【摘 要】我国农民专业合作社自 2007 年《中华人民共和国农民专业合作社法》颁布后快速发展。截至2014年7月底，我国共有119.29万家农民专业合作社。在数量快速增长的同时，我国农民专业合作社却面临着纵向一体化水平不高的问题。2011 年年底，我国实行产加销一体化的农民专业合作社数 26.6 万家，占合作社总数的 52.3%。2012 年年底，我国提供产加销一体化服务的农民专业合作社数33.05万家，占比52.16%，比上年反而下降0.14%。而美国农业合作社加工的农产品占到全国农产品总量的 80%，可见我国纵向一体化水平尚待提高。2012 年中央一号文件提出“支持农民专业合作社兴办农产品加工企业或参股龙头企业”。2014年中央一号文件指出，要“落实和完善相关税收优惠政策，支持农民专业合作社发展农产品加工流通”，显示了我国政府加快农业经营方式转变的坚定决心。

为了找寻我国农民专业合作社纵向一体化水平不高的原因，并为其提供有效的政策启示，本文基于交易费用经济学理论，运用“状态——结构——行为——绩效（SSCP）”分析框架，使用计量经济学的数理建模、探索性因子分析、假设检验、描述统计等实证研究方法，具体地测量新制度经济学交易属性指标决定的环境状态因素对我国农民专业合作社纵向一体化的影响，并进一步验证纵向一体化对合作社及社员家庭经济绩效的影响作用。之后研究从事不同产品生产的合作社适宜的一体化发展模式，最终从国家政策层面、合作社自身层面和社会整体环境层面，提出对我国农民专业合作社提升纵向一体化水平的政策启示。

本文共七章，章节的安排概述如下:

第一章，绪论。在阐述研究背景的基础上提出本文的研究问题、研究目的和意义，对本研究的关键概念进行界定，同时介绍研究总体结构框架和实证研究范式技术路线。

第二章，理论基础与文献述评。本章是全文的理论基础，在对合作社经典理论及其新发展进行述评的基础上，回顾交易费用经济学的基本原理，最后着聚焦于合作社纵向一体化的相关研究，为实证分析和结果解释提供理论支撑。

第三章，中国农民专业合作社纵向一体化经营的历史沿革——以样本合作社所在省份为例。以样本合作社所在的黑龙江省、四川省、浙江省为例，回顾中国农民专业合作社纵向一体化发展历程。样本省份的农业生产都有代表性和典型性，通过回顾样本省份合作社的发展历程，可以找到当前各省合作社表现出不同特的历史渊源，并掌握各省的具体情况以便进一步分析。

第四章，中国农民专业合作社纵向一体化经营的影响因素。本章先将资产专用性和不确定性这两个交易属性用具体的指标表示出来，再建立两个Logistic模型以分别测量资产专用性和不确定性对合作社纵向一体化的影响及影响的边际效应和模型的预测准确性，进而找到我国农民专业合作社纵向一体化水平不高的实践和政策原因。本节得出的主要结论是体现物质资产专用性的专用设备，体现品牌资产专用性的注册商标，体现场地专用性的最远营销范围、初级市场、地形特征和体现人力资本专用性成员规模和社长年龄以及“自然不确定性”对农民专业合作社纵向一体化经营水平存在统计学意义上的显著影响。

第五章，纵向一体化对中国农民专业合作社经济绩效的影响测评。本章建立两个线性模型，分别测量合作社纵向一体化对合作社纯盈余增长的作用和社员参与合作社纵向一体化对家庭纯盈余增长的作用，旨在验证新制度经济学关于纵向一体化对交易费用的节约作用理论，得出的主要结论是成立年限、注册资本和纵向一体化水平对农民专业合作社的纯盈余额增长具有显著正向影响，合作社成员经营产品种类和参与合作社纵向一体化经营水平对成员纯盈余增长额具有显著正向影响的主要结论，最后提出我国农民专业合作社应该通过大力推进纵向一体化获得经济绩效的增长，同时合作社社员应该将积极参与合作社的纵向一体化中，才能获得持续稳定的收益增长等政策启示。

第六章，基于产品特性的中国农民专业合作社纵向一体化经营发展模式。该章通过梳理产品特性在前文实证研究中得出的对合作社纵向一体化影响的结论后，进一步提出从事不同产品生产的农民专业合作社提升纵向一体化应依托不同发展模式的观点，认为粮食合作社适合发展“政府扶持型”模式，果蔬合作社适合发展“农户联合型”模式，而畜禽合作社适合发展“企业带动型”模式。

第七章，结论与政策启示。该章从政府政策层面、合作社自身层面和社会整体环境层面，提出对我国农民专业合作社提升纵向一体化水平的政策启示。

【关键词】农民专业合作社；纵向一体化；交易费用；资产专用性；不确定性

【Abstract】Chinese farmer specialized cooperatives have grown rapidly since the“Farmer Specialized Cooperatives Law of the People's Republic of China” enactedin 2007. By the end of July 2014, about 1.19 million farmer cooperatives havebeen established. Regardless of the rapidly growing numbers, the verticalintegration degree of Chinese cooperatives is still low. By the end of 2011,52.3% or 266,000 cooperatives have been vertically integrated in production andsales. The ratio declined to 52.16% by the end of 2011, although the numberincreased to 330,500. In the United States, products processed by agticulturalcooperative accounted for 80% of total agricultural outputs. Apparently,vertical integration in China needs to be enhanced. The “2012 No. 1 CentralDocument” highlighted “supporting farmer cooperatives to set up agro-processingenterprises or equity agricultural enterprises”, while the “2014 No. 1 CentralDocument” highlighted “implementing and improving the related tax preferentialpolicies to support farmer cooperatives processing and circulation ofagricultural products”. This shows the firm determination of the Chinesegovernment to accelerate the transformation of the mode of farming.

In order to find the reason behind the low degree of verticalintegration of farmer cooperatives and to provide effective policyimplications, the dissertation tested the impacts of environmental andconditional factors determined by transaction attribute indices on the verticalintegration of specialized farmer cooperatives. The analyses were based on thetransaction cost theory. And the “situation - structure - conduct - performance(SSCP)” framework and the empirical strategies including econometric model,exploratory factor analysis, hypothesis testing, and descriptive statisticswere used. The influences of vertical integration on economic performances ofcooperatives and participating families were examined. The dissertation thendid research on appropriate models of vertical integration for differentproducts, lastly proposed policy implications for Chinese farmer specializedcooperatives to improve their level of vertical integration at the nationallevel, cooperative level and society environmental level.

The dissertation has seven chapters. The organization is as follows.

The first chapter is an introduction. It explains the researchbackground and proposes research questions, purposes and meanings. It definesthe key concepts and establishes the framework and technical route forfollowing studies.

 The second chapter is aliterature review of theoretical backgroud. Based on the classical cooperativestheory and its recent development, transaction cost economics, especially theresearch on vertical integration of cooperatives, is reviewed to providetheoretical support for empirical analyses.

The third chapter is the vertical integration development history ofChinese cooperatives in provinces sampled by this study: Heilongjiang, Sichuan,and Zhejiang. Productions in sampled provinces are representative and typical.History reasons that cooperatives in different provinces currently presentdifferent characteristics are found. Detailed information of sampled provincesfor further analysis is mastered.

The fourth chapter discusses influencing factors of verticalintegration of Chinese farmer specialized cooperatives. The chapter first measurestwo transaction attributes, i.e. asset specificity and uncertainty, by specificindices. It then creates two Logistic models to estimate their effects onvertical integration of farmer cooperatives. Both marginal effects and themodel’s prediction accuracy are discussed. Finally, practical and policyreasons for the low degree of vertical intergration of Chinese cooperatives arefound. The main conclusions are: physical asset specificity, brand assetspecificity, furthest marketing scope, primary market, site specificity asreflected by geographical features, human capital as reflected by the membersize and the director’s age, and “natural uncertainty” have significant impactson the vertical integration of spcialized farm cooperatives by meaning of statistics.

 The fifth chapter tests theeffects of vertical integration of Chinese farmer specilized cooperatives ontheir economic performance. This chapter has built two linear models to measurethe effect of vertical integration of cooperatives to growth of their pureearnings and the influencing of participating in the vertical integration ofcooperatives to member family’s growth of net earnings. The aim of thest testsis to verify related theories of New Institutional Economics about verticalintegration can save transaction cost and propose policy implication includingChinese farmer specialized cooperatives should get pure surplus growth byadvance their vertical integration, and members should take part incooperatives vertical integration activitily to earn sustainable increase netsurplus.

The sixth chapter is the vertical integration model of Chinesefarmer specialized cooperatives of development based on productcharacteristics. After combing conclusions of effect of product characteristicsto vertical integration through former empirical researches, this chapter hasproposed the view of highlighting the vertical integration of farmerspecialized cooperatives engaged in different product should rely on differentmode. Grain cooperatives are suitable for developing ‘governmentsupporting’mode, fruit and vegetable cooperatives are suitable for developing‘farmers union’mode, and livestock cooperatives are suitable for developing‘corporate - lead’mode.

The seventh chapter is conclusion and policy implication. Thischapter has proposed policy implications to improve the level of verticalintegration of Chinese farmer specialized cooperatives from government policy level,cooperatives level and whole society environmental dimensions. 

【Key Words】FarmerSpecialized Cooperatives; Vertical Integration; Transaction Cost; AssetSpecificity; Uncertainty