新疆果农在水果产业链中的纵向协作选择研究
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摘要
水果产业是我国农业种植业中仅次于粮食、蔬菜的第三大产业,是我国农产品出口的大宗产品,对于调整农业产业结构、增加农民收入、发展农村经济、改善生态环境具有不可忽视的作用。我国水果产业作为一个产业链,上下游各环节之间的协作还比较松散,特别是水果种植的主体还是由大量分散的小规模种植农户,远不能适应水果产业发展中所面临的技术进步、水果消费结构与消费者观念的变化和国内外市场竞争加剧等方面的现实压力与挑战。如何加强农户与上下游各环节的协作,共同参与国内外市场竞争,是当前我国水果产业面临的重要问题。因此,从农户角度出发,对水果产业的纵向协作关系进行研究,具有十分重要的理论意义和实践价值。
本研究以新疆水果产业为例,基于农户角度对新疆水果产业链的纵向协作关系进行了研究。采用了规范研究和实证研究、定性研究和定量研究相结合的方式,主要以实证研究和定量研究为主的方法,重点是通过利用新疆4个县市的498户水果种植户的调查数据,综合运用案例分析法、相关分析法、logit二元选择模型和超越前沿生产函数模型等各种方法进行了相关的实证研究。
水果产业链涉及范围广,在生产种植环节包括了果树培育、苗木生产与供应、果树栽植、水果产品的储藏、加工等产业阶段,在材料购销和产品销售环节包括苗木购销、原材料采购、水果产品购销和果制品购销等环节,在生产服务环节包括农业技术服务、流通运输等环节。从新疆水果产业链调查看,已经形成较为完整的产业链,各产业环节之间的联接方式已经发生了一些变化,生产合同、纵向一体化等密切纵向协作形式的新型产业链已经出现,但市场交易等纵向协作形式还普遍存在。
从水果种植户获得苗木的方式来看,498户被调查农户中自培自植的农户占所调查农户的9.84%,其他方式主要有附近育苗农户、苗圃场、市场、上门销售的商贩等。农户在选择苗木购买方式时,其目的是为了防范果树苗木的品质和价格不确定性风险,降低交易成本。果树苗木的品质直接关系到农户水果种植绩效,因此,农户对苗木购买很重视。农户对有资质的大型苗圃直接供苗合同表现出了较高的参加意愿,在498户被调查农户中,有280户表示肯定会参加,比例为56.22%。Loait二元选择模型的回归分析结果表明,户主受教育程度、种植面积、品质保证、苗木价格、供应商的声誉、赊销、种植指导、购买过产品感觉不错对农户参与苗木供应合同有显著性影响。
新疆水果种植户销售环节纵向协作形式有：市场交易、销售合同、合作社、生产合同,产品的销售渠道一般有：直接销售给零售商或消费者、销售给商贩和出售给流通、储藏、加工企业。从调查看,市场交易中直接销售给零售商或消费者的农户比较少,向商贩销售占调查农户的绝大多数,香梨和苹果种植户销售环节纵向协作形式是以市场交易为主。农户选择销售环节的纵向协作形式,都是根据各地区和自身的不同情况出发,目的是为了减少不确定性,降低交易成本。通过Logit二元选择模型分析发现,户主年龄、户主受教育程度、是否有非农收入、种植面积、付款有保障、付款及时、获得好价格、买方信誉好、水果质量、水果价格的波动这几个变量显著性较高,是影响香梨和苹果种植农户选择销售环节纵向协作形式的主要影响因素。
农户在水果产品生产中有不遵守安全质量控制的行为,紧密的纵向协作形式对提高农户安全质量控制行为起到了积极作用,有助于减少农户违反安全质量控制的行为。Logit二元选择模型结果显示,销售合同形式、合作社或生产合同形式、户主受教育程度、户主风险偏好、参加了种植技术培训、了解程度和政府监督管理等七个变量对农户安全质量控制行为的影响显著。
香梨生产经营中生产技术效率有显著差异,286户香梨种植户平均生产技术效率为77.80%,即以现有技术状态和不变生产要素投入的情况下,若消除了效率损失,农户香梨的产出有可能增加22.20%,农户生产技术效率提升空间还较大。紧密的纵向协作形式与市场交易形式相比,香梨种植户的生产技术效率均有不同程度提高,且越紧密的纵向协作方式下香梨种植户生产技术效率越高。从超越对数随机前沿生产函数参数的估计结果可以看出,销售合同形式、合作社形式、生产合同形式、户主受教育程度、农户家庭劳动力人数、农户家庭是否有非农收入等变量对生产技术效率影响的显著性较高。
在上述研究的基础上,本文提出了如下政策建议：政府应加强对果树苗木行业的管理,加大对密切协作的苗木供应方式的宣传和引导；鼓励和支持水果种植户与流通、储藏、加工企业的协作；提高产业各阶段的生产经营规模；增强农户生产农产品的质量安全意识；扶持农村合作经济组织发展,健全运营机制等。
Fruit industry, second only to agricultural food and vegetables, is the third largest industry and the bulk of agricultural product exports in China which plays important role in adjusting agricultural structure, increasing farmer's income, developing rural economy and improving ecological environment. As an industrial chain, Chinese fruit industry is relatively loose in collaboration of various aspects between up and downstream. Especially the main subject of fruit plant is a large number of scattered small-scale farmers, can not adapt to reality stress and challenges of technological progress, change of fruit consumption structure and concept and more fierce competition of domestic and foreign markets during Chinese fruit industry development. How to strengthen collaboration among farmers, up and downstream aspects and jointly participate in civil and abroad market competition is currently important questions for Chinese fruit industry. Therefore, research on vertical coordination relation of fruit industry from farmers point of view, is important theoretical and practical significance.
Taking Xinjiang fruit industry as an example, this paper studies vertical coordination relation of Xinjiang fruit industry from framer angle.The standard research and diagnosis research unifies,qualitative investigation and quantitative investigation unify.Mainly with empirical and quantitative methods, it adopts498peasant households' investigation data in4representative counties and towns to conduct related research combined with case study, correlation analysis model,logit model and Tanslog Stochastic Frontier Production Function.
Fruit industry chain involves a wide range of aspect, including the cultivation of fruit trees, production and supply of fruit trees seedlings, planting fruit trees, storage of fruit products and processing at the stage of production and plant; the purchase and sale of nursery stock, raw material procurement, product purchase and sale of fruit and fruit products at the stage of materials purchasing and product sales; agricultural technical services, circulation and transportation at the stage of production services.Viewing from investigation of Xinjiang fruit industry chain, Xinjiang fruit industry has a relatively complete industrial chain; Between various links joint way has been some changes; production contracts, vertical integration and other forms of closer vertical coordination new industrial chain has taken place. However, on the whole, market trading are also prevalent.
From the angle of obtaining seedlings, self-cultivitating and planting farmers account for9.84percent of peasant households among498farmers surveyed, other patterns include acquiring seedlings through nearby farmers, nursery grounds, markets and door-to-door vendors as for other manners. As farmers choose methods of purchasing seedlings,avoiding the uncertainty risk in price and the quality of fruit tree seedlings, reducing transaction costs.Quality of fruit tree seedlings is directly related to farmer's performance, therefore, farmers attach great importance to seedling purchases. Farmers show a higher willingness to take part in direct contract provided by qualified large nursery. Among498households surveyed,280farmers will certainly take part in contract, account for a ratio of56.22%. Regression results of logit model indicate that household educational level, fruits planting scale,quality assurance, price, supplier's reputation, credit, plant guide, product purchase has significant impact on farmers'involving in seedling supply contract.
On the whole, the vertical coordination forms in the sales link of farmers planting fruit in Xinjiang are as following:market transaction, sales contract, cooperatives and production contract. Marketing channels of product in Xinjiang are generally as follows: direct sales to retailers or consumers, sales to pedlars and to the circulating, storage and processing enterprises. The survey indicates that famers directly selling products to retailers or consumers are less, and selling products to pedlars account for the most of total number of farmers in market transaction. The vertical coordination form of farmers planting fragrant pears and apples in the sales link gives priority to spot market transaction. Farmers planting fruit select vertical coordination in the sales link according to different conditions of regions and themselves with the main purpose of reducing uncertainty and lowering transaction costs. Based on the analysis of binary Logit selection model, it can be found that the following variables have more obvious significance:age of farmers, education level of farmers, with/without non-agricultural income, fruits planting scale, payment guarantee, payment timeliness, access to good price, the credibility of buyers, quality of fruit, fluctuation in prices of fruit, and are main factors influencing on farmers of planting fragrant pears and apples selecting the form of vertical coordination in the sales link.
There are farmers who do not comply with safe quality control in production of fruit products. Close vertical coordination form plays a active role in improving safe quality control, and contributes to reducing farmers violating safe quality control behaviors. It is stated by the results of binary Logit selection model that the following seven variables are the obvious factors affecting farmers'behaviors of safe quality control:sales contract, cooperatives or production contract, education level of farmers, risk preference, participation in training of planting skills, the degree of understanding, supervision and administration of the government and so on.
There is a marked difference in production technical efficiency in production and operation of fragrant pears. The average production technical efficiency of286farmers planting pears is77.80%, namely, under the current technical conditions and with constant input of production factors, the output of fragrant pears probable increases by22.20%in case of eliminating lose of efficiency, where there is still a big improvement in production technical efficiency of farmers. Compared to spot market transaction, there is an increase at different levels in production technical efficiency of farmers planting fragrant pears under the close vertical coordination form. The closer the vertical coordination form is, the higher the production technical efficiency of farmers planting fragrant pears will be. The estimated results of parameter of Tanslog Stochastic Frontier Production Function Model indicates that the following variables have more obvious effects on production technical efficiency: the form of sales contract, the form of cooperatives, the form of production contract, education level of farmers, number of labor force in farmers'families, with/without non-agricultural income etc..
Based on the above-mentioned researches, this paper offers following suggestions of policy:government should strengthen the management of fruit nursery stock industry, increase publicity and guidance of close coordination supply of nursery stocks; encourage and support coordination of farmers planting fruit with circulating, storage and processing enterprises; improve production and operation scale of fruit industry at all stages; strengthen quality safety consciousness of farmers producing agricultural products; assist the development of rural cooperative economic organizations; improve operation system and so on.
本研究以新疆水果产业为例,基于农户角度对新疆水果产业链的纵向协作关系进行了研究。采用了规范研究和实证研究、定性研究和定量研究相结合的方式,主要以实证研究和定量研究为主的方法,重点是通过利用新疆4个县市的498户水果种植户的调查数据,综合运用案例分析法、相关分析法、logit二元选择模型和超越前沿生产函数模型等各种方法进行了相关的实证研究。
水果产业链涉及范围广,在生产种植环节包括了果树培育、苗木生产与供应、果树栽植、水果产品的储藏、加工等产业阶段,在材料购销和产品销售环节包括苗木购销、原材料采购、水果产品购销和果制品购销等环节,在生产服务环节包括农业技术服务、流通运输等环节。从新疆水果产业链调查看,已经形成较为完整的产业链,各产业环节之间的联接方式已经发生了一些变化,生产合同、纵向一体化等密切纵向协作形式的新型产业链已经出现,但市场交易等纵向协作形式还普遍存在。
从水果种植户获得苗木的方式来看,498户被调查农户中自培自植的农户占所调查农户的9.84%,其他方式主要有附近育苗农户、苗圃场、市场、上门销售的商贩等。农户在选择苗木购买方式时,其目的是为了防范果树苗木的品质和价格不确定性风险,降低交易成本。果树苗木的品质直接关系到农户水果种植绩效,因此,农户对苗木购买很重视。农户对有资质的大型苗圃直接供苗合同表现出了较高的参加意愿,在498户被调查农户中,有280户表示肯定会参加,比例为56.22%。Loait二元选择模型的回归分析结果表明,户主受教育程度、种植面积、品质保证、苗木价格、供应商的声誉、赊销、种植指导、购买过产品感觉不错对农户参与苗木供应合同有显著性影响。
新疆水果种植户销售环节纵向协作形式有：市场交易、销售合同、合作社、生产合同,产品的销售渠道一般有：直接销售给零售商或消费者、销售给商贩和出售给流通、储藏、加工企业。从调查看,市场交易中直接销售给零售商或消费者的农户比较少,向商贩销售占调查农户的绝大多数,香梨和苹果种植户销售环节纵向协作形式是以市场交易为主。农户选择销售环节的纵向协作形式,都是根据各地区和自身的不同情况出发,目的是为了减少不确定性,降低交易成本。通过Logit二元选择模型分析发现,户主年龄、户主受教育程度、是否有非农收入、种植面积、付款有保障、付款及时、获得好价格、买方信誉好、水果质量、水果价格的波动这几个变量显著性较高,是影响香梨和苹果种植农户选择销售环节纵向协作形式的主要影响因素。
农户在水果产品生产中有不遵守安全质量控制的行为,紧密的纵向协作形式对提高农户安全质量控制行为起到了积极作用,有助于减少农户违反安全质量控制的行为。Logit二元选择模型结果显示,销售合同形式、合作社或生产合同形式、户主受教育程度、户主风险偏好、参加了种植技术培训、了解程度和政府监督管理等七个变量对农户安全质量控制行为的影响显著。
香梨生产经营中生产技术效率有显著差异,286户香梨种植户平均生产技术效率为77.80%,即以现有技术状态和不变生产要素投入的情况下,若消除了效率损失,农户香梨的产出有可能增加22.20%,农户生产技术效率提升空间还较大。紧密的纵向协作形式与市场交易形式相比,香梨种植户的生产技术效率均有不同程度提高,且越紧密的纵向协作方式下香梨种植户生产技术效率越高。从超越对数随机前沿生产函数参数的估计结果可以看出,销售合同形式、合作社形式、生产合同形式、户主受教育程度、农户家庭劳动力人数、农户家庭是否有非农收入等变量对生产技术效率影响的显著性较高。
在上述研究的基础上,本文提出了如下政策建议：政府应加强对果树苗木行业的管理,加大对密切协作的苗木供应方式的宣传和引导；鼓励和支持水果种植户与流通、储藏、加工企业的协作；提高产业各阶段的生产经营规模；增强农户生产农产品的质量安全意识；扶持农村合作经济组织发展,健全运营机制等。
Fruit industry, second only to agricultural food and vegetables, is the third largest industry and the bulk of agricultural product exports in China which plays important role in adjusting agricultural structure, increasing farmer's income, developing rural economy and improving ecological environment. As an industrial chain, Chinese fruit industry is relatively loose in collaboration of various aspects between up and downstream. Especially the main subject of fruit plant is a large number of scattered small-scale farmers, can not adapt to reality stress and challenges of technological progress, change of fruit consumption structure and concept and more fierce competition of domestic and foreign markets during Chinese fruit industry development. How to strengthen collaboration among farmers, up and downstream aspects and jointly participate in civil and abroad market competition is currently important questions for Chinese fruit industry. Therefore, research on vertical coordination relation of fruit industry from farmers point of view, is important theoretical and practical significance.
Taking Xinjiang fruit industry as an example, this paper studies vertical coordination relation of Xinjiang fruit industry from framer angle.The standard research and diagnosis research unifies,qualitative investigation and quantitative investigation unify.Mainly with empirical and quantitative methods, it adopts498peasant households' investigation data in4representative counties and towns to conduct related research combined with case study, correlation analysis model,logit model and Tanslog Stochastic Frontier Production Function.
Fruit industry chain involves a wide range of aspect, including the cultivation of fruit trees, production and supply of fruit trees seedlings, planting fruit trees, storage of fruit products and processing at the stage of production and plant; the purchase and sale of nursery stock, raw material procurement, product purchase and sale of fruit and fruit products at the stage of materials purchasing and product sales; agricultural technical services, circulation and transportation at the stage of production services.Viewing from investigation of Xinjiang fruit industry chain, Xinjiang fruit industry has a relatively complete industrial chain; Between various links joint way has been some changes; production contracts, vertical integration and other forms of closer vertical coordination new industrial chain has taken place. However, on the whole, market trading are also prevalent.
From the angle of obtaining seedlings, self-cultivitating and planting farmers account for9.84percent of peasant households among498farmers surveyed, other patterns include acquiring seedlings through nearby farmers, nursery grounds, markets and door-to-door vendors as for other manners. As farmers choose methods of purchasing seedlings,avoiding the uncertainty risk in price and the quality of fruit tree seedlings, reducing transaction costs.Quality of fruit tree seedlings is directly related to farmer's performance, therefore, farmers attach great importance to seedling purchases. Farmers show a higher willingness to take part in direct contract provided by qualified large nursery. Among498households surveyed,280farmers will certainly take part in contract, account for a ratio of56.22%. Regression results of logit model indicate that household educational level, fruits planting scale,quality assurance, price, supplier's reputation, credit, plant guide, product purchase has significant impact on farmers'involving in seedling supply contract.
On the whole, the vertical coordination forms in the sales link of farmers planting fruit in Xinjiang are as following:market transaction, sales contract, cooperatives and production contract. Marketing channels of product in Xinjiang are generally as follows: direct sales to retailers or consumers, sales to pedlars and to the circulating, storage and processing enterprises. The survey indicates that famers directly selling products to retailers or consumers are less, and selling products to pedlars account for the most of total number of farmers in market transaction. The vertical coordination form of farmers planting fragrant pears and apples in the sales link gives priority to spot market transaction. Farmers planting fruit select vertical coordination in the sales link according to different conditions of regions and themselves with the main purpose of reducing uncertainty and lowering transaction costs. Based on the analysis of binary Logit selection model, it can be found that the following variables have more obvious significance:age of farmers, education level of farmers, with/without non-agricultural income, fruits planting scale, payment guarantee, payment timeliness, access to good price, the credibility of buyers, quality of fruit, fluctuation in prices of fruit, and are main factors influencing on farmers of planting fragrant pears and apples selecting the form of vertical coordination in the sales link.
There are farmers who do not comply with safe quality control in production of fruit products. Close vertical coordination form plays a active role in improving safe quality control, and contributes to reducing farmers violating safe quality control behaviors. It is stated by the results of binary Logit selection model that the following seven variables are the obvious factors affecting farmers'behaviors of safe quality control:sales contract, cooperatives or production contract, education level of farmers, risk preference, participation in training of planting skills, the degree of understanding, supervision and administration of the government and so on.
There is a marked difference in production technical efficiency in production and operation of fragrant pears. The average production technical efficiency of286farmers planting pears is77.80%, namely, under the current technical conditions and with constant input of production factors, the output of fragrant pears probable increases by22.20%in case of eliminating lose of efficiency, where there is still a big improvement in production technical efficiency of farmers. Compared to spot market transaction, there is an increase at different levels in production technical efficiency of farmers planting fragrant pears under the close vertical coordination form. The closer the vertical coordination form is, the higher the production technical efficiency of farmers planting fragrant pears will be. The estimated results of parameter of Tanslog Stochastic Frontier Production Function Model indicates that the following variables have more obvious effects on production technical efficiency: the form of sales contract, the form of cooperatives, the form of production contract, education level of farmers, number of labor force in farmers'families, with/without non-agricultural income etc..
Based on the above-mentioned researches, this paper offers following suggestions of policy:government should strengthen the management of fruit nursery stock industry, increase publicity and guidance of close coordination supply of nursery stocks; encourage and support coordination of farmers planting fruit with circulating, storage and processing enterprises; improve production and operation scale of fruit industry at all stages; strengthen quality safety consciousness of farmers producing agricultural products; assist the development of rural cooperative economic organizations; improve operation system and so on.
引文
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49《中华人民共和国农业部公告第199号》
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2考虑到数据口径的一致性,水果面积和产量均采用FAO数据计算得出。
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252002年以前与2003年以后水果统计口径有差异,2002年水果产量198.20万吨,比1970年增长了13.47倍,年均增长率为8.43%,2007年水果产量411.98万吨,比2003年增长了0.89倍,年均增长率为17.20%。
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4823种限制生产的高毒农药是指甲胺磷、对硫磷、甲基对硫磷、久效磷、氧化乐果、水胺硫磷、甲基异柳磷、甲拌磷、甲基硫环膦、乙基硫环磷、特丁磷、杀扑磷、澳甲烷、灭多威、涕灭威、克百威、磷化锌、敌鼠纳、敌鼠酮、杀鼠灵、杀鼠醚、溴敌隆、溴鼠灵等。16种淘汰类农产品是指多氯联苯、除草醚、杀虫眯、氯丹、七氯、毒鼠强等。
49《中华人民共和国农业部公告第199号》
50张云华,马九杰等,农户采用无公害和绿色农药行为的影响因素分析.中国农村经济,2004.1
51孙庆珍.合同生产模式在食品安全中的作用研究——以山东苹果生产为例[D]北京中国农业科学院,2006
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