【摘要】 家庭承包经营体制的最大成功在于重建了农户经济,形成了一套有效的激励机制,极大地释放了生产力,为农业和城乡工业化同时发展为特征的国民经济高速发展奠定了微观基础。然而,我国“三农”问题的许多深层次问题远远不是农户家庭承包经营制度本身所能解决的,特别是农民收入增长缓慢、城乡差距不断扩大、农户的超小规模经营难以适应大市场的要求。究其深层次的原因,并不在于家庭承包经营制度本身,而更多的是由于这一制度之外农户经营的组织化程度较低,因此必须进行组织制度创新。农户经营以农户为主体、农业为客体,引导农户进行组织创新必须从农业产业组织化和农户组织化两个方面展开,通过培育农业产业化经营组织和构建农民专业合作经济组织两种途径,整合、构建出促进农户经营组织化发展的产业组织体系。从整个农业生产和经营角度来看,不管是农业产业化经营组织还是农民专业合作经济组织都可以改变以往单个农户在市场中的不利地位,而其能否发生必然遵循制度创新的成本—收益原则。由于目前学术界普遍重视对农户经营组织创新的动因和收益的研究,而忽视了对组织创新的层次性、组织成长机理及其与农业产业关系的分析,因而很难揭示我国农户经营组织创新缓慢发展的深层原因。本文正是基于这样一个背景,以农户为基点,以农户经营为分析视角,以市场为导向,以延伸和稳固农业产业链、推进现代农业发展和促进农民增收为目标,以农业产业化经营组织和农民专业合作经济组织及其整合为主要内容,以产业组织理论、合作经济理论等相关理论和国内外研究动态为基础,采用规范分析与实证分析相结合的方法,对农户经营的内涵、功能、农户经营组织及农户经营组织化等内容进行分析的基础上,沿着农村经济体制→农户经营行为及其绩效→农户经营组织化行为选择→农户经营组织体系构建这样一个分析思路,通过实际调查,按照理论与实际相结合的原则,基于农地制度变迁等农村经济体制变化对农户经营行为影响及其绩效分析,总结出农户经营组织化行为选择的特征;通过对农户经营组织化发展的国际比较与现状分析,探询农户经营组织化发展的路径选择;对农户经营组织创新的组织层次性、内在机理及其影响因素进行理论分析和实践检验,并在此基础上提出了农户经营组织化的互动成长发展模式及其成本化解的思路和若干政策建议。本研究包括七章,各部分内容简介如下:第一章导论。本章主要阐述了论文的选题背景、研究目的和意义,论述了农户经营组织的国内外研究动态,说明了本文研究的思路、方法和可能的创新之处。第二章农户经营组织化的理论基础。本章具体分析了农户经营的内涵、性质与功能,对农户经营组织及农户经营组织制度进行界定,进一步阐述了农户经营组织化的内涵、必要性、现实可能性、具体内容及其相关理论,为后面的分析作理论支撑。第三章基于农村土地制度变迁的农户经营行为分析。本章以农户经营行为分析为切入点,运用产业组织理论的分析框架,基于农地制度变迁等农村经济体制变化对农户经营行为的影响及其绩效进行分析,总结出现代农户经营的组织化行为特征,论述了农户经营组织化行为选择的必要性。第四章农户经营组织嬗变及其逻辑启示。本章从农业产业化经营组织和农民合作经济组织两个方面,阐述了国外农户经营组织的历史演变趋势、动因、特点以及对我国的经验启示,进一步分析我国农户经营组织的历史演变趋势、动因及存在的问题。结合国内外实践,对我国农户经营组织化发展的逻辑启示是:在稳定和坚持农户经营的前提下,培育农业产业化经营组织,构建农民专业合作经济组织,进而整合、构建促进农户经营组织化的成长发展多组织支撑体系,并通过政府支持体系的保护,建立促进农民增收的长效机制。现有的农户经营行为特征、行为选择及其绩效已经为这一体系的构建提供了很好的实践基础。同时,这也是以后各章研究的逻辑起点。第五章农业产业化经营组织培育。本章具体分析了农业产业化经营的内涵、内部环境及其运行条件,总结我国目前农业产业化经营组织形式,并对其内在运行机制的逻辑关系及其适应性进行分析、评价,剖析农业产业链不能延伸和稳固发展的原因,优化选择出“企业+农民专业合作经济组织+农户”这一符合我国实际的农业产业化经营组织发展的一般形式,并提出构建农民专业合作经济组织的必要性。第六章农民专业合作经济组织构建。本章具体分析了农民专业合作经济组织的内涵、类型及内在逻辑关系,通过对合作社组织原则进行国际比较,分析我国农民专业合作经济组织的构建原则,并对农民专业协会、专业合作社等农民专业合作组织的内在运行机制及其边界进行深入剖析,从而构建出“专业协会→专业合作社→农产品行业协会”逐级递进的农民专业合作经济组织体系及其成长的发展模式,探询其运行的有效性,促进农业产业链巩固和发展,并提出进一步对两种组织链进行整合的必要性。第七章农户经营组织整合。本章根据第五、六章的研究结果,依据两种组织发展的内在逻辑,构建促进我国农户经营组织化的互动成长模式,建立促进农民增收的长效机制,并进行实证分析,进而对我国农户经营组织化发展提出建议和对策。

　　【Abstract】 The success of the household contract responsibility system lies in reconstruction of individual farmer economy, establishment of a set of effective encouraging mechanism, relieved productivity, and the micro-foundation for future agricultural development and the fast-developing national economy with the city-country industrialization developing at the same time. However, many problems in agriculture and villages could not be resolved by the household contract responsibility system, especially when the farmer income growth is slow-moving, the income margin between the city and the country extends continuously, the small-scale operating pattern of the farmer household could not adapt to the request of the greater market. The reason does not lie in the household contract responsibility system itself, but more in the low farmer household organization system. Therefore, an innovative organization system has to be carried on. The farmer household management takes the farmer household as the subject, agriculture the object, in guiding farmer households to carry on organization innovation to make the agriculture industry and farmer households organized. From agricultural production and management as a whole, disadvantaged position of individual farmer household in the marketplace could be changed through industrialized agricultural operation and specialized farmer cooperation, which must be the result of the cost and gain principle of system innovation. Owing to a general emphasis on the research into the motive and gain of organization innovation of farmer management, and a neglect of the level of organization innovation, development mechanism organization and an analysis in regard to the relation with agricultural industrialization, the deeper reason underlining the slow progress in organization innovation of farmer management in China could hardly be revealed.Against such a background, this thesis puts forward an interactive growth and development model, cost digestion and countermeasures for organization of farmer household management on the basis of theoretical analysis and practical testing of organization level, internal mechanism and affecting factors of organization innovation of farmer household management, on the target of extending and the farming agriculture industry chain, pushing forward a modern agriculture development and promoting the farmer income increase, starting from farmer households, looking at farmer household management, following land system change in rural China, focusing on the market, industrialized agricultural management and farmer household cooperation management, on the basis of analyzing content, function, right and arrangement system of farmer household management, farmer household management organization, along an analytical way of village economic system to farmer household management behavior and its results to behavior choice of farmer household management organization to set up farmer household management organization system, basing on industrialization organization, cooperative economy theories, together with the latest research findings from home and abroad, through on-the-spot investigations and combining theories with practice, taking advantage of system change and innovation theories of systematic economics. This thesis includes seven chapters, the brief contents of each part is as follows:Chapter 1, Introduction, deals with the background, target and importance, relevant research findings at home and abroad, and planning, methods and possible innovation of the research.Chapter 2, Theoretical Background of Farmer Household Organization, carries out a detailed analysis as regards connotation, nature, function of farmer household and its management in China, defines farmer management organization, compares the similarity and difference between farmer household organization and farmer household organization system, further elaborates the content, necessity, feasibility, content and relevant theories of farmer household organization to lay the theoretical foundation for further analyses in the following chapters.Chapter 3, Behavioral Analysis of Farmer Household Management on the Basis of Land System Change in Rural China, carries out specific analysis as to behavioral pattern and deep-level reasons for the low agricultural industrialization and farmer household organization in modern China through property and distribution system arrangement in rural land change, and their effects on farmer household management and benefits on the basis of industrialization organization theories.Chapter 4, Development and Implication of Farmer Household Organization, reveals the fact that because of the lack of organization links between farmer households, agricultural industrialization links could not extend or develop steadily to form an industrialized agricultural management pattern that is most suitable to the Chinese reality on the basis of an analysis of the connotation, influencing factors, pattern and operating mechanism of industrialized agricultural management.Chapter 5, Cultivation of Industrialized Agricultural Management Organization, concentrates on a detailed analysis of the connotation, internal and operating conditions of industrialized agricultural management organization, summarizes its form in China today, investigates and assesses its internal operating mechanism and adaptability, concludes the reason why industrial chains of agriculture could not extend and develop steadily, and formulates a general developmental pattern of“the leader enterprise + the agricultural product profession association + professional cooperation organization + professional association+ farmer household”that is most suitable to the Chinese realities for industrialized agricultural management organization.Chapter 6, Construction of Specialized Farmer Cooperation Economic Organization System, puts forward a developmental pattern of“Professional association→professional cooperation organization→agricultural product profession association”of specialized economic cooperation organization system of the farmer that is progressive at different levels after detailed analysis concerning the connotation, type, developmental trend and inevitability of special economic cooperation organization of the farmer, careful international comparison of cooperation organization principles, and in-depth investigation of internal operation mechanism and external border of special cooperation organization of the farmer in the form of special farmer societies and special cooperative unions.Chapter 7, Integration of Farmer Household Management Organization, suggests an interactive growth pattern that could promote the development of farmer household management organization in China and establish a long-term mechanism in regard to income increase of the farmer on the basis of Chapters 5 and 6, and puts forward ways and countermeasures concerning farmer household management organization development in China on the basis of empirical analysis.

　　【关键词】 农户经营； 组织化； 农业产业化经营组织； 农民专业合作经济组织；

　　【Key words】 farmer household management； organization； industrialized agricultural management organization； specialized economic cooperation organization of the farmer；