“农户+合作社+超市”模式的合作绩效与剩余分配
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摘要
本文以当前我国“农超对接”中最具代表性的“农户+合作社+超市”模式为例,利用在山东省、海南省和浙江省579户西兰花种植户的问卷调查数据以及合作社和超市的访谈材料,分析了“农超对接”进程中农户、合作社、超市之间的合作绩效和合作剩余分配情况。从理论和实证上回答了“农户+合作社+超市”模式的4个关键性问题：(1)“农户+合作社+超市”模式如何在农产品供应链中创造合作剩余?(2)“农户+合作社+超市”模式是否使农户收入增加?(3)“农户+合作社+超市”模式导致农户行为发生哪些变化?(4)“农户+合作社+超市”模式能否在供应链中建立一个既公平、又有效率的合作剩余分配方案?对上述4个问题的回答形成了本文的主要结论：
(1)在“农户+合作社+超市”模式中,农户、合作社和超市三者通过有效的合作,成功实现了对西兰花的质量提升和成本控制,进而提高了西兰花的市场价值。另外,“农户+合作社+超市”模式还通过产品品质创新、生产方法创新、产业组织创新、销售市场创新,在农产品供应链中创造了大量的合作剩余。
(2)销售渠道对西兰花种植户的销售净收入具有显著影响。参与“经合作社卖给超市”销售渠道(即“农户+合作社+超市”模式)的农户获得的销售净收入,显著高于参与小商贩渠道、批发商渠道、加工企业订单、“合作社未卖给超市”等渠道的农户获得的净收入。此外,户主年龄、户主是否为村干部、户主每年接受培训的次数、西兰花种植面积、市场需求信息的可获得性、完成销售所需的运输距离等因素对农户的销售净收入具有显著影响。
(3)尽管“农户+合作社+超市”模式约束了农户自由调节生产要素使用的权利,导致其技术效率有所降低,但该模式中的农户通过安全生产和对西兰花的质量加工,有效提高了西兰花的市场价值,使得“农户+合作社+超市”模式的经济效率显著提高。进一步研究发现,影响农户安全生产行为的因素包括销售渠道、西兰花种植面积、全家务农总人数、农药购买方式、农药成本、化肥投入量等。此外,销售渠道、户主每年接受培训的次数、全家务农总人数、对加工价格的预期、对加工方式的认知、产品加工配套设施等因素显著影响农户对西兰花的质量加工行为。
(4)在“农户+合作社+超市”模式中,信息获取能力和风险控制能力决定了不同行为主体对合作剩余的分配。其中,农户获取西兰花销售中的价格溢价；合作社获取其社会网络资源的经济租金；超市拥有市场营销活动的剩余索取权,并获取超额利润。进一步研究发现,影响农户的信息获取能力的因素主要包括农业投入、农户认知、销售渠道、政策环境。此外,影响农户的风险控制能力的因素主要包括农户身份、购销合约、市场信息、政策环境。
总体而言,本文将理论与实证较好地结合在一起。从农产品供应链中不同主体之间合作与竞争关系的视角,分析了“农户+合作社+超市”模式的合作绩效与合作剩余分配。本文在以下方面拓展了经典理论的适用范围：首先,通过将Porter的竞争优势理论在农产品中具体应用,建立了农产品市场价值影响因素的分析框架；其次,基于诱致性制度变迁和诱致性技术变迁理论,为农户采取安全生产行为和质量加工行为的分析提供了理论基础。最后,基于Barzel的产权理论,从信息获取能力和风险控制能力两个维度,分析了农产品供应链中不同主体之间的合作剩余分配机制。
This dissertation takes "farmer+cooperative+supermarket" mode, a representative of "Farmer-supermarket direct-purchase" modes as the example, using a survey data of579broccoli planters, together with other interview materials of cooperatives and supermarkets from Shandong, Hainan and Zhejiang Province. The dissertation also analyses the cooperation performance and its surplus allocation from the mode of "farmer+cooperative+supermarket''
This dissertation provides theoretical and empirical answers to the following four key questions among "farmer+cooperative+supermarket" mode:(1) How does the mode of "farmer+cooperative+supermarket" create cooperation surplus in agri-product supply chain?(2) Does this mode increase farmers'income?(3) What changes of famer's behavior do the mode spur?(4) Is any fair and efficient allocation system of cooperation surplus established in agri-product supply chain by "farmer+cooperative+supermarket" mode? The answers to the above four questions can be summarized as the conclusions of the dissertation.
(1) An effective cooperation based on the mode of "farmer+cooperative+supermarket" among farmers, cooperatives and supermarkets has successfully increased broccoli's market value by improvement of broccoli's quality and control of broccoli's cost. In addition, the mode of "farmer+cooperative+supermarket" creates a lot of cooperation surplus by innovation of agri-product quality, production's method, cooperative mode as well as selling market.
(2) The econometrics model results of factors of broccoli planter's net income also show that marketing channel has significant effects on farmer's net income. Farmers who sell their products directly to supermarkets via cooperative gain more net income than those sell products via market channels like wet market, wholesale market, processing enterprise's contract, and do not sell directly to supermarket via cooperative. Furthermore, significant factors including householder's age, village's leader, training's frequency, acreage of broccoli, acquisition of market information and distance of transaction affect farmer's net income.
(3) The results indicate that technical efficiency of the mode of "farmer+cooperative+supermarket" begins to fall because the mode implemented by farmers has restricted their right of adjusting input factors. However, the "farmer+ cooperative+supermarket" mode can improve economic efficiency because it improves premium price of broccoli by safety production and processing. The results also demonstrate that factors including marketing channel, acreage of broccoli, numbers of agricultural labors in a family, pesticide buying method, pesticide cost and inputs of chemical fertilizer had significant effects on farmer's safety production behavior. In addition, the results show that marketing channel, training frequency, numbers of agricultural labors in a family, expectation on prices of processing, recognition of processing methods, supporting facilities of processing are significant factors influencing farmer's behavior of product processing.
(4) Cooperation surplus allocation depends on the partners'ability of information acquisition and risk control during "farmer+cooperative+supermarket" mode. Among the three partners of supply chain, a part of the surplus acts as farmer's premium price regarding production, a part of the surplus is shared by cooperatives as economical rent for their social network resources and the remains is distributed to the supermarket in the form of excess profit. The results also demonstrate that factors including agricultural input, farmer's recognition, marketing channel and governmental policy had significant effects on farmer's ability in information acquisition. The results also show that farmer's identity, sales contract, market's information and governmental policy are significant factors influencing farmer's ability of risk control.
In conclusion, from the perspective of relationship between cooperation and competition among different partners in agri-product supply chain, the dissertation combines theoretical and empirical analysis effectively to analysis cooperation performance and its surplus allocation between different bodies from the mode of "farmer+cooperative+supermarket". So the dissertation explores to expand the application of the classical theories as following:Firstly, an analytical framework has been constructed for the analyses of factors influencing market value of agri-products. by applying the Theory of Competitive Advantage of M. Porter. Secondly, this dissertation puts forward a theoretical basis of farmer's behavior of safety production and product processing, based on the induced institutional change and induced technological change theory. Last but not least, based on the Theory of Property Rights of Y. Barzel, this dissertation also analyses surplus allocation scheme among different partners from their ability of information acquisition and risk control in agi-product supply chain.
(1)在“农户+合作社+超市”模式中,农户、合作社和超市三者通过有效的合作,成功实现了对西兰花的质量提升和成本控制,进而提高了西兰花的市场价值。另外,“农户+合作社+超市”模式还通过产品品质创新、生产方法创新、产业组织创新、销售市场创新,在农产品供应链中创造了大量的合作剩余。
(2)销售渠道对西兰花种植户的销售净收入具有显著影响。参与“经合作社卖给超市”销售渠道(即“农户+合作社+超市”模式)的农户获得的销售净收入,显著高于参与小商贩渠道、批发商渠道、加工企业订单、“合作社未卖给超市”等渠道的农户获得的净收入。此外,户主年龄、户主是否为村干部、户主每年接受培训的次数、西兰花种植面积、市场需求信息的可获得性、完成销售所需的运输距离等因素对农户的销售净收入具有显著影响。
(3)尽管“农户+合作社+超市”模式约束了农户自由调节生产要素使用的权利,导致其技术效率有所降低,但该模式中的农户通过安全生产和对西兰花的质量加工,有效提高了西兰花的市场价值,使得“农户+合作社+超市”模式的经济效率显著提高。进一步研究发现,影响农户安全生产行为的因素包括销售渠道、西兰花种植面积、全家务农总人数、农药购买方式、农药成本、化肥投入量等。此外,销售渠道、户主每年接受培训的次数、全家务农总人数、对加工价格的预期、对加工方式的认知、产品加工配套设施等因素显著影响农户对西兰花的质量加工行为。
(4)在“农户+合作社+超市”模式中,信息获取能力和风险控制能力决定了不同行为主体对合作剩余的分配。其中,农户获取西兰花销售中的价格溢价；合作社获取其社会网络资源的经济租金；超市拥有市场营销活动的剩余索取权,并获取超额利润。进一步研究发现,影响农户的信息获取能力的因素主要包括农业投入、农户认知、销售渠道、政策环境。此外,影响农户的风险控制能力的因素主要包括农户身份、购销合约、市场信息、政策环境。
总体而言,本文将理论与实证较好地结合在一起。从农产品供应链中不同主体之间合作与竞争关系的视角,分析了“农户+合作社+超市”模式的合作绩效与合作剩余分配。本文在以下方面拓展了经典理论的适用范围：首先,通过将Porter的竞争优势理论在农产品中具体应用,建立了农产品市场价值影响因素的分析框架；其次,基于诱致性制度变迁和诱致性技术变迁理论,为农户采取安全生产行为和质量加工行为的分析提供了理论基础。最后,基于Barzel的产权理论,从信息获取能力和风险控制能力两个维度,分析了农产品供应链中不同主体之间的合作剩余分配机制。
This dissertation takes "farmer+cooperative+supermarket" mode, a representative of "Farmer-supermarket direct-purchase" modes as the example, using a survey data of579broccoli planters, together with other interview materials of cooperatives and supermarkets from Shandong, Hainan and Zhejiang Province. The dissertation also analyses the cooperation performance and its surplus allocation from the mode of "farmer+cooperative+supermarket''
This dissertation provides theoretical and empirical answers to the following four key questions among "farmer+cooperative+supermarket" mode:(1) How does the mode of "farmer+cooperative+supermarket" create cooperation surplus in agri-product supply chain?(2) Does this mode increase farmers'income?(3) What changes of famer's behavior do the mode spur?(4) Is any fair and efficient allocation system of cooperation surplus established in agri-product supply chain by "farmer+cooperative+supermarket" mode? The answers to the above four questions can be summarized as the conclusions of the dissertation.
(1) An effective cooperation based on the mode of "farmer+cooperative+supermarket" among farmers, cooperatives and supermarkets has successfully increased broccoli's market value by improvement of broccoli's quality and control of broccoli's cost. In addition, the mode of "farmer+cooperative+supermarket" creates a lot of cooperation surplus by innovation of agri-product quality, production's method, cooperative mode as well as selling market.
(2) The econometrics model results of factors of broccoli planter's net income also show that marketing channel has significant effects on farmer's net income. Farmers who sell their products directly to supermarkets via cooperative gain more net income than those sell products via market channels like wet market, wholesale market, processing enterprise's contract, and do not sell directly to supermarket via cooperative. Furthermore, significant factors including householder's age, village's leader, training's frequency, acreage of broccoli, acquisition of market information and distance of transaction affect farmer's net income.
(3) The results indicate that technical efficiency of the mode of "farmer+cooperative+supermarket" begins to fall because the mode implemented by farmers has restricted their right of adjusting input factors. However, the "farmer+ cooperative+supermarket" mode can improve economic efficiency because it improves premium price of broccoli by safety production and processing. The results also demonstrate that factors including marketing channel, acreage of broccoli, numbers of agricultural labors in a family, pesticide buying method, pesticide cost and inputs of chemical fertilizer had significant effects on farmer's safety production behavior. In addition, the results show that marketing channel, training frequency, numbers of agricultural labors in a family, expectation on prices of processing, recognition of processing methods, supporting facilities of processing are significant factors influencing farmer's behavior of product processing.
(4) Cooperation surplus allocation depends on the partners'ability of information acquisition and risk control during "farmer+cooperative+supermarket" mode. Among the three partners of supply chain, a part of the surplus acts as farmer's premium price regarding production, a part of the surplus is shared by cooperatives as economical rent for their social network resources and the remains is distributed to the supermarket in the form of excess profit. The results also demonstrate that factors including agricultural input, farmer's recognition, marketing channel and governmental policy had significant effects on farmer's ability in information acquisition. The results also show that farmer's identity, sales contract, market's information and governmental policy are significant factors influencing farmer's ability of risk control.
In conclusion, from the perspective of relationship between cooperation and competition among different partners in agri-product supply chain, the dissertation combines theoretical and empirical analysis effectively to analysis cooperation performance and its surplus allocation between different bodies from the mode of "farmer+cooperative+supermarket". So the dissertation explores to expand the application of the classical theories as following:Firstly, an analytical framework has been constructed for the analyses of factors influencing market value of agri-products. by applying the Theory of Competitive Advantage of M. Porter. Secondly, this dissertation puts forward a theoretical basis of farmer's behavior of safety production and product processing, based on the induced institutional change and induced technological change theory. Last but not least, based on the Theory of Property Rights of Y. Barzel, this dissertation also analyses surplus allocation scheme among different partners from their ability of information acquisition and risk control in agi-product supply chain.
引文
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