【摘要】 新型农民专业合作经济组织在我国已经有20多年的发展历史,这种成员所有、民主控制的组织对我国农村市场化建设、农民收入提高、农业产业化的发展都有着积极促进的作用。我国的农民专业合作经济组织还处于初级阶段,在国内的调查中,我们发现农民专业合作经济组织发展缓慢的问题可以归纳为两个:一是农民多数缺乏专业知识,不能有效的参与组织管理,很多合作组织都是发起人自己管理,农民对合作经济组织不参与导致合作经济组织人力资源缺乏使其并没有发挥应有的作用;另一方面农民对合作经济组织和其领导人信任程度较低,不投资不入股造成合作经济组织资金缺乏。资金和人力资源缺乏,农民专业合作经济组织发展状况自然不容乐观,解决这两个重要问题需要从“人”的因素出发,从农民的角度出发分析成员意愿和行为对症下药,改变他们的思想,提高农民专业素质与合作意识,研究“人的因素”也就是对成员意愿和行为的研究。在前人的研究中,大多数研究集中于农民专业合作经济组织的制度和经济因素分析,对合作制度特性、合作制度变迁、产权安排、治理结构、制度环境、政府的宏观法律、扶持政策、合作模式等进行了理论探讨和实证分析,这些探索和研究对于中国农民专业合作经济组织的发展起到了推动作用,具有实践和理论的积极意义。但是前人的研究忽视了对农民专业合作经济组织中合作主体——农民的研究,农民是合作的基础和主体,没有农民参与合作是没有生命力的。农民参与合作不仅仅是一种经济活动也是一种社会活动,所以本文将农民作为研究的第一视角,将社会学和心理学的研究方法引入农民专业合作经济组织的研究当中,在肯定“经济因素”作用的基础上从农民专业合作经济组织中“人的因素”作为切入点,以计划行为理论即TPB(Theory of Planned Behavior)理论为框架分析农民对合作的态度和意见,以作者在芬兰和陕西宝鸡、杨凌、阎良、临潼获得400份调查问卷为分析案例,通过系统的对农民专业合作经济组织中“人的因素”的定性和定量的分析,找到影响农民加入合作、成员参与合作经济组织管理以及农民投资合作经济组织等意愿、行为的影响因素,通过分析这些因素的作用,以及成员意愿和行为对组织发展的影响,为今后如何提高农民参与合作的积极性、合作组织制度的改进提出有效地建议。研究农民专业合作经济组织中“人的因素”,首先要对农民的人性进行假设,通过对管理学经济学人性假设回顾,本文在前人的基础上提出人性预测模型和七点农民人性的假设,⑴利己基础上的合作;⑵机会主义;⑶追求公平;⑷厌恶风险;⑸自主性;⑹创新性;⑺具有自发的合作意识,寻找组织归属感。人性的假设是研究“人的因素”的基础。“人”的因素可以界定为成员的意愿和行为,成员的意愿包括:加入组织的意愿、参与管理的意愿、投资意愿、不履行义务的意愿、退出意愿、支持组织改制意愿、违约销售意愿、出售合作股票意愿等;成员的行为包括投票行为、参与成员大会行为、与组织管理者沟通的行为、退出行为等。成员是组织的基础,成员的意愿和行为对组织发展有着决定性的影响。不同的意愿和行为将产生不同的影响,意愿到行为的转化也需要一定的条件,作为组织的管理者可以通过控制这些意愿和行为产生的条件,引导成员行为使成员的目标和组织的目标协调一致。文章在农民人性的假定基础上,以改进的TPB理论作为基础分析框架并将产权理论、委托代理理论、交易成本理论、集体行为理论融入到这个基本的框架中。成员的意愿影响成员的行为,但是有意愿不一定能够产生行为,意愿到行为的转变还需要受到环境的制约。本文问卷调查的主体是成员即已经加入农民专业合作经济组织的农民,但是分析影响他们加入合作经济组织意愿的因素也是有必要的,可以为新的合作经济组织吸引会员提供有益的参考。影响成员加入合作经济组织的因素中,包括个人受教育程度、政府支持力度、当地农民贫富差异程度、农户家庭特征、现有合作经济组织的资产和成员规模。其中个人受教育程度与政府支持力度与农民加入合作经济组织的意愿呈先上升后下降的趋势,也就是说当个人教育程度达到一定程度,如大专文化程度以上农民参与合作的积极性也就下降。政府支持力度也呈现着边际效用递增到边际效用递减的一个过程,说明政府支持应当着重于农民专业合作经济组织组建以及宏观经济政策支持,帮助农民组建合作经济组织,不要过多干预具体的运营业务。当地农民贫富差异程度和现有成员规模与农民参与组织意愿反向相关,农户家庭特征与农民参与组织的意愿成正向相关。资金缺乏是农民专业合作经济组织面临的一大难题。农业是一个弱质性产业,相对于工业、服务业很难得到外来的投资。仅仅依靠政府对合作经济组织的支持和补贴是不能满足其需要的,因此作为合作主体的农民对组织的投资是必不可少的,研究成员的投资意愿具有实践和理论意义。在调查中,大部分成员愿意缴纳会费并投资合作经济组织。在影响农民缴纳会费的意愿因素中,对社会的信任程度和对管理人员选举的关心程度越高的成员缴纳会费的积极性也就越高,而政府支持力度和成员的缴纳会费意愿反向相关,说明政府过度支持有挤出效应。影响成员投资意愿的因素主要有获得贷款的渠道等,不同渠道贷款对农民投资意愿有着较大的影响,此外法律的完善程度、是否受到培训和农民投资的意愿也成正向相关。投资比例是需要解决的问题之一,经过数据统计分析,可以发现年收入在13000元以下的农民不愿意投资,收入超过15000的农民愿意投资的最高额度达到了6273元,比例达到了35%。出于民主、公平目标的考虑,投资的标准可以确定为收入超过13000元农民投资的比例为15%-20%,也就是1500-2000左右,这样既可以满足组织资金的需求又可以照顾不同收入水平成员的实际情况,对于有更高投资需求的成员可以发行无投票权的优先股或债券,既可以保证组织的公平性又可以确保个人投资收益性。投资比例受到收入、年龄、教育程度等多种因素的影响,确定具体的投资额度要求应考虑到当地的实际情况。对成员参与组织管理意愿、不履行义务的意愿和退出意愿采用了logistic分析,通过模型的分析,可以发现成员对组织的信任程度和对管理者的信任程度对这些意愿有着重要的影响,信任程度越高参与管理的意愿也就越高,成员退出意愿也就越低。此外,教育程度、成员间的团结程度、对社会的信任程度、受到过培训频率都对成员参与组织管理意愿有影响。统计结果显示只有少部分成员有退出的意愿,主要是由于年纪比较大要退出农业生产,或者是所在的合作经济组织不能够满足自己的需要。成员支持组织改制、出售股份、违约销售的意愿都不利于农民专业合作经济组织发展,当这三种意愿在条件成熟并转化为行动时合作组织也就面临解体的危险,对这些意愿的影响因素进行分析,可以在制度中进行预防,改变成员的意愿或者控制行为发生的条件避免负面影响发生作用。通过分析可以得到以下结论:⑴成员差异程度越高分歧也就越大,选择不利于组织发展的意愿和行为的可能性也就越大,减少成员的差异性是建设新的农民专业合作经济组织必须重视的问题;⑵法律制度的完善、组织制度的完善对于减少成员违约销售意愿和行为的可能性;⑶组织团结程度越高,成员出售拥有股票的可能性也就越低,这说明成员对组织归属感的追求,参加合作组织不仅仅是追求经济利益;⑷对于组织管理者的信任程度提高可以降低成员出售合作组织股份的可能性。调查对象都是农民专业合作经济组织成员,能够对组织产生影响的行为主要是参与管理的行为,而且目前考虑退出的成员很少,所以行为研究主要集中在成员参与组织管理方面。参与管理的行为包括:投票行为、参加成员大会、与管理者沟通的行为。在成员行为的分析中,文章分别分析了从芬兰和中国获得的数据,一方面可以借鉴芬兰Valio合作社先进的管理经验,另一方面分析影响我国合作经济组织成员参与管理行为的影响因素,为管理者协调成员的行为提供有益的参考意见。通过芬兰的数据分析可以借鉴下面的经验:首先,农民对领导者的信任程度影响了他们参与管理的积极性,因此在我国建立农民专业合作经济组织过程中一定要选择在当地具有一定威望的农民,村里的党员和农村精英都是很好的选择。其次,领导者在注重经济因素的同时也要兼顾农民的心理因素。目前组织的管理者和发起者往往只重视组织发展的经济因素,当然这是必须的,成本和利润也是农民关注的重点,影响他们对农民专业合作经济组织的态度并导致了不同的参与行为。从长远的角度看作为组织的管理者也要注意“人的因素”发挥的作用,引导他们积极地参与管理,增强其对组织和领导人的信任程度,在有条件的情况下对合作经济组织成员进行培训,提高农民的专业素质加强交流,增强会员的忠诚度,促进组织和会员之间的沟通和信任,使农民感觉到自己是合作的主体,提高其投资和参与管理的积极性。再次,我国农民人均耕地较少,提高农民生产的专业化程度有利于节约经营成本,专业化程度越高与组织的关系就越密切,农民就会更积极参与组织的管理。此外,农民专业合作经济组织作为农民的代表应当发挥多方面的沟通作用,比如与银行的沟通帮助农民获得贷款,与政府的沟通获得更多政府支持,与企业沟通多渠道的销售产品等。最后,发展农民专业合作经济组织必须坚持公平原则,以为农民服务为宗旨帮助农民提高收入。组织内部的公平程度、信任程度、团结程度都会影响农民参与管理的行为,解决这些问题也就解决了国内农民专业合作经济组织一盘散沙的局面,这就要依靠组织对农民合作文化和意识的培养,使他们理解合作是提高收入的有效手段。从我国的数据分析得到了以下的结论:⑴农民参与合作经济组织的管理主要还是基于对经济因素的考虑,同时也就验证了对合作中农民的第一个人性假设:利己基础上的合作。⑵肯定经济因素在促进农民参与管理过程中的作用,我们更应该看到“人”的因素的作用,组织的归属感、对社会的信任程度、对管理人员的信任程度都影响到农民参与管理的积极性,而且在应变量的影响因素中,心理因素发挥着主要的作用而且大部分外在物质条件变量的显著性并没有达到进入模型的要求,因此在组织建立的初期农民专业合作经济组织的实力比较弱小,作用还没有充分的发挥,不能满足成员的快速提高收入的要求时,对成员的心里激励更加重要。特别是对管理效率的关心程度能够明显的促进成员参与管理的行为,但是也存在着使成员离开的可能性,这说明对管理者的不满会导致成员忠诚度降低,当成员觉得合作经济组织不能达到个人的期望时会产生离开的想法,这时候应该加强对成员的培训,培养合作文化使农民认识到组织利益和个人利益的统一,这样在面对困难的时候才能够保证组织的生命力。我国农民专业合作经济组织发展的初期,困难是不可避免的,增强组织的生存能力关键在于成员合作意识和合作文化的培养,在培训中不仅要注重技术上的培训更重要的是合作文化的建立。⑶成员异质性高会激励成员参与管理,但成员差异越大导致意见分歧的可能性就越高,使组织的决策成本增加,成员离开组织的倾向上升。因此农民专业合作经济组织招募会员的时候应限制会员资格,尽量减少成员的差异。⑷合作经济组织发展的基础是会员,没有成员的参与和支持合作经济组织就没有长久的生命力,传统的农民专业合作经济组织制度并没有设计出相应的惩罚措施,退出自由和自愿加入的原则使合作社没有办法控制农民违背合作行为,而且我国的合作经济组织为了吸引农民加入往往不要求交纳会费或者投资,对农民的违约行为更没有约束能力。成员的违约成本较低最多是来自组织其他成员的谴责,并没有实质性的处罚,特别是在建立初期合作经济组织能力有限,成员违约的行为可能更为严重,增加组织不稳定性,而且这种个别的行为对组织其他成员有着严重的负面影响。因此需要设计一套约束制度,从制度和情感两个方面约束成员违背合作的行为。经过上述的分析可以发现信任在影响成员的意愿和行为中发挥着重要的作用,信任与合作是一对交互影响的因素。信任是成员的一种交往态度,信任程度的高低对合作经济组织成败至关重要。“人的因素”中一个很重要的部分是“信任”。这里包括成员对管理者的信任、成员间的信任、成员和组织之间的信任关系。信任是合作的基础,信任程度的提高对农民专业合作经济组织的发展有积极的促进作用,文章通过分析“信任——合作”产生和循环的机制,对农民专业合作经济组织制度建设提出了有益的建议,并从“关系”和“制度”的角度,提出了促进成员信任程度的相关措施:⑴完善合作经济组织中的惩罚制度;⑵坚持契约制度;⑶产权制度决定制度信任;⑷限制会员制度与小规模分类合作;⑸重塑非正式制度的信任文化;⑹建立农村个人信用制度;⑺农民专业合作经济组织制度的自我完善。成员的意愿和行为对农民专业合作经济组织发展有着重要的影响,不同的意愿和行为将导致各异的结果,从目前的情况看主要是在农民专业合作经济组织的人力资源和资金两个方面影响最大,而人力资源和资金都是组织发展的必要条件。组织的管理者要确保组织目标的实现关键在于组织制度的设置能否满足成员的需求以提高成员的积极性,这就要求管理者对组织成员的本质需求有正确地认识,也就是了解成员的意愿和行为,没有正确地认识农民的需求和意愿是不可能制定出能够激发农民积极性的制度。意愿是行为的前提,外在条件影响行为的实施,如何引导成员意愿和行为是组织管理者的重要工作。根据农民意愿调查目前农民合作经济组织管理者应从以下几个方面着手工作:⑴建立及时沟通体系;⑵满足成员的技术需求;⑶以提高成员收入为核心;⑷保证组织的公平和公开性;⑸减少成员差异程度;⑹加大成员合作文化的培训力度;⑺激励成员参与管理。制度是组织发展的保障,完善的制度可以引导成员做出有利于组织发展的行为,能够提高成员对组织的信任程度和忠诚度。为了激励成员选择有利于组织发展的意愿和行为,限制成员选择不利于组织发展的意愿和行为,要在组织制度上进行改进。制度的改进包括:产权制度、投资制度、会员制度、惩罚制度、决策制度、沟通制度、分配制度、培训制度。

　　【关键词】 农民专业合作经济组织； 成员意愿； 成员行为； 影响因素； 制度改进；

　　【Abstract】 New democratic cooperatives, with its development for more than 20 years, play an important role in the construction of rural market, the increase in the income and the development of the agricultural industry. However, cooperatives has not achieved much in its development due to the fact that farmers are less educated and cannot perform efficient management, and the fact that farmers does not show much confidence in the cooperatives and its leaders and would not like to invest in the cooperatives. Thus, a lack of capital and human resource is caused, which is urgent and needs to be dealt with from the angle of "human-centered". Farmers’ sentiment needs to be taken into consideration so as to improve their professional knowledge and team spirit.Most of the researches available focus on analysis of the system and economy of the cooperatives. There are theoretical discussion and demonstrative description of the characteristics and the development of cooperatives, as well as the property right system, the management structure, the system condition, the government’s policies and model of cooperatives, all of which have urged the development of cooperatives, but there is one important aspect, research on the subject of cooperatives-farmers- have been neglected. A cooperative can not live without farmers’ participation. This paper, with the perspective of farmer-centered, by introducing the sociology and psychology, makes an analysis of the attitudes of farmers with the help of TPB(Theory of Planned Behavior). All the 400 questionnaires are from surveys in Finland, and Baoji, Yangling, Yanliang, Lingtong, China. After a qualitative and quantitative analysis of the "human-factor", some factors which show effects on the participation of farmers in the management and the desire of farmers to invest in cooperatives are found. A detailed analysis of the factors and its influences will lay foundation for the improvement of the activity of farmers and the cooperative system.The premise for research on the "human" factor is to hypothesize humanity. This paper, after a review of the humanity hypothesis, puts forward the humanity forecast model, seven hypothesis of humanity:⑴cooperation on the basis of self-interest;⑵opportunism;⑶s eeking for equity;⑷hate of risks;⑸i ndependence;⑹i nnovation;⑺voluntary team spirit and sense of belonging。These hypotheses are basic to study the desire and action of cooperative members, the "human" factors. The desire of members consists of their desire to join in the cooperatives, to be involved in management, to invest, to avoid the commitment, to quit. The action covers to vote, to take part in the meeting, to communicate with the managers, and to quit. With the members being the basis of cooperatives, their desire and action dominate the development of cooperatives. There are specific conditions for the transfer from the desire to action, and managers can make full use of these conditions so as to lead the action to achieve a harmony for both of the aims. This paper, besides the key analyzing frame, uses, also, the theory of property right, the theory of Agency , theory of Transaction Costs, and theory collective behavior.The desire cannot lead directly to the action although they are interacted. The transference is confined by the environment. The subject of the questionnaire is members of the cooperatives, and analysis of their desire may offer some references. The factors that influence the desire to join in cooperatives are the education, the support from the government, the gap between the rich and the poor, family type and the capital and scale of the cooperatives. The education and the support bear, first a proportional and then and indirectly proportional relationship. The support from the government lead to first an increase in the marginal utility by degrees, and than an decrease by degrees. That means government should focus more on the establishment of the cooperatives and gives the micro-economical support. The gap between the rich and the poor is indirectly correlated to the desire, but the family type is correlated to the desire.Lack of capital is another problem, which is because it is relatively difficult for agriculture industry to attract investment. Support and subsidies from the government cannot satisfy the needs, so investment from the farmers is a must, and the study of the desire to invest is essential. The more confidence of farmers in the society, the more caring about the election of the managers, and the more desire to invest. Also, the desire to invest in the cooperatives is indirectly affected by the subsidies from the government, which shows that an excessive support from the government may lead to the Crowding Out Effect. Another factors influencing the desire are the way to obtain loan, the integrity of the laws and the training given to farmers.The unbalance in investment is another problem. According to the survey, farmers with an income less than$13,000 would not like to invest, but those with more than $15,000 would like to pay as much as $6,273。As a result, with the democracy and inequality as principle, this paper holds that, farmers with $13,000 need to offer an investment of $1,500-2,000. As for those bearing a higher need to invest, they can choose the stock without vote right or bond, which can guarantee both the equity and the investor’s yield.This paper also makes a detailed analysis of the desire of members to join in cooperatives, to avoid commitment and to quit. The more confidence from the members, the more desire to join and the less possibility to quit. The observations show that the reasons for quitting is that they are too old to farm, or their needs cannot be satisfied in the cooperatives.Farmers’ desire to support reform, to sell stocks, and to sell inappropriately is harmful to the development of the cooperatives. A detailed study of these factors may help to prevent or change the desire, or control the conditions for actions to happen. It follows from the study that differences need to be reduced in order to get a harmonious environment, healthy law system and cooperative system are needed, the team spirit and sense of belonging are essential, and confidence in the managers should be encouraged.The subjects of the survey are members of the cooperatives and they affect the cooperatives by joining in the management, which is the key element in the study of action. The actions in management cover the action to vote, the action to take part in meetings, and to communicate with managers. The paper gives a study of the observations from both Finland and China with the purpose of using as reference of the experiences from the Finnish Valio cooperatives and of finding the influencing factors in China.The experience learned from the Finnish cooperatives are as follows. Firstly, trusts in leaders promote their enthusiasm in participation. So in China, leaders should come from those with high prestige, party members or people of ability. Secondly, leaders should take into considerations both the economical interest and farmers desire. Nowadays in China, leaders or sponsors focus more on economical interest, and less on the "human factors". It is of vital importance to lead farmers to management, strengthen their confidence in leaders, offer them appropriate training, and to increase farmers’ professional knowledge in order to increase their loyalty, communication and confidence in the cooperatives. Thirdly, a higher specialization is needed. In China, the cultivated land per capita is short, so an increase in the specialization can save cost and motivate farmers to join in cooperatives. Finally, cooperatives treat their members equally and intend to increase the income of farmers. In China exists the state of disunity. A fair equity, a satisfying confidence and unity are essential to its cooperatives.It follows from the data above that, firstly, farmers join in cooperatives with the purpose of increasing their income, which proves the first humanity hypothesis, the cooperation on the basis of self-interest. Of all the factors, human factor should be the first. Secondly, since the sense of belonging and the confidence exert influences on the enthusiasm of farmers, and the psychological factors play the key role with the external material condition being not so obvious, it is essential to give some incentives to farmers during the beginning of cooperatives. Then a strengthening of training farmers is needed in order to make them realize that there should be harmony between self- interest and interest of cooperatives, which is the basis of existence of cooperatives. Thirdly, a high heterogeneity may motivate the participation, but a great difference may lead to an increase in the cost and in the possibility of quitting. It is needed to consider the differences in recruiting members. Fourthly, members are the bedrock of cooperatives. The Chinese traditional organizations go without corresponding punishing policies, so the freedom to join and quit make the breach of faith go without punishment. Some cooperatives absorb members with no fees in the purpose of attracting more members, which indulges the breach of faith. Members obtain in their breach of faith nothing but the denouncement from other members. The more breach of faith, the less stability for the cooperatives. As a result it is urgent to develop a restricting system to manage member from both the aspects of system and sentiment. Thirdly, a high heterogeneity may motivate the participation, but a great difference may lead to an increase in the cost and in the possibility of quitting. It is needed to consider the differences in recruiting members. Fourthly, members are the bedrock of cooperatives. The Chinese traditional organizations go without corresponding punishing policies, so the freedom to join and quit make the breach of faith go without punishment. Some cooperatives absorb members with no fees in the purpose of attracting more members, which indulges the breach of faith. Members obtain in their breach of faith nothing but the denouncement from other members. The more breach of faith, the less stability for the cooperatives. As a result it is urgent to develop a restricting system to manage member from both the aspects of system and sentiment.From the analysis above arises a fact that the credit plays the key role in affecting members’ desire and action. Credit, as an important communicating attitude, is of great significance to the success of cooperatives. It consists of the trust among farmers, trust among members and the confidence between members and the organizations. Confidence as the basis of cooperation can speed the development of cooperatives. This paper makes a detailed analysis of the beginning and development of "trust-cooperation" system, followed by some suggestions and strategies of promoting the confidence from the perspectives of "relationship" and "system". The measures are as follows. The punishing system needs to be perfected, the contract system needs to be insisted, the property right system dominates the confidence in system, member system and cooperation in small scale should be restricted, the confidence in the informal system should be reshaped, agricultural individual credit system should be set up, and the system of cooperatives itself needs to be improved. The desire and action of members show great effect on the development of cooperatives, typically on the human resource and capital, the necessary condition for cooperative development. Whether the managers can be guaranteed the realization of the aims or not depends on whether the system can meet the need of their members. That asks leaders to develop a positive understanding of the essential needs and the desire and action of their members. The desire is the premise for the action and other outside conditions affect realization of actions, so the most important job for leaders is to know how to lead the desire to action.According to the survey, some suggestions are put forward to help leaders to manage:⑴establishing the instant communicating system;⑵meeting the technical need of members;⑶p utting the increase in the income first;⑷guaranteeing the equity and openness of the cooperatives;⑸reducing the differences between members;⑹increasing the training about the working in teams;⑺encouraging members to take part in the management. A healthy system can lead the members towards the positive action, and increase their confidence and loyalty in the organizations. In order to motivate members to develop positive desire and action, and restrict their negative desire and action, leaders should try to make some improvements in the system, which includes the improvement in the Property Right System, investment system, membership system, punishment system, decision-making system,membership system, punishment system, mechanism of communication, distribution system and training system.

　　【Key words】 cooperatives； members’ desire； members’ action； influence factors； system amelioration；