农民专业合作社绩效评价：理论与实证分析
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摘要
长期以来,家庭承包责任制形成了我国农村小农户小规模经营的格局,在一定程度上造成了农户生产经营分散化和非组织化的问题。在市场经济条件下,分散经营的农户进入市场必然会存在“小农户,大市场”的矛盾,尤其是我国加入世界贸易组织以后,农业发展的市场环境发生了重大变化,我国农业开始面临国际竞争。高度分散、缺乏组织的小农户,与组织化、规模化程度较高的国外大农场、农民合作组织联盟、农业跨国公司竞争,必然处于更为不利的竞争地位。在此背景下,全国各地涌现出多种类型的农民专业合作社,在一定程度上提高了农民进入市场的组织化程度,为推进农村经济发展起到了积极作用。然而我国农民专业合作社的发展尚处于起步阶段,各类农民专业合作社存在组织根基较弱、运作不尽规范、机制不够健全等问题,远未发挥出应有的组织和制度优势。评价现阶段农民专业合作社的绩效,对于揭示其发展现状、特点及存在的差距,探讨在新形势下农民专业合作社发展的目标、方向和对策措施都具有重要意义。
农民专业合作社绩效评价是一个较新的理论研究内容,迄今理论界对此尚未做出全面系统的分析评价。本文试图分析农民专业合作社绩效评价的理论基础,对农民专业合作社需求发生→运行机制→功能实现的发展逻辑进行系统的梳理,从中发现农民专业合作社的绩效生成路径,由此得出农民专业合作社的绩效结构及绩效评价维度,并基于以上分析建立了一套农民专业合作社的绩效评价指标体系。该体系主要由行为(过程)绩效和结果绩效两个一级指标,资源配置绩效、组织管理绩效、服务提供绩效、质量控制绩效、经济效益绩效、社会效果绩效、主体效益绩效七个二级指标和一系列三级指标构成。论文基于山东、江苏、湖南、宁夏四省的实地调查数据,对当前我国农民专业合作社的绩效进行描述性统计分析和理论评估,并通过对前文所建指标体系中的指标数据进行因子分析,对指标体系进行验证和指标赋权。论文应用建立的指标体系,对四省28社进行绩效评价,定位各社的绩效水平并分析其存在的问题。最后,论文从政府与组织两方面出发,提出进一步推进我国农民专业合作社绩效提升的对策建议。
Over the years, a small-scale pattern has been formed in rural areas because of the household contract responsibility system, and this, to a certain extent, has caused decentralization and non-organization problems with regards to the production and management of peasant households. In a market economy, the decentralization management of peasant households will inevitably leads to "small farmers, big market" contradictions, especially after China's accession to WTO, there are major changes of the market environment of agricultural development, China's agriculture began to face international competition. It's certain in a more competitive disadvantage for these highly decentralized and inorganizable farmers to compete with the advanced and large scaled multinational farmer co-organizations and associations. In this context, many types of Farmer specialized cooperatives emerged across the whole country, which to some extent improved the farmers organization level to go to the market, and played a positive role for promoting rural economic development. However, the development of Farmer Specialized Cooperatives in China is still in its infancy, there are problems for all kinds of Farmer Specialized Cooperatives, including weak organization and foundation, irregular operation, unsound mechanisms etc, which are far from producing the advantages of well organization and institution. The evaluation of the performance of current Farmer Specialized Cooperatives is significant for revealing its development status, characteristics and gaps as well as probing the goals, direction and measures of Farmers Specialized Cooperative under the new circumstances.
Performance Evaluation of FSC is a relatively new theoretical research contents, and theorists have not as yet to make a comprehensive and systematic analysis and evaluation. In this present study, on the basis of analysis of the theoretical basis of the performance evaluation on FSC, and development logic of demand occurring→mechanism→function realization of FSC, the performance generated path of FSC is found and further performance structure and evaluation dimensions are concluded. Based on the above analysis, the Performance Evaluation System of FSC is established. This PES contains three levels indicators:two first level, the behavior (process) performance and results performance; seven second level indicators the two-level performance indicators, including resource allocation performance, organization and management performance, service delivery performance, quality control performance, economic performance, social effects performance and main body efficiency; a series of third level indicators. Based field survey data in Shandong, Jiangsu, Hunan and Ningxia provinces, this study conducted a descriptive statistical analysis and theoretical evaluation on the performance of current China's Farmer Specialized Cooperatives, and then through the factor analysis of the indicators and data from the given index system, the index system is validated and indicators are empowered. With the application of the established index system, this study conducted the performance evaluation of 28 cooperatives of four provinces and positioned their performance levels and analyzed the problems. Finally, from the standpoint of both the government and organizations, this paper gives measures and suggestions for promoting the further improvement performance of China's Farmer Specialized Cooperatives.
农民专业合作社绩效评价是一个较新的理论研究内容,迄今理论界对此尚未做出全面系统的分析评价。本文试图分析农民专业合作社绩效评价的理论基础,对农民专业合作社需求发生→运行机制→功能实现的发展逻辑进行系统的梳理,从中发现农民专业合作社的绩效生成路径,由此得出农民专业合作社的绩效结构及绩效评价维度,并基于以上分析建立了一套农民专业合作社的绩效评价指标体系。该体系主要由行为(过程)绩效和结果绩效两个一级指标,资源配置绩效、组织管理绩效、服务提供绩效、质量控制绩效、经济效益绩效、社会效果绩效、主体效益绩效七个二级指标和一系列三级指标构成。论文基于山东、江苏、湖南、宁夏四省的实地调查数据,对当前我国农民专业合作社的绩效进行描述性统计分析和理论评估,并通过对前文所建指标体系中的指标数据进行因子分析,对指标体系进行验证和指标赋权。论文应用建立的指标体系,对四省28社进行绩效评价,定位各社的绩效水平并分析其存在的问题。最后,论文从政府与组织两方面出发,提出进一步推进我国农民专业合作社绩效提升的对策建议。
Over the years, a small-scale pattern has been formed in rural areas because of the household contract responsibility system, and this, to a certain extent, has caused decentralization and non-organization problems with regards to the production and management of peasant households. In a market economy, the decentralization management of peasant households will inevitably leads to "small farmers, big market" contradictions, especially after China's accession to WTO, there are major changes of the market environment of agricultural development, China's agriculture began to face international competition. It's certain in a more competitive disadvantage for these highly decentralized and inorganizable farmers to compete with the advanced and large scaled multinational farmer co-organizations and associations. In this context, many types of Farmer specialized cooperatives emerged across the whole country, which to some extent improved the farmers organization level to go to the market, and played a positive role for promoting rural economic development. However, the development of Farmer Specialized Cooperatives in China is still in its infancy, there are problems for all kinds of Farmer Specialized Cooperatives, including weak organization and foundation, irregular operation, unsound mechanisms etc, which are far from producing the advantages of well organization and institution. The evaluation of the performance of current Farmer Specialized Cooperatives is significant for revealing its development status, characteristics and gaps as well as probing the goals, direction and measures of Farmers Specialized Cooperative under the new circumstances.
Performance Evaluation of FSC is a relatively new theoretical research contents, and theorists have not as yet to make a comprehensive and systematic analysis and evaluation. In this present study, on the basis of analysis of the theoretical basis of the performance evaluation on FSC, and development logic of demand occurring→mechanism→function realization of FSC, the performance generated path of FSC is found and further performance structure and evaluation dimensions are concluded. Based on the above analysis, the Performance Evaluation System of FSC is established. This PES contains three levels indicators:two first level, the behavior (process) performance and results performance; seven second level indicators the two-level performance indicators, including resource allocation performance, organization and management performance, service delivery performance, quality control performance, economic performance, social effects performance and main body efficiency; a series of third level indicators. Based field survey data in Shandong, Jiangsu, Hunan and Ningxia provinces, this study conducted a descriptive statistical analysis and theoretical evaluation on the performance of current China's Farmer Specialized Cooperatives, and then through the factor analysis of the indicators and data from the given index system, the index system is validated and indicators are empowered. With the application of the established index system, this study conducted the performance evaluation of 28 cooperatives of four provinces and positioned their performance levels and analyzed the problems. Finally, from the standpoint of both the government and organizations, this paper gives measures and suggestions for promoting the further improvement performance of China's Farmer Specialized Cooperatives.
引文
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4. Cook. M.L. The Future of U.S. Agricultural cooperatives:a neo-institutional approach. American Journal of Agricultural Economics.1995,77(10).
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6. Lorendahl, B. New cooperatives and local development:a study of six cases in Jaemtland, Sweden. Journal of Rural Studies,1996,12(2).
7. Staatz,J.M. Farmers'incentives to take collective action via cooperatives:a Transaction-Cost approach. In Royer, J.(Eds). Cooperative theory:new approaches. ACS Service Report No.18, USDA, Washington D.C.1987.
8. Gertler. M. Rural cooperatives and sustainable development. Working Paper, Centre for the Study of Cooperatives, University of Saskatchewan,2001.
9. Barton, D.G.., Schroeder, T.C.&Featherstone, A.M. Evaluating the feasibility of local cooperative consolidation:a case study[J]. Agribusiness,1993,9(3).
10. Perterson,H.C.&Anderson, B.L. Cooperative strategy:theory and practice. Agribusiness,1996,12(4).
11. Katz, J.P. Managerial behaviour and strategy choices in agribusiness cooperatives. Agribusiness,1997,13(5)
12.张兵,郁胜国,孟德锋.江苏苏北农民专业合作组织绩效评价.福建农林大学学报(哲学社会科学版),2008,11(2)
13.马培衢.农民合作经济组织运营绩效的调查与思考.河南农业科学,2006(2)
14.赵佳荣.农民专业合作经济组织发展绩效的制度性影响因子及其改进.农业现代化研究,2007(3)
15.么振辉.从交易费用角度探讨农民合作经营制度的绩效.农业经济,2000(3)
16.郑少红,张春霞.福建农民合作经济组织SCP分析探究.福建农林大学学报(哲学社会科学版),2007,10(5)
17.陈先勇,周洋,施思.农村专业合作经济组织对农民福利水平的影响研究——从收人、风险和收人分配三方面进行分析.华中农业大学学报(社会科学版),2007(5)
18.龚长兰,肖洪安.农民专业合作经济组织的效益成本分析——以四川省仁寿县文宫枇杷协会为例.乡镇经济,2007(2)
19.黄蕾,马卫,罗青平.农民专业合作经济组织的运行效果评价——以江西省新余市渝水区湖陂葡萄协会为例.西南农业大学学报(自然科学版),2006(6)
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24.刘滨,陈池波,杜辉.农民专业合作社绩效度量的实证分析——来自江西省22个样本合作社的数据.农业经济问题,2009(2)
25.黄胜忠,林坚,徐旭初.农民专业合作社治理机制及其绩效实证分析.中国农村经济,2008(3)
26.夏英.农民专业合作经济组织发展中的政府行为与相关政策法规.中国农村改革30年：中国农民合作经济组织发展国际研讨会论文集,2008
27.郑西川等.临床医师绩效综合评价体系构建及其应用.中国医院管理,2005(7)
28.李婉红.农村专业经济合作组织效益评价指标体系研究.哈尔滨工程大学,2005
29.杨义坛.农村专业合作社制度绩效分析——以苍南县环宇西红柿合作社为例的研究.浙江大学,2005
30.徐旭初,黄胜忠.走向新合作——浙江省农民专业合作社发展研究.科学出版社,2009
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32.孔祥智,陈丹梅等著.统和分的辩证法——福建省集体林权制度改革与合作经济组织发展.中国人民大学出版社.2008
33.黄胜忠.转型时期农民专业合作社的组织行为研究：基于成员异质性的视角.浙江大学出版社.2008
34.孙亚范.新型农民专业合作经济组织发展研究.社会科学文献出版社.2006
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2. Sexton,R.J.Imperfect competition in agricultural markets and the role of cooperatives: a spatial analysis. American Journal of Agricultural Economics, 1990,72(3).
3. Rogers,R.T.&Petraglia, L.M. Agricultual cooperatives and market performance in food manufacturing. Journal of Agricultural Cooperation,1994(9).
4. Cook. M.L. The Future of U.S. Agricultural cooperatives:a neo-institutional approach. American Journal of Agricultural Economics.1995,77(10).
5. Ferrier,G.D.&Porter,P.K The productive efficiency of US milk processing cooperatives. Journal of Agricultral Economics,1991(42).
6. Lorendahl, B. New cooperatives and local development:a study of six cases in Jaemtland, Sweden. Journal of Rural Studies,1996,12(2).
7. Staatz,J.M. Farmers'incentives to take collective action via cooperatives:a Transaction-Cost approach. In Royer, J.(Eds). Cooperative theory:new approaches. ACS Service Report No.18, USDA, Washington D.C.1987.
8. Gertler. M. Rural cooperatives and sustainable development. Working Paper, Centre for the Study of Cooperatives, University of Saskatchewan,2001.
9. Barton, D.G.., Schroeder, T.C.&Featherstone, A.M. Evaluating the feasibility of local cooperative consolidation:a case study[J]. Agribusiness,1993,9(3).
10. Perterson,H.C.&Anderson, B.L. Cooperative strategy:theory and practice. Agribusiness,1996,12(4).
11. Katz, J.P. Managerial behaviour and strategy choices in agribusiness cooperatives. Agribusiness,1997,13(5)
12.张兵,郁胜国,孟德锋.江苏苏北农民专业合作组织绩效评价.福建农林大学学报(哲学社会科学版),2008,11(2)
13.马培衢.农民合作经济组织运营绩效的调查与思考.河南农业科学,2006(2)
14.赵佳荣.农民专业合作经济组织发展绩效的制度性影响因子及其改进.农业现代化研究,2007(3)
15.么振辉.从交易费用角度探讨农民合作经营制度的绩效.农业经济,2000(3)
16.郑少红,张春霞.福建农民合作经济组织SCP分析探究.福建农林大学学报(哲学社会科学版),2007,10(5)
17.陈先勇,周洋,施思.农村专业合作经济组织对农民福利水平的影响研究——从收人、风险和收人分配三方面进行分析.华中农业大学学报(社会科学版),2007(5)
18.龚长兰,肖洪安.农民专业合作经济组织的效益成本分析——以四川省仁寿县文宫枇杷协会为例.乡镇经济,2007(2)
19.黄蕾,马卫,罗青平.农民专业合作经济组织的运行效果评价——以江西省新余市渝水区湖陂葡萄协会为例.西南农业大学学报(自然科学版),2006(6)
20.王银凤.中国农民合作经济组织绩效判断.乡镇经济,2008(9)
21.孙艳华等.生产合同模式对农户增收绩效的实证研究——基于江苏省肉鸡行业的调查数据.农业技术经济.2008(4)
22.聂丹,周敏倩.江苏省农民专业合作组织经济贡献能力评价.农业技术经济,2008(5)
23.徐彦,赵凯,于小妹.农民合作经济组织成长性评价的理论探讨——基于层次分析法的分析.乡镇经济.2008(2)
24.刘滨,陈池波,杜辉.农民专业合作社绩效度量的实证分析——来自江西省22个样本合作社的数据.农业经济问题,2009(2)
25.黄胜忠,林坚,徐旭初.农民专业合作社治理机制及其绩效实证分析.中国农村经济,2008(3)
26.夏英.农民专业合作经济组织发展中的政府行为与相关政策法规.中国农村改革30年：中国农民合作经济组织发展国际研讨会论文集,2008
27.郑西川等.临床医师绩效综合评价体系构建及其应用.中国医院管理,2005(7)
28.李婉红.农村专业经济合作组织效益评价指标体系研究.哈尔滨工程大学,2005
29.杨义坛.农村专业合作社制度绩效分析——以苍南县环宇西红柿合作社为例的研究.浙江大学,2005
30.徐旭初,黄胜忠.走向新合作——浙江省农民专业合作社发展研究.科学出版社,2009
31.李瑜．中国农户经营组织化研究．中国社会科学出版社,2008
32.孔祥智,陈丹梅等著.统和分的辩证法——福建省集体林权制度改革与合作经济组织发展.中国人民大学出版社.2008
33.黄胜忠.转型时期农民专业合作社的组织行为研究：基于成员异质性的视角.浙江大学出版社.2008
34.孙亚范.新型农民专业合作经济组织发展研究.社会科学文献出版社.2006
35.冯飞.中国西部地区农民专业合作经济组织发展研究.中国社会科学出版社.2009
36.孙亚范.农民专业合作经济组织利益机制分析.社会科学文献出版社.2009
37.胡卓红.农民专业合作社发展实证研究.浙江大学出版社.2009
38.张玉周.非营利组织绩效三维评价体系研究.经济科学出版社.2009
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