided into exogenous and endogenous ones. Secondly, the evaluation index system is designed. Thirdly, the evaluation results are concluded that the decisive factors influencing on the formation of cooperatives are lead person, market rate and governmental propaganda. Finally, from the perspective of farmers the motivation of participating in cooperatives is analyzed in different region environment. Chapter Five explores the mechanism and path of cooperatives formation. It can summarize the formation mechanism of cooperatives from two aspects of inherent and extrinsic. Because of the common drive of the inherent and extrinsic power mechanism, the farmer specialized cooperatives have the unique formation path. Under the role of extrinsic power mechanism, some actors, such as agricultural enterprises, government and so on, linked together by common interests to build the farmer specialized cooperatives together. As well as, farmers are driven and agglomerated to take part in cooperatives by village elites and their social network. The formation and development of economic organizations is in the interaction process of environment and individual behaviors. Because of the collective action dilemma and organization cost, the establishment of cooperatives is given impetus to not only by farmers, but also by some associated actors, such as agricultural enterprises, government and so on. In addition, local natural resources influence the development of farmer specialized cooperatives.Chapter Six engages in a study of the farmer specialized cooperatives impact on their region environment and the co-evolution relation between cooperatives and their region environment. Firstly, the empirical method is used to study the impact of cooperatives on their region environment, including the aspects of rural society, economy, and culture. However, the cooperatives by different ways to launch have the different effects on their region environment. Secondly, it expounds the co-evolution relation between region environment and cooperatives. For the purpose of searching for and creating competitive advantages, the farmer specialized cooperatives come into being and develop in dynamic environment. As well as, the development of cooperatives can push region environment to achieve a new status.Chapter Seven is the last part of the paper. Main findings are concluded and further study programs are suggested in this study.更多还原