【摘要】农产品的流通问题不仅关系到亿万分散农户的基本利益和城镇居民的R常生活，也关系到为数众多的农产品流通中间环节从业者的基本福利。农产品流通连接农产品(食品)生产和消费的特性使其在加强食品安全控制和“三农”问题的解决等方面具有举足轻重的作用。农产品流通模式问题是农产品流通的重要课题和关键环节。我国存在亿万分散的农户直接参与农业生产和流通的现实，使得从农户视角研究和探索农产品流通的模式问题具有重大的理论和现实意义。

　　本研究立足于我国农业小规模分散经营的现实，系统梳理了建国以来粮棉等大宗农产品、果蔬等生鲜农产品以及肉禽蛋类农产品流通体制变革的历程，并对我国农产品流通体系的历史演变、现状特征以及未来方向做了系统论述。从农户视角的农产品流通模式的内涵出发，本研究对基于农户视角的农产品流通模式的类型进行了归纳和分析，进而利用统计调查数据采用合适的计量模型从交易费用和农户福利两个角度对农产品流通模式的比较和选择进行了实证研究。本研究还特别对“农超对接”这一以合作社为核心的农产品流通模式中的盈余分配问题进行深入探讨。基于实证研究结论，本研究提出了相应的政策建议。

　　本研究的主要内容及结论包括：

　　1.我国农产品流通体制的历史演进过程以及我国农产品流通体系的历史演变、现状特征和未来方向分析。本研究系统梳理了建国以来粮棉等大宗农产品、果蔬等生鲜农产品以及肉禽蛋类农产品流通体制演进的历程：粮棉等大宗农产品大致经历了自由购销体制阶段、统购统销阶段、“双轨制”阶段、市场化的尝试阶段以及政府指导下的市场化进程等几个阶段；果蔬等生鲜农产品则经历了短暂的自由购销体制阶段、以国营商业企业经营为主的计划流通阶段、产销“大管小活”阶段、市场化尝试阶段以及自由市场流通等几个阶段；肉禽蛋类农产品则大致经历了自由购销为主的流通阶段、政府“派购”和国家领导的自由市场交易并存阶段、由计划调节向市场调节过渡阶段以及自由购销等几个阶段。本研究对我国农产品流通体系的历史演变、现状特征以及未来方向做了系统论述，重点分析了计划经济体制下的农产品流通、当前市场化的农产品流通以及未来现代化的农产品流通体系的构成及其特征。

　　2.基于农户视角，本研究对农产品流通模式的内涵和类型作了系统论述，并从交易费用和农户福利两个角度实证研究了农产品流通模式的比较与选择问题。(1)基中文摘要于Multinomial Logit模型和多元回归模型分别研究了交易费用对农户农产品流通模式选择的影响和对农户绩效的影响。研究结论表明：①就交易成本的节约角度看，农户以“抱团”形式集体进入市场更有利于保障和提升农户的利益。不同的流通模式中的交易成本存在显著的差异性，总体来说，发生的交易费用由低到高依次为合作社、农技协、龙头企业、批发市场、经纪人和单个农户。②农户自身的特征对农户的农产品流通模式的选择具有显著影响，不仅农户特征的不同方面对流通模式的影响不同，而且农户特征对不同农产品流通模式的影响程度也不相同。③交易成本是影响农户农产品流通模式选择的主要因素，但对不同的农产品流通模式，信息成本、谈判成本、执行成本和运输成本表现出不同的影响力。(2)基于森的可行能力理论运用模糊数学评价法比较研究了不同农产品流通模式中农户的福利效应。研究结论表明：不同农产品流通模式中农户福利水平具有显著的差异。本研究所考察的六类农产品流通模式中，农户总体福利水平处在三个显著不同的水平上：“农户+市场”和“农户+龙头企业+市场”的交易方式中的农户福利处于较低的水平上；“农户+批发商+市场”和“农户+经纪人+市场”的交易方式中的农户福利水平处于模糊的福利状态；而“农户+合作社+市场”和“农户+农技协+市场”的交易方式中的农户福利水平处在相对较高的福利水平上。

　　3.本研究还特别对“农超对接”这一特定的农产品流通模式中合作社对农户的利益分配问题进行了研究。研究结论表明：①合作社在管理制度方面的缺陷、其管理人员和普通社员自身素质不高和能力不足以及部分管理部门对当前合作社的运行和管理情况监管薄弱是造成当前“农超对接”中合作社对农户利益返还不足的主要原因。②部分合作社在组织机构、运行机制上存在缺陷，导致了合作社普遍存在盈余分配不公开、不透明，盈余返还比例偏低，农民通过合作社参与“农超对接”以改善收入状况的效应十分有限。③合作社与合作社中企事业单位社员的利益协调和分配机制模糊不清，合作社中的企业社员控制合作社的情况比较突出。④不同类型的合作社在盈余返还机制和力度上存在较大差异，纯粹农民自发联合型合作社表现最好，其次为围绕个体经营户(大户)发育而成的合作社、围绕经纪人发育而成的合作社、以承包经营方式为主的合作社，而含有企事业单位成员的合作社表现最差。

　　本研究可能的创新点有：(1)研究视角的创新。本研究采用两种不同的研究方法从交易费用和农户福利两个不同的角度对农产品流通模式开展研究，在研究视角上具有新意。(2)研究方法上的创新。本研究采用实证研究的方法，特别是基于森的可行能力理论构建了农户福利的模糊评价模型，并将其用于评价不同流通模式中II华中农业大学2012届博上学位论文：基于农户视角的农产品流通模式研究农户的福利问题，在农产品流通研究领域具有新意。(3)研究内容上的创新。本研究对不同农产品流通模式中的交易费用和农户福利进行比较研究，并对“农超对接”这一特定的农产品流通模式中合作社对农户盈余分配进行研究，在研究内容上具有一定新意。

　　【Astract】The circulation of agricultural products is not only related to the basic interest of the tens of millions of dispersive farmers and daily life of urban residents, but also to the basic welfare of a large number of practitioners in the intermediate links of it The characteristics of the circulation of agricultural products which connect the production and consumption of agricultural products (food) make it play a decisive role in the resolution to strengthen the control of food safety and the "three agricultural problems". The model of agricultural products circulation is an important issue and the key link of it. In China, the reality is that large numbers of scattered farmers directly involved in agricultural production and circulation. It makes the research and explore about the model of agricultural products circulation based on the perspective of farmers have very important theoretical and practical significance.

　　Based on the reality of Chinese agricultural small-scale decentralized management, this study combed the course of circulation system reform of bulk agricultural commodities (grains and cottons), fresh agricultural products (fruits and vegetables) and relevant products of meat and eggs since 1949, and had a systematic exposition about the historical evolution, status characteristics and future directions of Chinese agricultural products circulation system. According to the definition of the connotation of agricultural products circulation model, this study constructed the analytical framework of agricultural products circulation model based on the farmers' perspective. And then using the appropriate econometric model and based on the survey data, it did an empirical study on agricultural products circulation model from the perspectives of transaction costs and farmers welfare. Particularly this study also discussed the distribution of surplus of "Farmer-Supermarket Direct-Purchase" which is the agricultural products circulation mode that takes cooperatives as the core. Based on the empirical findings，this study proposed some policy recommendations to promote farmers' participation in the modern agricultural products circulation model.

　　The main findings and conclusions of this study include:

　　1. The study analyzed the historical evolutional course, current characteristics and future directions of the agricultural products circulation system in China. It carried out a systemic review on the evolutional course in the agricultural products circulation system including bulk agricultural commodities (grains and cottons), fresh agricultural products (fruits and vegetables) and relevant products of meat and eggs. Grain, cotton and other bulk agricultural commodities had gone through the free purchase and sale system stage, the unified purchase and sale stage, unified purchase and sale change and market trial stage, and the process of marketization under the guidance of the government. Other fresh agricultural products (fruits and vegetables) had gone through a short stage of free purchase and sales system, a plan circulation stage in which most business was did by the state-owned commercial enterprises, the stage in which government only manage the big production and sales, order and exclusive sales stage and the free market circulation stage. Meat and eggs has gone through the stage in which free purchase and sales played the main role, the government assigned purchase stage, the transition stage in which the plan regulation changed into market regulation and the free purchase and sales stage. Moreover, historical development, current characteristics and future direction have been illustrated systematically in the circulation system of agricultural products in China. Attention is drawn mainly on the components and characteristics of circulation system of agricultural products under control of planned economy system, current marketization and future modernization.

　　2. Based on farmers' perspective, this study discussed the content and type of on the agricultural products circulation model, and did an empirical study on the comparison and selection of agricultural products circulation model from the perspectives of transaction costs and farmers welfare. (1) Based on the Multinomial Logit model and regression multiple model this study analyzed the impact of transaction costs for farmers to select the mode of agricultural products circulation. The findings showed that:①In view of transaction cost savings, the farmers entering the market in group could be benefited to protect and enhance the interests of farmers. But there are significant differences about the transaction costs among different circulation models. Overall, the transaction costs from low to high were cooperatives, agricultural technology association, leading enterprises, plantation, brokers and individual farmers.② Farmers own characteristics had a significant impact on their selection of the way of agricultural trading. And the different characteristics had different influence. The farmers' characteristics had different degree of influence to different transactions.③Transaction costs are the main factors that influence the selection of the way of farmers agricultural trading, but for different transactions of agricultural products, information costs，negotiation costs, implementation costs and transportation costs showed a different influence. (2) Based on Sen's capability Theory, using fuzzy mathematics method, the study compared the welfare effects of the farmers in the different models of agricultural products circulation. The findings showed that: There are some significant differences about the level of farmers' welfare in different ways of agricultural products transaction. This study examined six kinds of agricultural products transaction in which the farmers' welfare were in three significantly different levels. Welfare of the farmers in the "individual farmers + market” transaction and the "farmers + leading enterprises + market” transaction were in a low level. Welfare of the farmers in the “plantation + market" transaction and the “farmers + brokers + market" transaction were in the fuzzy state. Welfare of the farmers in the “farmers + cooperatives + market" transaction and the “farmers + agricultural technology association + market" transaction were in a high level.

　　3. Particularly this study discussed the distribution of surplus from cooperatives to farmers in the “Farmer-Supermarket Direct-Purchase" agricultural products circulation mode. The study concluded as follows:① The main reason for which the farmer cooperatives' surplus distributions were not enough was that the management system of farmer cooperatives is imperfect, cooperative managers and ordinary members don't have high capacity. ?Part of the cooperatives had defects in the organization and operation mechanism. These led cooperatives' earnings distribution is not open and opaque, and the proportion of surplus return was low, the effect of income improvement of farmers who through cooperatives to participated in the "Farmer-Supermarket Direct-Purchase" is very limited.③Coordination and distribution mechanisms of interests between cooperatives and the enterprises members were not clear. The situation was that the enterprises members controlled cooperatives. ? Different types of farmer cooperatives show significant differences in the surplus distribution. The best one is the cooperatives that purely spontaneous joint by farmers, followed by cooperatives that develop from the self-employed households (large ones), cooperatives that develop around the agents, and cooperatives that base on contract operation. Cooperatives that have enterprises members make the worst performance.

　　Innovative points of the paper can be listed as followings: (1) the innovation on research views. Using tow different approaches and from tow different perspectives (transaction costs and farmers' welfare), this study researched on the agricultural products irculation model. There was no doubt it opened a new research horizon. (2) The innovation on research method. The paper adopted an empirical study. Especially, a fuzzy evaluation model was constructed and applied to evaluate farmers' welfare in different circulation models based on Sen's capability theory. The method brought in an innovative concept in researching the agricultural products circulation. (3) The innovation on research content. This study compared transaction costs and farmers' welfare in different agricultural products circulation models. Particularly this study discussed the distribution of surplus from cooperatives to farmers in the "Farmer-Supermarket Direct-Purchase" agricultural products circulation mode. Therefore, creative elements were injected into the content.

　　【Key words】The agricultural product circulation model； farmers,；transaction cost,；farmers' welfare；Sen's capability theory; “farmer-supermarket direct-purchase"

　　【关键词】农产品流通模式；农户；交易成本；农户福利；森的可行能力；农超对接