【作者】 李敏；

【导师】 胡继连；

【作者基本信息】 山东农业大学 ， 农业经济管理， 2016， 博士

【摘要】 食用菌种植业是典型的生态循环农业,具有“不与人争粮,不与粮争地,不与地争肥,不与农争时”的优良特性。近年来,随着食用菌产业的发展,新兴的生产主体食用菌工厂化种植企业发展迅速。但是目前山东省85.7%的食用菌是由分散种植户生产的,散户依旧是食用菌产业最大的生产主体。基于山东省食用菌散户的生产经营现状,运用产业组织和农户行为等理论,本研究对散户的生产与销售行为、横向合作行为、与厂企竞合行为和生产经营绩效进行了分析。生产与销售行为方面,通过实地调研和问卷调查,发现山东省食用菌分散种植户的经营规模普遍较小、生产设施简陋、组织化程度低。在此基础上,进一步对散户生产与销售行为的缺陷进行了分析,认为议价能力弱、技术操作水平低、外部交易成本高、销售渠道有限、抵御市场风险的能力差等因素严重制约着散户生存能力的提升。为了克服经营困难、应对市场竞争,部分散户选择了合作行为,参与了各种形式的紧密产业组织。本文重点对散户的横向合作行为和与厂企竞合行为进行了深入研究。横向合作行为方面,调研数据显示受访散户参与横向合作的比例为68.67%;大部分散户参与横向合作的年限较长;生产过程中,散户在生产原材料购买、技术支持方面的合作参与程度较高;契约约束方面,散户与合作社之间签订供销合同的比重较低,契约化程度不高。文章还对散户参与横向合作意愿的影响因素进行了二元Logistic回归分析,结果显示样本散户的性别、文化程度、食用菌年产量、食用菌种植经验、专业化程度、所在地距农贸市场距离、政府宣传推广和周边散户参与横向合作的比例对散户是否参与横向合作有正向影响;其中,影响最为显著的是政府宣传推广、食用菌种植经验和食用菌年产量。与厂企竞合行为方面,构建了食用菌散户与工厂化种植企业竞合的理论模型,认为竞合行为产生的主要动因是资源依赖和利益最大化,通过有效竞合可以促进散户与厂企的资源优化配置、促进专业化分工、提高生产效率、降低生产成本、扩大市场份额、提升收入水平,实现整体利益的最大化。然而,竞合行为也会增加食用菌厂企的收益不确定性和管理协调成本,提高食用菌散户的行业退出成本,降低散户的自主性与灵活性。在此基础上利用双种群演化博弈模型对竞合行为的演化机制及其影响因素进行了分析,指出影响竞合关系演化方向的因素有竞合的成本、竞合的超额收益和超额收益的分配。基于调查数据,对现实中散户与厂企的竞合行为进行了分析,认为目前散户与厂企的整体竞合关系大致处于竞争主导型阶段,加强合作是当前的首要任务。食用菌散户的生产经营行为绩效方面,利用成本收益指标对样本散户的生产行为绩效进行了评价,结果显示样本散户的平均生产成本和平均成本收益率分别为6.3674元/Kg和69.1800%;利用DEA数据包络模型对食用菌散户的技术效率进行了分析,发现散户的整体综合技术效率和纯技术效率均处于轻微无效状态,整体规模技术效率呈较为有效状态。基于此,对不同产业组织形式下散户的行为绩效进行了对比分析,发现未参与紧密产业组织形式的散户单位收益、单位生产成本收益率、综合技术效率、纯技术效率和规模效率均低于参与紧密产业组织形式的散户,即参与紧密产业组织的散户行为绩效高于未参与紧密产业组织的散户。在绩效评价的基础上,对散户生产经营行为绩效的影响因素进行了分析。一方面利用逐步回归模型对散户净收益的影响因素进行了分析,结果表明产业组织形式、参与技术培训的频率、食用菌年产量、食用菌销售价格和原材料成本是影响散户净收益的主要因素。另一方面,在技术效率估计结果的基础上,利用Tobit模型对技术效率的影响因素进行了研究,结果显示显著影响综合技术效率和纯技术效率的因素包括:专业化程度、技术培训频率、产业组织形式和散户的种植经验;显著影响散户规模效率的因素为:专业化程度、散户的种植经验、产业组织形式及散户的年龄。基于对食用菌产业发展现状和散户生产经营行为、绩效的分析,对散户的产业主体地位进行了论证。认为由于食用菌市场规模不断扩大、散户具有成本和灵活性优势、且厂企的发展受限,食用菌散户将长期保持产业主体地位。根据以上研究结论,分别从食用菌散户和政府的视角出发,提出了促进山东省食用菌散户行为优化和健康持续发展的相关对策建议。更多还原

【Abstract】 Cultivation of edible mushrooms is a typical form of ecological agriculture; it bears the virtues of not opposing threats to food security, not taking land from cereal crop cultivation, not requiring fertile land, and not largely depending on seasonal factors. In recent years, as the industry advances, a change in industrial organizational forms has emerged, namely the uprising of large-scale enterprises engaging in industrialized edible mushroom cultivation. However, 85.7% of the edible mushroom production still comes from small-scaled farmers; it is safe to say that the edible mushroom cultivation is still dominated by small-scale farmers. Based on the analysis of small-scale farmers’ behaviors, applying the theory of industrial organization and farmers’ behavior, production behavior and performance of small-scale farmers engaging in edible mushroom cultivation were studied.This dissertation first performed analysis on production and sales behaviors of small-scale farmers, building on data from field surveys and questionnaires, it was concluded that the scale of operation of farmers is usually limited, production facilities is crude, and level of organization is low. Based on the analysis, the disadvantages of farmers was studied; namely low operating technique, limited sales channels, expensive transactional cost and vulnerability towards market risks. To cope with market competition, a part of small-scale farmers chose to cooperate, joining industrial organizations. This manuscript mainly performed in-depth study on farmers’ horizontal cooperation behavior and co-opetition behavior with large-scale enterprises.As for horizontal cooperation behavior, survey statistics showed that the percentage of farmers enrolled in cooperatives is 68.7%, most of them has been enrolled for a relatively long period of time, while during the past three years, enrollment rate has not seen much growth. In the process of production, farmers are highly cooperative as of raw material purchase and technical support; contract enforcement wise, the rate of contract signing is very low. This paper also implemented a binary logistic regression on factors effecting farmers’ intention to cooperate horizontally. The estimates showed that gender of farmers, level of education, output of edible mushrooms, experience in mushroom cultivation, degree of specialization, distance from local grocery market, government promotion and enrollment status of neighboring farmers have significant positive influence on farmers’ intention to cooperate horizontally. Amongst all the factors, government promotion, experience in mushroom cultivation and output of edible mushrooms are the most significant ones.As for co-opetition with large-scale enterprises, this paper first conceptualized a theoretic model of co-opetition. In the model, it was argued that dependency on resources and pursuit of maximization of personal benefits are the motives for co-opetition. By co-opetiting with each other, both farmers and enterprises could optimize the allocation of resources, improve level of specialization, promote efficiency, reduce production cost, expand market shares and increase the amount of income, so as to maximize the overall benefit. However, co-opetition can also give rise to uncertainty of income and increase of internal management fee of enterprises, as well as higher market exit cost and compromised autonomy and flexibility of farmers. The mechanism of co-opetition evolution and its corresponding influencing factors were then analyzed employing evolutionary game theory, pointing out that cost, excess earnings and the distribution of excess earnings have significant influence on the evolution of co-opetitive relationship. Finally, according to data acquired in field surveys, the actual co-opetitive behavior was analyzed, arriving at the conclusion that the overall co-opetitive relationship between farmers and enterprise is competition dominant, to promote cooperation is the priority of co-opetitive behavior development.As for the performance of small-scale farmers, two indexes were applied to the competitive performance valuation of farmers from different organizational forms. As far as the cost-income index was concerned, income per unit and profit rates of farmers free from any industrial organizations are the lowest; those of the farmers who are members of cooperatives are the highest. In other words, the performance of farmers joining cooperatives is higher than that of farmers who co-opete with enterprises, and that of self-sufficient farmers is the lowest. Judging from technical efficiency, the three efficiency parameters of self-sufficient farmers are all lower than those of farmers joining industrial organizations. To sum up, performance of self-sufficient farmers are significantly lower than those who have joined industrial organizations.Based on performance valuation, factors effecting farmer’ performance were analyzed. On one hand, stepwise regression model were implemented in studying factors effecting net income of farmers. The estimates suggested that factors includes organizational forms, participation of technique trainings, annual output of edible mushrooms, sales price and cost for raw materials are the significant ones. On the other hand, using estimates of technical efficiency, variables that have influences on technical efficiency were identified with tobit regression model. Model estimates showed that level of specialization, participation of technique trainings, organizational forms and experience in mushroom cultivation has significant influence on technical efficiency and pure technical efficiency; while level of specialization, participation of technique trainings, organizational forms and age has influence on scale efficiency.On account of analysis about the edible mushroom industry, farmers’ behaviors and performance valuation, it was argued that small-scale farmers will remain the dominant producers of edible mushroom, in that the market size is expanding, farmers enjoy advantages in production cost and flexibility, and enterprises’ development has certain limitations. Finally, in the perspectives of farmers themselves and government, recommendations on how to further optimize the behavior and promote the development of small scale farmers engaging in mushroom production were proposed accordingly.更多还原