我国“农超对接”理论与实证研究
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摘要
改革开放30多年来,中国农产品市场化、国际化、现代化的进程不断加快,但是在发展过程中仍存在着一系列问题,比较突出的是小生产与大市场矛盾的问题、农民增收困难的问题以及食品安全问题。市场逻辑和政策实施已经证明：孤立和割裂式的从个环节(部门)无法解决问题,我们需要从农产品流通过程入手,采用创新方法,借鉴国际经验,优化农产品供应链模式。“农超对接”的实施为破解上述难题,提供了新的思路：该项目的实施,使销售端的现代零售企业与生产端的种养农户直接链接,利用现代零售企业的实力、经验和创新方法,带动农产品流通体系升级改造。
由于中国“农超对接”的实践时间较短,本文主要是基于企业和农户的实践,从理论层面对我国的“农超对接”模式进行分析,通过实证检验得出结论。本文在大量的实地调查的基础上,以交易费用理论、制度变迁理论、博弈论等经济学理论为基础,综合运用比较分析法、案例分析法、计量分析法等研究方法,以“农超对接”的产生、构建、实施、发展的运行逻辑为主线,围绕“农超对接”是什么,为什么要进行“农超对接”,“农超对接”怎样运行、如何推广,“农超对接”会产生哪些影响,又面临着哪些挑战等问题展开研究。
本文首先从“农超对接”本质内涵出发,从物质载体与相关主体两方面界定“农超对接”构成。“农超对接”的本质在于“对接”,即生鲜农产品作为“农超对接”重要的交易载体,由农产品的生产端与销售端进行直接对接,摒弃中间环节。而超市、农户、中间层组织、消费者、政府等相关主体是“农超对接”实践的重要组成部分。
改革开放以后,生鲜农产品的流通模式主要由农产品生产者、经纪人、批发市场以及农贸市场等构成。而作为传统流通体制诱致性制度变迁的结果,“农超对接”节约了交费费用,提高了生鲜程度,成为一种创新性的制度安排,这是“农超对接”产生的理论逻辑和现实必然。从超市经营农产品开始,“农超对接”也经历了超市生鲜自主自营、确保盈利为目标的出租联营、重新获取自主权的供应商供货,直至“农超对接”等的演化路径。
接着本文从多个角度对“农超对接”构建中运作模式选择进行分析。首先,从供应链整体的视角,按照三种不同的分类标准对“农超对接”运行模式进行总结,并且从模式特征、优势劣势等方面进行对比分析。然后,从超市的视角,分析不同分类模式的适用条件,并运用相关案例对提出的观点加以佐证。最后从农户视角,构建了“中间层组织——农户”收入模型,从实证角度得出农民专业合作社作为中间层组织是最优的“农超对接”模式。
然后,论文分别从超市、农户、农民专业合作社等三方参与主体研究“农超对接”参与行为,并评价各主体实施效果。首先,对超市“农超对接”参与行为的研究,主要从对接伊始,产品生产、采购验收、质量追溯等方面,论述了“农超对接”实施的具体举措；通过超市的案例研究,表明“农超对接”对超市的综合效益、供货系统、企业竞争力、产品品质等方面产生了积极的影响；其次,在农户参与主体层面,运用Probit模型对农户参与“农超对接”行为进行了分析,表明小农户更容易被排斥在超市采购体系之外,组织化、专业化生产更有利于“农超对接”的实现。在各种影响因素中,技术指导与安全培训能够促进农户达到超市采购标准,与批发市场的距离和经营年限也具有重要影响。运用多元回归与结构方程模型对农户“农超对接”参与效果进行评价的研究表明：“农超对接”对农户农业净收益的增加有显著影响,并且影响程度随产品供货超市比例的增大而增大；对接农户中,通过中间层组织供货较分散独立供货更利于农户收益增加；参与“农超对接”对于农户的安全生产行为的规范与安全生产意识的提升有正向积极的影响；最后,在合作社参与行为方面,运用Probit和Tobit模型对合作社参与实现和参与程度进行研究,表明合作社发展时间的长短,注册资本的多少,加工包装和物流配送能力的强弱,供货规模的大小,以及供货产品品种,对于是否能够实现“农超对接”具有直接影响；最后从市场销售、质量安全、技术管理、声誉效应等方面论述了合作社参与“农超对接”的积极影响。
“农超对接”深入发展所面临的挑战主要来源于构建、运行、保障、制度四个方面,相应的政策建议是：在“农超对接”推行的过程中,应该培养各参与主体的正确认知,增强“农超对接”实施意向；搭建对接平台,减少农超双方信息搜寻成本,克服合作中的渠道障碍；加大政府扶持和政策落实力度,使对接意愿切实转化为合作行动；促进多种类型的中间层组织的健康发展,尤其是注重对农民专业合作社的培养；加强制度建设,促使“农超对接”切实增加农民收益。
Since reform and opening up thirty years ago, the pace of Chinese agriculture towards marketization, internationalization and modernization has been increasingly speeding up. However, during the development process of Chinese agriculture, a series of problems have been emerging, such as the contradiction between small-scale production and large market, the difficulties to raise farmers'income, supervise and control food safety, satisfy consumers' diverse and multi-level demands, etc. To tackle these problems, it's necessary to investigate from the entire circulation process of agricultural products, optimize agri-supply chain mode by innovative thinking. Supermarket-farmer direct purchase offers a new method and way to solve the above problems. The implementation of supermarket-farmer direct purchase projects makes it possible to link modern retailers at the selling end and the farmers at the production end, thus facilitating the upgrade of the circulation system of agricultural products with the solid strength and rich experience of modern retailers.
The practice of supermarket-farmer direct purchase in China has just been carried out several years ago, based on the which experience, this paper analyzes and concludes the different modes of supermarket-farmer direct purchase from the theoretical perspective, and reaches scientific conclusions through empirical test. On the basis of solid field survey, supported by economic theories including transaction cost theory, institutional change theory, and game theory, and from the angle of entire supply chain, this paper carries out the study by revolving around the definition of supermarket-farmer direct purchase, the reason of implementing supermarket-farmer direct purchase, the emergence and development and supermarket-farmer direct purchase, the operation and promotion of supermarket-farmer direct purchase, and the impacts and challenges of implementing supermarket-farmer direct purchase.
Beginning from the connotation of supermarket-farmer direct purchase, this paper defines the constitution of supermarket-farmer direct purchase from two aspects of material carrier and relevant subjects. The essence of supermarket-farmer direct purchase was embodied by "direct purchase", which means the direct linkage between the production and sales ends of agricultural products by eliminating redundant links. Raw and fresh agricultural products are the important trading carriers of supermarket-farmer direct purchase, while relevant subjects such as supermarkets, farm households, mesosphere institutions, consumers, and governments are the major components of supermarket-farmer direct purchase.
By applying institutional change theory and based on summarizing the general circulation mode of raw and fresh agricultural products, this paper argues that supermarket-farmer direct purchase is a kind of innovative institutional arrangement and the reform of traditional circulation system, and expounds the theoretical logic and realistic necessity of the emergence of supermarket-farmer direct purchase. Then, from the perspective of the development of supply chain of supermarket agricultural products, this paper summarizes the evolutionary route of supermarket-farmer direct purchase, which experiences several stages from the initiative self-operation with the aim of improving varieties and items, to the releasing and cooperative operation aiming to ensure profitability, to the delivery by suppliers regaining autonomy, and finally to the supermarket-farmer direct purchase in current situation.
This paper elaborates the choice of operational modes of supermarket-farmer direct purchase from diverse angles. First, from the angle of entire supply chain, this paper summarizes the operational modes of supermarket-farmer direct purchase according to three different classification standards, and makes comparative analysis of these three different modes from the angles of basic classification, mode characteristics, and advantages and disadvantages. Then, from supermarkets'perspective, this paper analyzes the application conditions of these classification modes, and testifies the viewpoints with related case studies. Finally, from farm households'perspective, this paper sets up a "mesosphere institution-farm household" income model, and analyzes the concrete foundations of choosing different optimization modes, reaching the conclusion that farmers'professional cooperative as the mesosphere institution is the optimal mode of supermarket-farmer direct purchase.
From the three subjects of supermarkets, farm households, and farms'professional cooperatives, this paper studies the participatory behaviors and appraises the application effects of these subjects. First, from various aspects such as the initiative stage, production, purchase and inspection, quality traceability, this paper expounds the detailed measures of carrying out supermarket-farmer direct purchase, and finds that supermarket-farmer direct purchase plays a positive role in improving supermarkets'comprehensive benefits, supplying system, enterprise competitiveness, product quality, and food safety. Second, from the level of farm households, this paper applies Probit model to analyze the factors influencing farmers'participation in supermarket-farmer direct purchase, which implies that small-scale farmers face the hazard of being excluded from the direct purchased system of supermarkets, organized and specialized production facilitate farmers'access to supermarket-farmer direct purchase, technical guidance and safety training helps agricultural products meet the purchase standards of supermarkets, and the distance from and the age of the nearest wholesale market also influence farmers'participation. By applying multi-logistic and structural function, this paper appraises the participatory effects by farmers, finding that supermarket-farmer direct purchase increasingly facilitates farmers'net agricultural income with the growing proportion of agricultural products supplied to supermarkets, supermarket-farmer direct purchase via mesosphere institutions plays a more positive role in increasing farmers'agricultural income, supermarket-farmer direct purchase helps improve the standardization level of farmers'safe production behavior and safe production consciousness. Finally, referring to the participatory behaviors of cooperatives, this paper uses Probit and Tobit models to analyze the participatory realization and level of supermarkets in supermarket-farmer direct purchase, which shows that during the many factors, the existence period of cooperatives, registered capital, processing and packing, logistic distribution ability, scale of product supply, and varieties products supplied, all have direct impact on the realization of supermarket-farmer direct purchase. Through investigation on cooperatives, this paper finds that supermarket-farmer direct purchase has positive impact on improving marketing, quality safety, technical management, brand effect of cooperatives.
From four aspects of initiation, operation, guarantee methods, and institutional system, this paper analyzes the challenges facing the sustained development of supermarket-farmer direct purchase, and puts forwards corresponding policy recommendations. During the promotion of supermarket-farmer direct purchase, measures should be taken to cultivate the correct recognition and strengthen the willingness of various participatory subjects to participate in supermarket-farmer direct purchase; the exchange platforms should be set up to reduce information-searching costs by relevant subjects, overcome channel obstacles during cooperation, governmental support and policy implementation should reinforced to facilitate the conversion of willing into reality; measures should be taken to promote the healthy development of various kinds of mesosphere institutions, with special attention to the cultivation of farmers'professional cooperatives; institutional construction should be strengthened to guarantee the implantation of supermarket-farmer direct purchase increases farmers'benefits.
由于中国“农超对接”的实践时间较短,本文主要是基于企业和农户的实践,从理论层面对我国的“农超对接”模式进行分析,通过实证检验得出结论。本文在大量的实地调查的基础上,以交易费用理论、制度变迁理论、博弈论等经济学理论为基础,综合运用比较分析法、案例分析法、计量分析法等研究方法,以“农超对接”的产生、构建、实施、发展的运行逻辑为主线,围绕“农超对接”是什么,为什么要进行“农超对接”,“农超对接”怎样运行、如何推广,“农超对接”会产生哪些影响,又面临着哪些挑战等问题展开研究。
本文首先从“农超对接”本质内涵出发,从物质载体与相关主体两方面界定“农超对接”构成。“农超对接”的本质在于“对接”,即生鲜农产品作为“农超对接”重要的交易载体,由农产品的生产端与销售端进行直接对接,摒弃中间环节。而超市、农户、中间层组织、消费者、政府等相关主体是“农超对接”实践的重要组成部分。
改革开放以后,生鲜农产品的流通模式主要由农产品生产者、经纪人、批发市场以及农贸市场等构成。而作为传统流通体制诱致性制度变迁的结果,“农超对接”节约了交费费用,提高了生鲜程度,成为一种创新性的制度安排,这是“农超对接”产生的理论逻辑和现实必然。从超市经营农产品开始,“农超对接”也经历了超市生鲜自主自营、确保盈利为目标的出租联营、重新获取自主权的供应商供货,直至“农超对接”等的演化路径。
接着本文从多个角度对“农超对接”构建中运作模式选择进行分析。首先,从供应链整体的视角,按照三种不同的分类标准对“农超对接”运行模式进行总结,并且从模式特征、优势劣势等方面进行对比分析。然后,从超市的视角,分析不同分类模式的适用条件,并运用相关案例对提出的观点加以佐证。最后从农户视角,构建了“中间层组织——农户”收入模型,从实证角度得出农民专业合作社作为中间层组织是最优的“农超对接”模式。
然后,论文分别从超市、农户、农民专业合作社等三方参与主体研究“农超对接”参与行为,并评价各主体实施效果。首先,对超市“农超对接”参与行为的研究,主要从对接伊始,产品生产、采购验收、质量追溯等方面,论述了“农超对接”实施的具体举措；通过超市的案例研究,表明“农超对接”对超市的综合效益、供货系统、企业竞争力、产品品质等方面产生了积极的影响；其次,在农户参与主体层面,运用Probit模型对农户参与“农超对接”行为进行了分析,表明小农户更容易被排斥在超市采购体系之外,组织化、专业化生产更有利于“农超对接”的实现。在各种影响因素中,技术指导与安全培训能够促进农户达到超市采购标准,与批发市场的距离和经营年限也具有重要影响。运用多元回归与结构方程模型对农户“农超对接”参与效果进行评价的研究表明：“农超对接”对农户农业净收益的增加有显著影响,并且影响程度随产品供货超市比例的增大而增大；对接农户中,通过中间层组织供货较分散独立供货更利于农户收益增加；参与“农超对接”对于农户的安全生产行为的规范与安全生产意识的提升有正向积极的影响；最后,在合作社参与行为方面,运用Probit和Tobit模型对合作社参与实现和参与程度进行研究,表明合作社发展时间的长短,注册资本的多少,加工包装和物流配送能力的强弱,供货规模的大小,以及供货产品品种,对于是否能够实现“农超对接”具有直接影响；最后从市场销售、质量安全、技术管理、声誉效应等方面论述了合作社参与“农超对接”的积极影响。
“农超对接”深入发展所面临的挑战主要来源于构建、运行、保障、制度四个方面,相应的政策建议是：在“农超对接”推行的过程中,应该培养各参与主体的正确认知,增强“农超对接”实施意向；搭建对接平台,减少农超双方信息搜寻成本,克服合作中的渠道障碍；加大政府扶持和政策落实力度,使对接意愿切实转化为合作行动；促进多种类型的中间层组织的健康发展,尤其是注重对农民专业合作社的培养；加强制度建设,促使“农超对接”切实增加农民收益。
Since reform and opening up thirty years ago, the pace of Chinese agriculture towards marketization, internationalization and modernization has been increasingly speeding up. However, during the development process of Chinese agriculture, a series of problems have been emerging, such as the contradiction between small-scale production and large market, the difficulties to raise farmers'income, supervise and control food safety, satisfy consumers' diverse and multi-level demands, etc. To tackle these problems, it's necessary to investigate from the entire circulation process of agricultural products, optimize agri-supply chain mode by innovative thinking. Supermarket-farmer direct purchase offers a new method and way to solve the above problems. The implementation of supermarket-farmer direct purchase projects makes it possible to link modern retailers at the selling end and the farmers at the production end, thus facilitating the upgrade of the circulation system of agricultural products with the solid strength and rich experience of modern retailers.
The practice of supermarket-farmer direct purchase in China has just been carried out several years ago, based on the which experience, this paper analyzes and concludes the different modes of supermarket-farmer direct purchase from the theoretical perspective, and reaches scientific conclusions through empirical test. On the basis of solid field survey, supported by economic theories including transaction cost theory, institutional change theory, and game theory, and from the angle of entire supply chain, this paper carries out the study by revolving around the definition of supermarket-farmer direct purchase, the reason of implementing supermarket-farmer direct purchase, the emergence and development and supermarket-farmer direct purchase, the operation and promotion of supermarket-farmer direct purchase, and the impacts and challenges of implementing supermarket-farmer direct purchase.
Beginning from the connotation of supermarket-farmer direct purchase, this paper defines the constitution of supermarket-farmer direct purchase from two aspects of material carrier and relevant subjects. The essence of supermarket-farmer direct purchase was embodied by "direct purchase", which means the direct linkage between the production and sales ends of agricultural products by eliminating redundant links. Raw and fresh agricultural products are the important trading carriers of supermarket-farmer direct purchase, while relevant subjects such as supermarkets, farm households, mesosphere institutions, consumers, and governments are the major components of supermarket-farmer direct purchase.
By applying institutional change theory and based on summarizing the general circulation mode of raw and fresh agricultural products, this paper argues that supermarket-farmer direct purchase is a kind of innovative institutional arrangement and the reform of traditional circulation system, and expounds the theoretical logic and realistic necessity of the emergence of supermarket-farmer direct purchase. Then, from the perspective of the development of supply chain of supermarket agricultural products, this paper summarizes the evolutionary route of supermarket-farmer direct purchase, which experiences several stages from the initiative self-operation with the aim of improving varieties and items, to the releasing and cooperative operation aiming to ensure profitability, to the delivery by suppliers regaining autonomy, and finally to the supermarket-farmer direct purchase in current situation.
This paper elaborates the choice of operational modes of supermarket-farmer direct purchase from diverse angles. First, from the angle of entire supply chain, this paper summarizes the operational modes of supermarket-farmer direct purchase according to three different classification standards, and makes comparative analysis of these three different modes from the angles of basic classification, mode characteristics, and advantages and disadvantages. Then, from supermarkets'perspective, this paper analyzes the application conditions of these classification modes, and testifies the viewpoints with related case studies. Finally, from farm households'perspective, this paper sets up a "mesosphere institution-farm household" income model, and analyzes the concrete foundations of choosing different optimization modes, reaching the conclusion that farmers'professional cooperative as the mesosphere institution is the optimal mode of supermarket-farmer direct purchase.
From the three subjects of supermarkets, farm households, and farms'professional cooperatives, this paper studies the participatory behaviors and appraises the application effects of these subjects. First, from various aspects such as the initiative stage, production, purchase and inspection, quality traceability, this paper expounds the detailed measures of carrying out supermarket-farmer direct purchase, and finds that supermarket-farmer direct purchase plays a positive role in improving supermarkets'comprehensive benefits, supplying system, enterprise competitiveness, product quality, and food safety. Second, from the level of farm households, this paper applies Probit model to analyze the factors influencing farmers'participation in supermarket-farmer direct purchase, which implies that small-scale farmers face the hazard of being excluded from the direct purchased system of supermarkets, organized and specialized production facilitate farmers'access to supermarket-farmer direct purchase, technical guidance and safety training helps agricultural products meet the purchase standards of supermarkets, and the distance from and the age of the nearest wholesale market also influence farmers'participation. By applying multi-logistic and structural function, this paper appraises the participatory effects by farmers, finding that supermarket-farmer direct purchase increasingly facilitates farmers'net agricultural income with the growing proportion of agricultural products supplied to supermarkets, supermarket-farmer direct purchase via mesosphere institutions plays a more positive role in increasing farmers'agricultural income, supermarket-farmer direct purchase helps improve the standardization level of farmers'safe production behavior and safe production consciousness. Finally, referring to the participatory behaviors of cooperatives, this paper uses Probit and Tobit models to analyze the participatory realization and level of supermarkets in supermarket-farmer direct purchase, which shows that during the many factors, the existence period of cooperatives, registered capital, processing and packing, logistic distribution ability, scale of product supply, and varieties products supplied, all have direct impact on the realization of supermarket-farmer direct purchase. Through investigation on cooperatives, this paper finds that supermarket-farmer direct purchase has positive impact on improving marketing, quality safety, technical management, brand effect of cooperatives.
From four aspects of initiation, operation, guarantee methods, and institutional system, this paper analyzes the challenges facing the sustained development of supermarket-farmer direct purchase, and puts forwards corresponding policy recommendations. During the promotion of supermarket-farmer direct purchase, measures should be taken to cultivate the correct recognition and strengthen the willingness of various participatory subjects to participate in supermarket-farmer direct purchase; the exchange platforms should be set up to reduce information-searching costs by relevant subjects, overcome channel obstacles during cooperation, governmental support and policy implementation should reinforced to facilitate the conversion of willing into reality; measures should be taken to promote the healthy development of various kinds of mesosphere institutions, with special attention to the cultivation of farmers'professional cooperatives; institutional construction should be strengthened to guarantee the implantation of supermarket-farmer direct purchase increases farmers'benefits.
引文
22008年12月商务部、农业部联合下发《关于开展农超对接试点工作的通知》
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