【摘要】 随着我国农业市场化、国际化程度的不断加深,农户分散经营的小生产与社会化大生产和国内外大市场的矛盾日益尖锐,在新的市场环境下,发展农民专业合作社既是我国农业现代化和社会主义新农村建设的迫切需要,也是提高我国农业国际竞争力和解决“三农”问题的一项治本之策。但是,经过近30年的发展,我国农民专业合作社始终在低水平上徘徊,难以有效发挥应有的组织优势和社会经济功能,能够反映农民专业合作社本质特征和自我发展需要的制度安排和运行机制一直难以建立,普通成员参与合作的积极性和参与程度低是长期困扰我国农民专业合作社发展的突出问题。经济利益是人类一切经济活动的直接目的或最终目的,作为成员自愿联合的组织,农民专业合作社发展的动力和目标是各类参与主体通过合作增加自身利益,因此,建立健全公平合理的利益机制是农民专业合作社发展中的关键问题。针对学术界尚缺乏关于我国农民专业合作社利益机制形成和运行效果系统研究成果的状况,本文基于立法后我国农民专业合作社发展的现实背景,以江苏省农民专业合作社发展为例证对象,运用新制度经济学的相关理论,建立了合作社制度安排、利益机制、成员合作行为和组织绩效之间关系的一般分析框架,并通过问卷调查、典型调查和计量分析,对我国农民专业合作社利益机制的现状、影响因素及其对组织成员合作行为与组织绩效的影响进行了实证研究,从成员行为激励和提高组织绩效的角度,对影响我国农民专业合作社发展的内外部因素进行了系统分析,并根据研究结论提出了相应的政策建议。全文分为9个部分,研究的主要内容和结论如下：研究内容一：立法后我国农民专业合作社的发展和利益机制的现状通过文献梳理和对江苏省农民专业合作社问卷调查资料的统计分析发现,立法后我国农民专业合作社数量虽然获得了快速增长,业务领域和服务功能进一步拓宽,但发展中存在的各种问题依然突出,农民专业合作社在自身制度建设和运行机制中普遍存在着股权过于集中、民主管理机制薄弱和按惠顾额返还盈余分配制度不健全的问题,相当部分的合作社自我发展能力和带动农户增收能力还较弱。研究内容二：农民专业合作社利益机制影响因素的实证分析利用对江苏省205个农民专业合作社的问卷调查资料,采用Logistic模型和多元线性回归模型对影响农民专业合作社利益机制的内外部因素进行了实证研究。研究结果表明,按惠顾额返还盈余利益分配机制的形成主要受合作社成员构成的同质性、成员广泛持股的产权结构和民主治理机制的影响,合作社团体成员数越少,普通社员持有合作社股份和合作社民主选举、民主决策、民主监督机制越健全,合作社按惠顾额返还盈余的比例越高；政府的财政扶持政策和财务监督对于合作社是否进行盈余分配和建立价格保护与优惠机制发挥了积极的引导作用,但对于按惠顾额返还盈余分配机制的形成没有显著影响；外部社会经济环境和市场竞争环境、政府对于合作社领导人的奖励对利益机制的形成没有明显影响；合作社服务功能进一步向产前、产后领域拓展对于合作社利益联结机制的完善具有积极作用。研究内容三：农民专业合作社成员合作意愿及其影响因素的实证分析基于计划行为理论建立的农民专业合作社成员合作意愿与行为及其影响因素的分析框架,利用对江苏30个合作社243户成员的调研数据,采用有序probit模型,分别对合作社成员扩大生产规模的意愿、入股或增加股份的意愿、与合作社保持稳定交易关系的意愿以及参与合作社管理和事务的意愿和退出合作社的意愿及其影响因素进行了研究。研究结果表明：我国农民专业合作社成员合作意愿不够强烈,大多数成员缺乏向合作社投资和参与管理的积极性,近1/4的成员与合作社的交易关系不够稳定；成员的合作认知、获得的合作收益、对管理层的信任、合作社的制度安排和利益机制以及成员的某些个人因素、在合作社中的角色和家庭经营因素都对成员的合作意愿有显著影响,但不同因素对成员不同方面的合作意愿影响不同；获得的各项利益和实惠是影响成员合作意愿和行为最直接的因素和根本因素；合作社的制度安排和利益机制是影响成员合作意愿和行为的关键因素,其中,按惠顾额返还盈余的利益分配机制对成员扩大生产规模的意愿、入股意愿、参与管理和事务的意愿具有显著的正向影响,合作社的民主决策和管理制度对成员参与管理和事务意愿、退出意愿具有显著的正向影响；合作社的社员股金制度对成员扩大生产规模的意愿和稳定惠顾的意愿具有显著的正向影响,合作社设立成员个人帐户对成员参与管理以及退出意愿有显著的正向影响,合作社成员退出制度对成员扩大生产规模的意愿和退出意愿具有显著影响。此外,成员对合作社制度的认知程度以及对合作社管理层的信任程度对其参与合作的意愿和行为具有显著的正向影响。研究内容四：农民专业合作社制度安排、利益机制及其与成员合作行为和组织绩效关系的实证分析利用对江苏省205个农民专业合作社的问卷调查资料,采用结构方程分析模型,对农民专业合作社的制度安排、利益机制、成员合作行为之间的关系以及各因素对合作社组织绩效的影响进行了实证分析。研究结果表明：农民专业合作社的产权与治理结构是影响利益机制形成和运行的主要因素和根本因素,也是影响成员合作行为和组织绩效的根本因素；利益机制是决定和影响成员合作行为的主要因素和直接因素,不仅在较大程度上影响和制约产权与治理结构对成员合作行为的激励效应,而且对合作社组织绩效具有重要影响；成员合作行为是影响合作社组织绩效的直接因素和主要因素,合作社的制度安排和利益机制在很大程度上通过影响成员合作行为而影响合作社组织绩效。总之,成员广泛持股的产权安排和民主参与的治理机制是形成按惠顾额返还盈余为主的利益机制的重要条件和基础,农民专业合作社的产权安排、治理结构和利益机制相互联系、相互制约,共同决定了成员合作行为和农民专业合作社的组织绩效。

　　【Abstract】 With the deepening of agricultural internationalization and marketization, the conflict among farmers’small-scale production resulting from decentralized management, socialized production and domestic and international market is being acute increasingly. Under new market situation, the development of farmer specialized cooperative is not only the urgent need for agricultural modernization and new socialist countryside construction, but also a fundamental strategy for improving the international competitiveness of China’s agriculture and resolving the problems regarding agriculture, rural areas and farmers. However, after nearly 30 years of development, farmer cooperatives in China can’t effectively exert organization advantages and economic function, still pacing up and down at a relatively low level. It’s hard to establish the related institutional arrangement and operating mechanism which can reflect essential characteristics and self-development needs of farmer cooperatives. Ordinary members’low enthusiasm and extent of participating in cooperation has long troubled the development of the cooperative.Economic interest is the ultimate or direct goal of all economic activities. Farmer specialized cooperative is an organization united voluntarily by its members, the motivation and goal of which is to increase the interest of various participants through cooperation. Therefore, establishing and improving fair and reasonable interest mechanism is very important for the development of cooperative. Since the present research lacks systematic analysis of the formation and operating results of interest mechanism of the farmer specialized cooperatives in China, this paper takes the development of farmer specialized cooperatives in Jiangsu province as example based on realistic development background of the cooperative in China after Legislation, and uses the concerned theories of new institutional economics, establishes general analytical framework which indicates the relations among the cooperative’s institutional arrangement, interest mechanism, members’ behaviors and the performance of organization. Through the questionnaire survey, typical survey and statistics and quantitative analysis, empirical analysis of present situation and influence factors of interest mechanism of farmer specialized cooperative in China, and their influence on members’cooperative behaviors and organizational performance is made. From the point of view of motivation of members’ behavior and improvement of organizational performance, the paper systematically analyzes the internal and external factors which influence the improvement of farmer specialized cooperative in China, and puts forward corresponding policy and recommendations according to research conclusion.This paper consists of nine chapters, and the main contents and conclusion are as follows:Part one is on the improvement of farmer specialized cooperative in China after legislation and the present status of interest mechanism.Through the literature review and statistical analysis of questionnaire survey data of farmer specialized cooperatives in Jiangsu province, we find that although the number of the cooperative grows rapidly, and business fields and service function are further expanded, but problem in the development is still outstanding, such as equity concentration, weak democratic management mechanism, unsound surplus distribution system according to the amount of transaction, and some cooperatives’capabilities of self-development and increasing farmers’income are still very weak.Part two is empirical analysis of the influencing factors of interest mechanism of farmer specialized cooperative.Based on questionnaire survey data of 205 farmer specialized cooperatives in Jiangsu province, and logistic model and multivariate linear regression model and the empirical research on internal and external factors which affect interest mechanism of farmer specialized cooperative is made. We find that formation of surplus distribution system according to the amount of transaction is mainly influenced by the homogeneity of its members, property right structure of members’extensive holdings and the influence of democratic governance mechanism. The less members, the more perfect democratic election, democratic decision-making, democratic supervision mechanism, the higher the ratio of surplus distribution according to the amount of transaction. And the supportive policy and financial supervision from the government play a positive role in surplus distribution and establishment of price protection and preferential mechanism. But government policy doesn’t have significant influence on the establishment of surplus distribution system. External social economic and market competition environment and the rewards for leaders of cooperative from government can’t create obvious influence on the formation of interest mechanism. The further expanding of service function of the cooperative to the prenatal and postnatal areas had a positive effect on the improvement of interest mechanism.Part three is on the empirical analysis on members’willingness to cooperate and its relative influencing factors.By using analysis frame of members’ willingness, behavior to cooperate and its influencing factors, which is based on theory of planned behavior, and survey data of 243 household members of 30 cooperatives in Jiangsu province, and adopting orderly probit model, this paper presents a thorough study on members’willingness to expand production scale, become a shareholder or increase shares and remain stable trade relationship with cooperatives, participate in cooperative management and affairs, also the willingness to exit cooperative, and the relative influencing factors. The results of the study show that members’willingness to cooperate is not strong in China; most members lack enthusiasm for participating in management and investing in the cooperatives; nearly a quarter of the members don’t have a stable trade relationship with cooperatives. Many factors have significant effect on members’ willingness to cooperate, such as the members’cooperative cognition, benefit from cooperation, and their confidence in the management, Institutional arrangement of the cooperative, interest mechanism, and the difference in Individual factors and organization role in cooperative and household operation. But different factors have different influence scope, and various interest and benefits from the cooperatives are the most direct and fundamental factors which can affect members’ cooperative willingness and behavior.The cooperative institutional arrangement and interest mechanism is the key factor which affects members’behavior and willingness to cooperation. The interest mechanism that surplus is distributed according to the amount of transaction, has significant positive effect on the members’willingness to enlarge production scale, buy a share and participate in cooperative’s management and affairs. Cooperatives’ democratic decision-making and management system also have a significant positive impact on the members’willingness to participate in the management and affairs and exit cooperative.The cooperative member’s willingness to enlarge production scale and maintain transaction is very significantly influenced by the system of member’s stake. Members’ individual accounts set by the cooperative have significant positive effect on members’ willingness to participate in the management and exit cooperative, and the cooperative’s system for member’s exiting has a significant impact on the member’s willingness to enlarge scale and exit the cooperative. In addition, member’s awareness of the cooperative system and their confidence in the management of cooperatives has significant and positive influence on member’s willingness to cooperate and behavior.Part four is on the analysis of relationship among institutional arrangement of farmer specialized cooperatives, interest mechanism, cooperative behavior between cooperative and member, and the organizational performance.On the basis of questionnaire survey data of 205 farmers’ professional cooperatives in Jiangsu province and structural equation analysis model, empirical analysis of the Institutional arrangement, interest mechanism and members’behavior and their influence on organizational performance is made. The results show that property right and governance structure are the main and fundamental factors which affect the formation and operation of the interest mechanism; the interest mechanism is the main and direct factor that determines and influences the members’cooperative behavior, which to a greater extent, not only influences and restricts the incentive effects of ownership and governance structure on cooperative behavior, but also has an important influence on organizational performance of cooperative; member’s cooperative behavior is the direct and main factor that influences the organizational performance. To a large extent, cooperative institutional arrangements and interests of mechanism affects organizational performance through members’cooperative behavior.In short, the important condition and infrastructure of interest mechanism, which is dominated by the principle that surplus distributed according to the amount of transaction, is the property right arrangement of members’extensive holdings, and governance mechanism of democratic participation. Property right arrangement, governance structure and interest mechanism are interrelated and restrained each other, which jointly determine members’ cooperative behavior and performance of the cooperative.

　　【关键词】 农民专业合作社； 利益机制； 成员合作行为； 制度安排； 组织绩效；

　　【Key words】 Farmer specialized cooperative； Interest mechanism； Members’ cooperative behavior； Institutional arrangement； Organizational performance；