指導教授：陸雲臺灣大學：農業經濟學研究所黃一菠Huang, Yi-BoYi-BoHuang2014-11-292018-06-292014-11-292018-06-292014http://ntur.lib.ntu.edu.tw//handle/246246/263600合作社是重要的農業經濟組織，其形成更解決了傳統農業生產中小農戶大市場的矛盾。在理想模式中，合作社是農戶自發性的聯合，為農戶提供生產技術、產品行銷等服務，而農戶則透過將產品上交，並由合作社進行銷售的模式獲取收益，同時得以享受合作社經營盈餘的二次分紅。合作社具有公司的架構，追求經濟績效極大化，但除此之外，卻有著更為多元的目標，也有除資本之外更多要素參與到剩餘分配中的特質。因此，對於合作社實際呈現出各種不同於理想模式的組織型態之考察，既需要借鑒與採用公司研究的視角，更需要結合合作社及農業自身的獨特性加以考量。而這些不同的組織型態本身，既是合作社橫向與縱向擴張策略選擇的結果，又對合作社經營績效產生了重要的影響。本文針對四川省內江市東興區五家不同產業的農民專業合作社進行考察；在深入瞭解合作社運作的基礎上，本文以財產權視角對影響合作社組織型態的內外部因素進行分析，並說明這些因素是透過何種機制對合作社的經營及擴張產生影響。 影響合作社組織型態的因素分為內部與外部兩方面。在內部，合作社通過與農戶訂立的要素契約與商品契約對產品生產及收購過程中的剩餘權分配進行調 整。在整體經營所產生剩餘的分配中，合作社作為共有財產權性質的組織，往往由模糊財產權而衍生出搭便車、再投資、投機行為及套牢等問題，因此導致其在組織型態選擇上面臨約束。通過影響合作社與社員的利益聯結，這些內部因素最終會影響合作社的橫向與縱向擴張及其所呈現的組織型態。在外部因素方面，地方政府行為、中國農村集體土地制度、地方居民所得與農村勞動力結構等，都對合作社組織型態產生了重要影響。 本文所考察的合作社尚處於規模較小且運作不夠理想的成長階段；在此一階段，外部因素對合作社組織型態有著更為重要的影響力。以政府、土地及地方勞動力結構為主的外部因素，顯著影響了合作社剩餘權在領辦者與社員間的分配狀況，從而使合作社呈現出不同組織型態。其中，地方政府全面介入合作社從成立到銷售各個環節的行為，雖然在合作社發展初期有利於其迅速確立市場地位，但政府基於財稅與官員晉升激勵而採取的行為對合作社長期發展顯然是不利的。從整體來看，在政府直接影響合作社成本收益、社員土地入股未能得到落實、參與合作社社員整體素質不高等問題影響下，合作社難以與社員建立起緊密的利益聯結。薄弱的利益聯結使得合作社在提升產品品質、吸引更多農戶加入、產業鏈縱向擴張等諸多方面面臨考驗。因此，合作社進一步發展需要解決一系列內部與外部問題。這些問題的根本解決一方面有賴於地方政府轉變自身在合作社發展中的定位及由政府主導的土地制度創新，另一方面則有賴於合作社實際控制人在強化內部治理及加強與社員利益聯結的努力，尤其是透過加強社員參與合作社事務決策並強化二次分紅，應能有效解決合作社在發展上所面臨的內部問題。With China’s rapid economic development and persistent institutional reform in the agriculture sector, the contradiction between small-scale farming and intense market competition faced by the single peasant has emerged. Under this condition, as an organization capable of linking farmers to the market, cooperatives might be one of the effective solutions to this problem. In the ideal model, cooperatives are organizations formed by farmers, which provide technology and marketing services for them. Therefore, there are two ways for farmers to gain from cooperatives, one is production delivery; the other is profit sharing. Cooperatives in essence have the same structure as corporations which pursue to maximize profits; however, there exist differences between these two forms of organization. Contrast to corporations; cooperatives have multiple goals. Moreover, besides capital, labor and land owned by farmers also share profits in the cooperative. Accordingly, when studying the organization forms of cooperatives, in addition to applying the methods of corporation research, it would be even more important to take into account the distinctive characters of the cooperative and the agriculture sector. In practice, it could be easily observed that the organization forms of cooperatives, which are different from the ideal model, play important roles in the operation of cooperatives. The different forms of cooperatives not only are the consequences of horizontal and vertical coordination choices; they also have significant impact on the performance of cooperatives. Based on a survey of five cooperatives producing different products in the Dongxing district of Neijiang city in Sichuan, this study attempts to explain why the organization form of cooperatives is not homogeneous and how the internal and external factors affect the organization. In our analysis, the property right approach is used to discuss the significance of these determinants. The determinants of cooperatives’ organization form are divided into two parts including internal and external ones. The internal determinants are composed of the specific right brought by contracts, the residual right and problems resulting from vague property right arrangement. Because of incomplete contracts, some sorts of right cannot be well defined; this vagueness in property right thus leads to free rider problem, reinvestment problem, opportunistic behavior and hold-up problem in the operation of cooperatives. By means of influencing profit distribution between farmers and cooperatives, the internal determinants affect cooperatives’ strategy of horizon and vertical coordination, thereby lead to the emergence of various organization forms. In terms of external determinants, behavior of local government, collective land ownership in the rural area, low income of rural labor and other elements of the society and economy, all have great effects on the organization form of cooperatives. As the cooperatives are small in scale and not in ideal conditions, our analysis finds relative to the internal determinants, external ones are more important in shaping the form of cooperatives. The external determinants dramatically change the arrangement of residual between the leader and farmer in the cooperative. In addition, among these external determinants, government’s behavior is the crucial one. The local government gets involved in all processes of cooperatives operation. In the beginning of establishment, extra benefits cooperatives receive from government are beneficial to their competition in the market. Nevertheless, these benefits are not sustainable because of the financial and promotion motivation of local officials. Therefore, if a cooperative is accustomed to relying on these benefits, it may be financially in danger when the policy alters; even a change in the government official can have an effect. Land ownership and the quality of members are the other two major determinants significantly influencing the strategy of cooperatives. Under conditions mentioned above, it is difficult for cooperatives to build close relationship with farmers. If so, the cooperative is less attractive to the farmers and it would be hard to improve the quality of products or to realize cooperatives’ plan for vertical coordination. As a result, solving these problems is an inevitable step to take for cooperatives’ future development. The suggestions of this work are two-folded. First is that as far as external determinants concern, a reorientation of the government’s behavior and the reform of land ownership are needed. On the other hand, strengthening the link between cooperatives and farmers by encouraging farmers to participate in the decision-making processes so as to share more profits from cooperatives are strongly suggested.謝辭 i 摘要 ii Abstract iv 目錄 vii 圖目錄 ix 表目錄 x 第一章 緒論 1 第一節 研究動機與目的 1 第二節 研究方法與論文架構 5 第二章 合作社的相關概念定義與發展回顧 6 第一節 本研究的概念定義 6 第二節 合作社實踐的發展 13 第三節 合作社研究的文獻回顧 20 第四節 合作社組織型態在農業領域出現的必然性 24 第三章 理論文獻的回顧 28 第一節 財產權理論 28 第二節 財產權理論在合作社研究中的應用 36 第三節 中國地方政府行為、財政制度與土地制度的研究 43 第四章 內江市東興區五家合作社的運作 47 第一節 內江市東興區農業及農業管理部門的基本情況 47 第二節 訪談設計與東興區合作社的發展 50 第三節 五家合作社模式的總結 60 第五章 影響合作社組織型態的內部因素 69 第一節 合作社中商品與要素契約的討論 69 第二節 剩餘權的分配 74 第三節 小結 79 第六章 影響合作社組織型態的外部因素 81 第一節 地方政府行為對合作社組織型態的影響 81 第二節 土地制度對合作社組織型態的影響 89 第三節 經濟社會因素對合作社組織型態的影響 93 第七章 結論與建議 95 第一節 結論 95 第二節 建議 97 第三節 研究限制 98 參考文獻 100 【附錄】論文訪談安排 1081214789 bytesapplication/pdf論文公開時間：2015/07/04論文使用權限：同意有償授權(權利金給回饋學校)合作社組織型態財產權契約政府行為[SDGs]SDG8thesishttp://ntur.lib.ntu.edu.tw/bitstream/246246/263600/1/ntu-103-R01627028-1.pdf