【摘要】 进入20世纪90年代后期,我国农业和农村发展进入新的历史阶段,市场成为制约农业结构调整的主要因素。面对农业日趋市场化、国际化的新形势,一家一户分散经营的农民如何规避自然风险和市场风险,更好地走向市场,成为我国农业和农村经济发展的一个重大课题。国内外的实践经验表明,要解决这个问题,必须依靠建设和发展以农民专业合作社为主要形式的农民专业合作经济组织,提高农民的组织化程度。随着《农民专业合作社法》的颁布实施,我国的农民专业合作社将进入依法发展的新阶段。研究和探讨农民专业合作社的制度安排与运营绩效,对于提高我国农业生产经营效率、增加农民收入有着重要的意义。本研究以进一步提高我国农民专业合作社的运营绩效为出发点,主要围绕现实中的两个问题,即“决定一个合作社内部契约选择行为的关键性因素有哪些?不同产权类型合作社的组织形式、行为特征以及经济绩效的发展规律及内在联系如何?”展开研究,综合运用农业经济学、产业经济学、新制度经济学和计量经济学等原理,首先以制度分析为主要研究方法,对农业合作社产权结构演进的动力机制进行分析；然后在此基础上,建立起一个内部契约选择影响因素的计量经济模型,并采用回归分析的方法对其进行实证检验；最后分别以比较分析和案例分析的方法对农民专业合作社结构、行为与绩效关系进行了归纳总结,以期从中发现影响农民专业合作社运营绩效的关键性因素。本研究可能的创新点是：首先,提出了一个“契约化”的动态研究视角,来分析农民专业合作社的产权结构和组织形式问题；其次,构建了一个拓展的“状态—结构—行为—绩效”(SSCP)范式,对合作社制度结构与运营绩效之间的深层逻辑关系进行探讨；最后,以合作社的契约模式选择为研究对象,首次对合作社内部契约模式的影响因素进行量化分析,以此来发现组织内部的契约行为规律。本文共分为八章。其中的主要章节统一于“状态—结构—行为—绩效"(SSCP)的基本逻辑框架之中,各章主要内容及结论如下：第1章是导论部分。从我国农民专业合作社发展的现实背景出发,本章提出了全文的研究目的和研究意义,廓清了一些容易混淆的概念,并界定了本文的研究对象；随后,提出了全文的研究假设、基本思路和研究方法,并总结了研究中可能的创新与不足之处。第2章是相关理论与文献回顾。相关理论方面,概括了本项研究中所运用的几种新制度经济学理论,包括交易成本理论、契约理论和制度变迁理论；文献回顾方面,分别介绍了西方农业合作社理论已取得的研究成果,以及新制度经济学(NIE)视角下国内外合作社理论研究的最新进展。第3章是关于农业合作社的一个理论分析框架。首先,从纵横一体化的角度,将农业产业组织的协调方式分为市场机制、合作机制和一体化机制三种,并对其进行了比较分析；其次,阐述了威廉姆森交易成本理论对组织问题的研究,即对交易特性、契约形式以及治理结构关系的探讨；最后,提出了本项研究所遵循的“状态—结构—行为—绩效”(SSCP)分析框架。第4章是农业合作社的本质属性与产权安排分析。本章在考察国际合作社原则演变的基础上,对合作社的本质规定性和组织特性(包括主、客体特性)进行了阐述；然后,分别从横向和纵向比较的角度,分析农业合作社产权结构的一般特征及类型；最后,分析了传统合作社产权结构的演变趋势,并从制度变迁的视角对这一结构偏离的现象进行深入的剖析,认为传统农业合作社的内在制度缺陷(如决策过程效率低、融资受限等),使组织产生了制度演化的动力和内在要求,并且在这些组织创新行为的背后,要素相对价格的变动是导致初始制度结构发生变迁的根本原因,而创新主体的偏好则通过其主观模型影响着制度在边际上的调整。第5章是农民专业合作社的契约模式选择分析。本章从我国农民专业合作社发展的现实状况出发,以契约选择为研究视角,分析和比较了合作社内部存在的商品契约和要素契约这两种契约类型。对于究竟是选择哪种契约类型的问题,本文将交易成本因素引入拓展后的理论模型,建立一个新的解释性模型,其含义是：制度结构的相关因素会直接影响组织对内部契约安排的选择；同时,组织的制度安排必须与交易环境相容,避免产生过高的交易成本。基于江西赣州市98家农民专业合作社的实证研究发现,合作社自身的组织结构特征对其契约选择行为的影响较显著；在合作社所处的环境因素方面,除政府扶持力度因素的影响显著外,其余因素对契约选择的影响并不明显；在交易成本方面,谈判成本因素和监督成本因素对契约选择的影响均显著,但信息成本因素的影响并没有显现出来。第6章是农民专业合作社的运营绩效评价。本章首先设计了包括组织收益、社员收益、内部治理、发展潜力和社会影响五个方面的13个指标,作为农民专业合作社的绩效评价指标体系的依据。在运用AHP的主观分析方法确定各个度量指标的权重之后,本章运用绩效评价指标体系,对江西赣州市的40家样本合作社的绩效进行综合排名和评价。实证结果表明,农民专业合作社的总体绩效不高,处于一个中等或偏下的水平；在组织和社员方面均具备一定的创收能力,但内部治理结构尚不完善；目前合作社尚处于发展的初级阶段,竞争能力还比较弱,但未来的发展潜力较强,前景比较乐观。然后,本文采用因子分析法对该体系进行了验证。结果表明,本项研究对因子层指标的分类大致合理,所建立的合作社绩效评价体系基本上是合理和可行的。最后,通过对三种不同产权类型合作社的组织形式、行为特征以及经济绩效的异同进行比较分析,归纳和总结了三者的内在联系,并得出结论：判定某一合作组织是否是有效率的,不能仅根据其组织形式或产权结构来判断,关键要看组织内部制度安排的适宜性及其与外部环境的相容性。第7章是农民专业合作社发展模式的国际经验及启示。本章综合考察了法国、日本和美国等典型农业发达国家的农业合作社发展模式,分析、比较和概括了它们在组织结构、经营内容和运作模式等方面的特点,并根据这些成功经验提出了对我国农民专业合作社发展的几点启示。第8章是结论与政策建议。本章总结了全文的主要研究结论,并结合这些研究结论,从内部制度安排、外部制度环境、成员素质提高、组织间联合以及政府分类指导五个方面给出了相应的对策建议。

　　【Abstract】 By the late 1990s, the agricultural and rural development in China has entered a new historical stage, the market became a main factor that constrained the adjustment of agricultural structure. When facing the new situation of increasingly market-oriented and international in agriculture, the decentralized farmers how to avoid the natural risks and market risks and enter into the market successfully, has become a major issue of agricultural and rural economic development in China. Domestic and international experience shows that, in order to solve the problem, we must rely on the construction and development of farmer cooperative organizations which has the main form of farmer specialized cooperative, to increase the level of farmers’organization. With the the promulgation and implementation of "Farmers’Professional Cooperative Law", farmer cooperatives in China will enter a new stage of development according to the law. Researching on the institutional arrangements and the operational performance of farmer professional cooperatives is significant for improving the efficiency of agricultural operation and increasing the peasants’income.The aim of this study is to further improve the operational performance of farmer professional cooperative. It mainly focus on the two issues in reality:What are the key factors that determine the behavior of contract selection within the cooperative? How about the development law and the internal relations of organizational forms, behavioral characteristics and economic performance in different types of cooperatives? This paper uses the agricultural economics, industrial economics, new institutional economics and econometrics comprehensively. Firstly, it analyzes the dynamic mechanism of the ownership structure’s evolution exist in agricultural cooperatives with the main research method of institutional analysis; then, on this basis, it establishes an econometric model of factors that affecting the cooperative’internal contract selections, and gives an empirical test to the model through regression analysis method; lastly, it summarizes the relationships between the structure, the behavior and the performance within farmer professional cooperative respectively through the methods of comparative analysis and case studies, in order to discover the key factors affecting the operational performance of farmer professional cooperative.The innovation of this study may be:firstly, it proposes a dynamic perspective of "contract" to analyze the ownership structure and organization mode of farmer professional cooperatives; secondly, it establishes a expanded "situation-structure-conduct-performance"(SSCP) paradigm to discuss the relationship between the institutional structure and the operational performance of farmer professional cooperatives; finally, it chooses "the contract mode selection" as its research object and quantitatively analyzes the factors affecting the internal contractual modes of farmer professional cooperatives, in order to discover the law of the contractual behavior within the organization.This paper is divided into eight chapters. The main chapters are unified in the basic logic framework of "situation-structure-conduct-performance"(SSCP), the main contents and conclusions of each chapter are as follows:Chapter 1 is the Introductory section. From the realistic background of farmer cooperative development in China, the chapter proposes the purposes and significance of this study, clarifies some confusing concepts, and defines the object of this study, then it proposes the research hypotheses, basic ideas and research methods of this paper, and summarizes the possible innovations and shortcomings in this study.Chapter 2 is the relevant theories and literature review section.The relevant theories part summarizes several new institutional economics used in this study, including transaction cost theory, contract theory and institutional change theory; the literature review part introduces both the research results western agricultural cooperatives has made and the he latest development in cooperative theories home and abroad from the perspective of NIE.Chapter 3 is a theoretical framework about the agricultural cooperatives. Firstly, from the perspective of vertical and horizontal integration, the chapter divides the coordination of the agricultural industrial organization into three kinds:the market mechanism, the cooperation mechanisms and the integration mechanisms, then it gives the comparative analysis of the three; Secondly, the chapter explains Williamson’s research on the organization with transaction cost theory, namely, the discussion about the relationships between transaction characteristics, contract forms and governance structure in an organization; Finally, it puts up a "situation-structure-conduct-performance" (SSCP) framework by which this study follows.Chapter 4 is the the analysis of essential attribute and the property arrangements of farmer professional cooperative. This chapter first describes the nature and organizational characteristics of cooperatives (including the subject and object properties) based on the investigation of the evolution of the international cooperative principles; then, respectively, it analyses the general characteristics and types of ownership structure in agricultural cooperatives from the perspective of both horizontal and vertical comparisons; Finally, the chapter analyses evolution trend of ownership structure in traditional cooperatives and the phenomenon of deviation from this structure in depth with the institutional change theory. It argues that it’s the internal institutional defects in traditional agricultural cooperatives, such as low efficiency in decision-making process, financial constraints, etc., that enables the organizational institution to change, further more, in the back of these innovative behavior, the relative factor price changes was the root cause of initial institutional change and the preferences of the innovators may affect the marginal institutional adjustment through the subjective model.Chapter 5 is the analysis of contract selection of the farmer professional cooperative. Based on the reality of cooperatives’development in China, this chapter analyses and compares two different types co-exist within the cooperatives:commodity contract and factor contract from the perspective of the contract selection. To the question of which types of contracts to choose, the paper introduces the transaction cost factor into the expanded theoretical model and establishs a new explanatory model. The meaning of this model is that the relevant factors of institutional structure may directly affect the contractual arrangements within organizations, meanwhile, the organization’s institutional arrangements must be compatible with the trading environment, to avoid the excessive transaction costs. Through the empirical study on 98 farmer cooperatives in Ganzhou, Jiangxi Province, it founds that the organizational structure factor of cooperatives has a significant effects on the behavior of contracts selection; in terms of environment which the cooperatives lives in, all the factors have not significant effects on contracts selection except the government support factor; in terms of transaction costs, both the negotiation cost and the monitoring costs are significant in affecting the contracts selection, but the effect of the information cost is not revealed.Chapter 6 is the performance evaluation of farmer professional cooperatives. This chapter first designs 13 indexes from the aspects of organizational benefits, membership benefits, internal governance, development potential and social impact, as the basis of performance evaluation index system of farmer professional cooperative. After determining the weights of all indexes with subjectivity of AHP, the paper ranks and evaluates the performance of the 40 sample cooperatives investigated Ganzhou, Jiangxi Province by the performance evaluation index system. The empirical results show that the overall performance of farmer professional cooperative is in a medium or lower-level; the cooperative has a certain income-generating capacity in the aspect of both the organization itself and its members, but the internal governance structure is not perfect yet; the current cooperative is in the early stages of development, though its competitiveness is still weak, it has strong potential for future development. Then, the paper uses factor analysis to test the system. The results shows that the classification of the factor level in this study is generally reasonable, and the established performance evaluation system of cooperatives are basically reasonable and feasible. Finally, the paper compares the differences in organizational forms, behavior characteristics and economic performance of three different ownership types of cooperatives, and summarizes the internal relations of them. Then it concludes that when judging whether an organization is efficient or not, one should not only according to its organizational form or ownership structure, but also depends on the appropriateness of the institutional arrangements within the organization and its compatibility with the external environment.Chapter 7 is the international experience and enlightenment from the development model of farmer professional cooperative. This chapter comprehensively studies the agricultural development model in France, Japan and the United States and other typical developed countries. It analyses, compares and outlines their characteristics in organizational structure, main business and operational mode. Then based on these successful experiences, it puts forward some enlightenment to the development of farmer professional cooperative in China.Chapter 8 is the conclusions and policy recommendations. This chapter summarizes the main conclusions of the full paper, and combining with these research findings, it puts forward corresponding countermeasures from the aspects of the internal institutional arrangements, the external institutional environment, the quality improvement of members, the joint between the organizations, and the government guidance by classification.

　　【关键词】 农民专业合作社； SSCP范式； 产权结构； 契约选择； 运营绩效；

　　【Key words】 Farmer Professional Cooperative； SSCP Paradigm； Ownership Structure； Contract Selection； Operational Performance；