猪肉加工企业质量安全可追溯行为及绩效研究
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摘要
我国是猪肉生产和消费的大国,猪肉是我国居民日常生活最主要的肉类食品,其质量安全备受关注。尽管我国各级政府不断加强对猪肉及相关产品的监管,但猪肉质量安全问题仍层出不穷,严重威胁广大人民群众的身心健康,也极大阻碍了我国猪肉产业的健康发展,成为民生问题之首。
质量安全可追溯是迄今为止最有效的食品安全管理方法,在欧美等发达国家中广泛应用。我国现行猪肉供应链结构和产业政策决定了加工企业是质量安全管理的核心主体,作为典型经济组织,其质量安全可追溯行为的实施和绩效提升对猪肉供应链质量安全管理具有决定性作用,并成为促进猪肉质量安全可追溯体系建设,提高猪肉供应链质量安全管理水平的关键。但实践中,猪肉加工企业的核心作用并未凸显,质量安全可追溯也并未发挥应有作用。
鉴于此,本研究聚焦猪肉加工企业质量安全可追溯行为和绩效,研究目的、理论和实践意义在于系统揭示猪肉加工企业质量安全可追溯行为及绩效产生、发展和演化的机理,从理论上探索和构建与我国猪肉供应链相适应的质量安全可追溯体系的发展模式,激励、监督机制和治理结构,提出改善我国猪肉及产品质量安全的政策建议。主要研究内容、研究方法和创新性成果如下：
第1章为“导论”。提出研究问题,总结发达国家肉类供应链质量安全可追溯体系建设的经验,界定基本概念,阐述研究目标、内容及意义,确立框架结构和研究方法,陈述数据来源和研究设计,以及主要创新之处。
第2章为“理论基础与研究综述”。对质量安全可追溯理论、农产品供应链管理理论、食品安全管理理论、交易费用产业经济学理论和委托代理理论进行简要回顾,在此基础上,对质量安全可追溯行为及绩效的国内外研究进行系统梳理和综述。
第3章为“我国猪肉加工企业质量安全可追溯建设情况及关键问题”。借助有关我国猪肉供应链及其质量安全管理的文献资料,结合专家访谈和实地调研,推导出加工企业成为我国猪肉供应链质量安全管理核心主体的经济合理性和必然性；从管制要求和实践效果两方面探究我国猪肉加工企业质量安全可追溯建设情况,揭示出质量安全可追溯行为供给不足和绩效低下的关键问题。
第4章为“猪肉加工企业质量安全可追溯行为研究：一个扩展的交易费用框架”。从交易费用产业经济学中的纵向协作理论出发,构建一个扩展的交易费用分析框架,利用浙江、江西两省143家猪肉加工企业的调研数据,引入Ordinal Logit模型和调节效应对猪肉加工企业质量安全可追溯行为的发生、演化机理展开实证研究,结果显示,专用性资产投资水平在上下游组织质量安全不确定性、政府监管和消费者质量安全需求的不确定性、企业能力和业务类型等交易费用和非交易费用因素的调节作用下正向影响企业质量安全可追溯行为水平。
第5章为“猪肉加工企业质量安全可追溯的运作绩效研究”。借鉴前人研究,构建猪肉加工企业质量安全可追溯运作绩效的成本收益框架,借助因子分析和聚类分析识别出供应链改善型、市场实现型和匮乏型三种运作绩效模式；进一步利用调研数据实证分析企业内外部环境因素对运作绩效的影响,发现产业政策执行情况、企业决策者食品安全意识、质量安全成为企业战略的情况和企业对上下游组织的控制力对运作绩效起到了显著正向影响,而产业集中度、品牌和信任水平对运作绩效则具有显著负向影响。
第6章为“猪肉加工企业质量安全可追溯的后向控制绩效研究”。通过构建猪肉加工企业与养殖户间的委托代理模型,引入猪瘟疫苗控制技术数据实证分析猪肉加工企业质量安全可追溯后向控制绩效,结果显示,后向控制绩效必须结合条件支付计划才能实现,企业在支付价格、追溯系统成本和问题产品损失间进行平衡,以此获取绩效并选择一个合理追溯水平；进一步通过灵敏度分析实证研究后向控制绩效的影响因素,发现养殖户风险规避系数,养殖户质量安全行为对企业造成损失,企业追溯成本和养殖户质量安全行为成本显著影响后向控制绩效。针对杭州五丰联合肉类有限公司的案例分析对之前结论提供了有力证明。
第7章为“研究结论与政策建议”。系统总结本文的结论,在此基础上提出相关政策建议,并对今后研究进行展望。
China is a large country of producing and consuming pork. Pork is the most main meat food in the residents'daily life, and its quality and safety is attracting much attention. Although Chinese government is continuouly strengthening the supervision of pork and pork products, the crisis of pork quality and safety still emerges in an endless stream. The crisis threats the people's mental and physical health severely, and becomes great barrier to the development of pork industry. So it turns into the first livelihood issue.
Traceability of quality and safety is the most effective management tool of food safety to this day. It is used extensively by developed countries in Europe and America. The structure of Chinese pork supply chain and industrial policy makes the processing plants become the core subject in pork quality and safety management. As the typical economic organization, the implementation of the traceability behavior and the promotion of the traceability performance of quality and safety are crucial in quality and safety management of pork supply chain, accelerating the development of pork quality and safety traceability system, and increasing the level of quality and safety management of pork. But in practice, the central role of pork processing plants is not prominent, and traceability of quality and safety don't play a due role.
In view of this, the research focuses on the traceability behavior and performance of pork processing plants. The purpose and significance include:enriching and developing the economic theory of quality and safety traceability of agi-food, exploring and fostering the model, mechanism and governance structure of Chinese pork quality and safety traceability system, and presenting the policy suggestions. The main research content, research methods and innovation achievements are as follows:
Chapter1is Introduction, in which the issue is put forward. The successful experience of the developed countries on quality and safety traceability system of meat supply is summarized; the basic concepts are defined; the research purpose, content and significance are stated; the framework and method are established, and the data sources, research designing, innovation and weakness are declared.
Chapter2is Theory Foundation and Research Summary, in which some theories such as quality and safety traceability, agri-food supply chain management, transaction cost industrial economics and principal-agent, are briefly reviewed. On this basis, the domestic and foreign research on traceability behavior and performance of quality and safety are summarized.
Chapter3is The Development and Key Problems in Quality and Safety Traceability of Chinese Pork Processing Plants. In this chapter, the rationality and inevitability that the pork processing plants become the core role in quality and safety management of Chinese pork supply chain are inferred, which based on some literatures, the expert interview and field investigation. In view of the surveillance requirement and practice effect, the research explores the development of quality and safety traceability of Chinese pork processing plants, and reveals some key issues such as insufficient behavior supply and low performance.
Chapter4is the Study of Quality and Safety Traceability Behavior of Pork Processing Plants--A Extended Transaction Cost Frame. In this chapter, according to Vertical coordination theory, the study builds a extended transaction cost frame to analysis the quality and safety traceability behavior of pork processing plants, on the basis of143pork processing plants' data from Zhejiang province and Jiangxi province. The result shows that asset specificity of plants affect the level of quality and safety traceability behavior positively, in which uncertainty from the upstream and downstream organizations, consumers and government, as well as plants', capabilities and business type are moderators.
Chapter5is the Study of Traceability Operation Performance of Pork Processing Plants. In this chapter, consulting previous research, the study which builds a cost-benefit frame of traceability operation performance of pork processing plants, with the help of Factor and Cluster analysis, distinguishes difference model such as supply chain improvement, market realization and dearth. Further, the study analysis the effect of internal and external environmental factors on traceability operation performance, the effect of degree of industrial concentration, industrial policy, consciousness of food safety, strategy and control is positive, but the effect of brand and trust is negative.
Chapter6is the Study of Traceability Backward Control Performance of Pork Processing Plants. In this chapter, the study builds principal-agency model between pork processing plant and peasant household, using hog cholera vaccine data, analyizing traceability backward control performance of pork processing plants empirically. The result shows the acquirement of backward control performance must combine with payment plans. Plants gain performance and choice traceability level by way of equilibrium among price, traceability and damage. With help of sensitivity analysis, the influent factors of backward control performance are studied, the effect of coefficient of risk aversion of peasant household, damage to plants because of peasant household's quality and safety management, traceability cost of plants and peasant household's quality and safety behavior cost are significant. The case analysis confirms the result.
Chapter7is Conclusion and Policy Suggestion. In this chapter, the conclusion is summarized, and some policy suggestions are commended. Finally, the follow-up research is prospected.
质量安全可追溯是迄今为止最有效的食品安全管理方法,在欧美等发达国家中广泛应用。我国现行猪肉供应链结构和产业政策决定了加工企业是质量安全管理的核心主体,作为典型经济组织,其质量安全可追溯行为的实施和绩效提升对猪肉供应链质量安全管理具有决定性作用,并成为促进猪肉质量安全可追溯体系建设,提高猪肉供应链质量安全管理水平的关键。但实践中,猪肉加工企业的核心作用并未凸显,质量安全可追溯也并未发挥应有作用。
鉴于此,本研究聚焦猪肉加工企业质量安全可追溯行为和绩效,研究目的、理论和实践意义在于系统揭示猪肉加工企业质量安全可追溯行为及绩效产生、发展和演化的机理,从理论上探索和构建与我国猪肉供应链相适应的质量安全可追溯体系的发展模式,激励、监督机制和治理结构,提出改善我国猪肉及产品质量安全的政策建议。主要研究内容、研究方法和创新性成果如下：
第1章为“导论”。提出研究问题,总结发达国家肉类供应链质量安全可追溯体系建设的经验,界定基本概念,阐述研究目标、内容及意义,确立框架结构和研究方法,陈述数据来源和研究设计,以及主要创新之处。
第2章为“理论基础与研究综述”。对质量安全可追溯理论、农产品供应链管理理论、食品安全管理理论、交易费用产业经济学理论和委托代理理论进行简要回顾,在此基础上,对质量安全可追溯行为及绩效的国内外研究进行系统梳理和综述。
第3章为“我国猪肉加工企业质量安全可追溯建设情况及关键问题”。借助有关我国猪肉供应链及其质量安全管理的文献资料,结合专家访谈和实地调研,推导出加工企业成为我国猪肉供应链质量安全管理核心主体的经济合理性和必然性；从管制要求和实践效果两方面探究我国猪肉加工企业质量安全可追溯建设情况,揭示出质量安全可追溯行为供给不足和绩效低下的关键问题。
第4章为“猪肉加工企业质量安全可追溯行为研究：一个扩展的交易费用框架”。从交易费用产业经济学中的纵向协作理论出发,构建一个扩展的交易费用分析框架,利用浙江、江西两省143家猪肉加工企业的调研数据,引入Ordinal Logit模型和调节效应对猪肉加工企业质量安全可追溯行为的发生、演化机理展开实证研究,结果显示,专用性资产投资水平在上下游组织质量安全不确定性、政府监管和消费者质量安全需求的不确定性、企业能力和业务类型等交易费用和非交易费用因素的调节作用下正向影响企业质量安全可追溯行为水平。
第5章为“猪肉加工企业质量安全可追溯的运作绩效研究”。借鉴前人研究,构建猪肉加工企业质量安全可追溯运作绩效的成本收益框架,借助因子分析和聚类分析识别出供应链改善型、市场实现型和匮乏型三种运作绩效模式；进一步利用调研数据实证分析企业内外部环境因素对运作绩效的影响,发现产业政策执行情况、企业决策者食品安全意识、质量安全成为企业战略的情况和企业对上下游组织的控制力对运作绩效起到了显著正向影响,而产业集中度、品牌和信任水平对运作绩效则具有显著负向影响。
第6章为“猪肉加工企业质量安全可追溯的后向控制绩效研究”。通过构建猪肉加工企业与养殖户间的委托代理模型,引入猪瘟疫苗控制技术数据实证分析猪肉加工企业质量安全可追溯后向控制绩效,结果显示,后向控制绩效必须结合条件支付计划才能实现,企业在支付价格、追溯系统成本和问题产品损失间进行平衡,以此获取绩效并选择一个合理追溯水平；进一步通过灵敏度分析实证研究后向控制绩效的影响因素,发现养殖户风险规避系数,养殖户质量安全行为对企业造成损失,企业追溯成本和养殖户质量安全行为成本显著影响后向控制绩效。针对杭州五丰联合肉类有限公司的案例分析对之前结论提供了有力证明。
第7章为“研究结论与政策建议”。系统总结本文的结论,在此基础上提出相关政策建议,并对今后研究进行展望。
China is a large country of producing and consuming pork. Pork is the most main meat food in the residents'daily life, and its quality and safety is attracting much attention. Although Chinese government is continuouly strengthening the supervision of pork and pork products, the crisis of pork quality and safety still emerges in an endless stream. The crisis threats the people's mental and physical health severely, and becomes great barrier to the development of pork industry. So it turns into the first livelihood issue.
Traceability of quality and safety is the most effective management tool of food safety to this day. It is used extensively by developed countries in Europe and America. The structure of Chinese pork supply chain and industrial policy makes the processing plants become the core subject in pork quality and safety management. As the typical economic organization, the implementation of the traceability behavior and the promotion of the traceability performance of quality and safety are crucial in quality and safety management of pork supply chain, accelerating the development of pork quality and safety traceability system, and increasing the level of quality and safety management of pork. But in practice, the central role of pork processing plants is not prominent, and traceability of quality and safety don't play a due role.
In view of this, the research focuses on the traceability behavior and performance of pork processing plants. The purpose and significance include:enriching and developing the economic theory of quality and safety traceability of agi-food, exploring and fostering the model, mechanism and governance structure of Chinese pork quality and safety traceability system, and presenting the policy suggestions. The main research content, research methods and innovation achievements are as follows:
Chapter1is Introduction, in which the issue is put forward. The successful experience of the developed countries on quality and safety traceability system of meat supply is summarized; the basic concepts are defined; the research purpose, content and significance are stated; the framework and method are established, and the data sources, research designing, innovation and weakness are declared.
Chapter2is Theory Foundation and Research Summary, in which some theories such as quality and safety traceability, agri-food supply chain management, transaction cost industrial economics and principal-agent, are briefly reviewed. On this basis, the domestic and foreign research on traceability behavior and performance of quality and safety are summarized.
Chapter3is The Development and Key Problems in Quality and Safety Traceability of Chinese Pork Processing Plants. In this chapter, the rationality and inevitability that the pork processing plants become the core role in quality and safety management of Chinese pork supply chain are inferred, which based on some literatures, the expert interview and field investigation. In view of the surveillance requirement and practice effect, the research explores the development of quality and safety traceability of Chinese pork processing plants, and reveals some key issues such as insufficient behavior supply and low performance.
Chapter4is the Study of Quality and Safety Traceability Behavior of Pork Processing Plants--A Extended Transaction Cost Frame. In this chapter, according to Vertical coordination theory, the study builds a extended transaction cost frame to analysis the quality and safety traceability behavior of pork processing plants, on the basis of143pork processing plants' data from Zhejiang province and Jiangxi province. The result shows that asset specificity of plants affect the level of quality and safety traceability behavior positively, in which uncertainty from the upstream and downstream organizations, consumers and government, as well as plants', capabilities and business type are moderators.
Chapter5is the Study of Traceability Operation Performance of Pork Processing Plants. In this chapter, consulting previous research, the study which builds a cost-benefit frame of traceability operation performance of pork processing plants, with the help of Factor and Cluster analysis, distinguishes difference model such as supply chain improvement, market realization and dearth. Further, the study analysis the effect of internal and external environmental factors on traceability operation performance, the effect of degree of industrial concentration, industrial policy, consciousness of food safety, strategy and control is positive, but the effect of brand and trust is negative.
Chapter6is the Study of Traceability Backward Control Performance of Pork Processing Plants. In this chapter, the study builds principal-agency model between pork processing plant and peasant household, using hog cholera vaccine data, analyizing traceability backward control performance of pork processing plants empirically. The result shows the acquirement of backward control performance must combine with payment plans. Plants gain performance and choice traceability level by way of equilibrium among price, traceability and damage. With help of sensitivity analysis, the influent factors of backward control performance are studied, the effect of coefficient of risk aversion of peasant household, damage to plants because of peasant household's quality and safety management, traceability cost of plants and peasant household's quality and safety behavior cost are significant. The case analysis confirms the result.
Chapter7is Conclusion and Policy Suggestion. In this chapter, the conclusion is summarized, and some policy suggestions are commended. Finally, the follow-up research is prospected.
引文
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