【作者】 高阔；

【导师】 甘筱青；

【作者基本信息】 南昌大学 ， 管理科学与工程， 2012， 博士

【摘要】 猪肉食品安全和物价稳定关系国计民生,有效的生猪绿色供应链运作模式及管理能够促进生猪稳定供应、保障猪肉食品安全,提供供应链整体绩效。(1)猪肉是我国重要的农产品,是我国城乡居民肉类消费的主要来源。猪肉食品安全关系到人们身体健康和生命安全,但是目前我国的猪肉食品安全基础比较薄弱,生猪产业规模化、组织化、规范化程度较低,企业诚信体系不完备,食品安全法规、标准建设不够健全,监管的科技手段不先进,因利益驱动导致的猪肉食品安全违法问题增多,如近期瘦肉精问题。因此研究生猪绿色供应链节点分布、风险机制、利益机制、绩效评价及稳定性,并且能够保障食品安全供给。(2)由于猪肉是居民肉类消费的主要来源,所以猪肉价格影响城乡居民日常生活消费支出及消费需求。从生猪绿色供应链的角度来看,猪肉价格实际上是供应链中价值分布的终端体现。生猪绿色供应链中价值在生猪养殖、生猪经纪人、生猪收购、生猪屠宰以及猪肉销售中分布影响着猪肉价格的波动,同时契约履行及关系治理影响着交易成本和社会成本,进而影响猪肉价格,最终体现在供应链的稳定性上。因此,研究生猪绿色供应链有利于理清猪肉价格的形成机理。研究意义一：由于生猪市场需求特性、市场需求分布等因素影响,生猪市场是竞争相对温和的市场,但是近年来生猪供给由原来的大部分农户散养向公司适度规模化养殖方向发展,同时食品安全及价格稳定等方面的要求,使得在产业间或产业内,节点厂商彼此之间竞争愈来愈激烈,于是节点厂商纷纷建立有效的持续性供应链关系来提升竞争优势(e.g. Primo and Amundson,2002; Johnston et al.,2004; Griffith et al.,2006),但是由于核心供应链节点厂商在供应链自然状态中的节点位置不同,导致其在建立有效持续供应链或其自身在供应链节点上延伸的方式不同,以至于形成了不同的供应链模式,由于供应链模式的不同,节点的分工和协作不同,节点间的利益联结方式不同,制度安排不同,导致供应链的绩效也存在分野,这一方面的现有研究有欠缺,值得进一步研究。研究意义二：由于生猪绿色供应链的运行机理、供应链内部组织方式分布等存在差异,各节点之间的契约履行、关系治理、合作剩余分配等将影响着供应链的稳定有效运行(万俊毅,2008,2010；米运生,2009),故此研究领域是值得进一步开发研究的。研究意义三：生猪绿色供应链的下游一般情况下是农户,由于农户经营规模不同,契约的约束力、信息不对称程度以及信誉机制不尽相同(尹云松,2003)。受到生猪、劳动力及禽舍等资产专属性、交易不确定性、交易频率等交易成本特性的影响(Williamson,1985),客观上存在的契约不完全性(Grossman and Hart,1986)和主体有限理性(Simon,1955)使得远期交易风险集聚效应增大(万俊毅,2008),订单农业的契约履约率不高(刘凤芹,2003)。供应链关系不仅包含经济性因素,也包含社会交换因素(Choi and Hartley,1996; Rousseau et al.1998; Johnston et al.,2004),因此,生猪绿色供应链中经济交易性因素与社会交换因素的整合性模式有待进一步探究。本项目将在借鉴国内外供应链管理、农业技术经济学和社会学等研究成果的基础上,结合对我国生猪绿色供应链的实地调研和深度访谈数据和资料,对生猪绿色供应链进行归纳分类,并分析各类生猪绿色供应链运作模式及其内在机理；在此基础上,根据交易成本及复杂性、资本专用性程度及绩效评估难易程度等三维变量分析确定生猪绿色供应链运作模式；分析生猪绿色供应链组织形式分布与输入变量(关系治理及契约履行)、输出变量(食品安全和物价稳定)关系,进而构建基于食品安全和物价稳定的供应链运作模式及稳定性模型,采用调研和访谈的方式,运用结构方程、博弈论、FVCA等方法和工具进行实证研究,提出针对组织方式稳定性的适用性对策。期望研究成果能丰富供应链管理的理论体系,同时对我国生猪绿色供应链企业和政府相关部门具有指导意义。围绕着生猪绿色供应链的运作模式、猪肉食品安全和物价稳定、经济因素和社会因素对生猪绿色供应链绩效的影响等方面的问题,本文主要的研究内容与结果如下：(1)生猪绿色供应链运作模式：从资产专用性程度、交易复杂性程度以及产品专用性程度等三个方面构建生猪绿色供应链运作模式理论模型,通过分析将生猪绿色供应链运作模式分成五种类型：市场型供应链、松散型供应链、半紧密型供应链、紧密型供应链和一体化供应链；通过国内外文献和实地调研,将现实中生猪绿色供应链运作模式总结归纳具体分成以下五类类型：纵向一体化生猪绿色供应链、准纵向一体化生猪绿色供应链、半紧密型生猪绿色供应链、松散型生猪绿色供应链和市场型生猪绿色供应链。在国内外生猪绿色供应链模式理论及实践研究基础上,结合我国生猪产业实际情况,本文认为我国未来的生猪绿色供应链模式：上游纵向一体化或准纵向一体化(龙头加工企业+农户)+下游横向一体化(龙头加工企业十物流公司+销售商),是一种分工协作下利益集团联盟之间的竞争,简称为上纵下横集团联盟生猪绿色供应链。(2)生猪绿色供应链物流及价值流模型：通过文献资料、数据库和调研数据刻画我国生猪绿色供应链节点之间的物流情况,同时通过与越南生猪绿色供应链的节点间流量的比较分析我国生猪绿色供应链特点及问题；分析我国生猪价值链的构成以及价值在各个节点的分布,通过与美国和越南猪肉价值链的对比分析我国猪肉价值链的现状和问题,同时分析假设存在败德情况下,整个生猪价值链的价值分配情况,探究食品安全的利益链以及保障食品安全的关键节点及措施。最后进行了总结并从供应链流程再造、食品质量监管以及政策法规等方面提出意见和建议。(3)生猪绿色供应链价格传导机制：在构建生猪供应链价格系统结构及闭环传导路径基础上,利用2001年1月至2011年7月的猪肉价格、饲料价格、豆粨价格、玉米价格、仔猪价格及CPI月度数据,分析六类数据波动的总体趋势、特征以及波动的周期,同时进行平稳性检验和Johansen协整检验,建立VAR模型,运用脉冲响应函数和预测方差分解来刻画生猪供应链价格系统的相互影响情况,最后运用有限分布滞后模型(FDL)分析生猪供应链价格传导机制,研究结果表明：A、生猪供应链价格系统存在长期均衡关系；B、生猪供应链价格传导机制相对流畅,四种生产要素价格、猪肉价格和CPI之间基本上可以顺畅传导,大部分价格之间存在时效性和时滞性；C、一次性生产要素-仔猪价格波动幅度比较大,长期投入生产要素的价格波动相对平缓。(4)生猪绿色供应链绩效评价体系研究：在理论研究和实际调研的基础上构建生猪绿色供应链的整体结构,进而在BSC框架基础上分别从时间和空间两个视角构建生猪绿色供应链绩效评价体系,其中基于空间视角和BSC生猪绿色供应链的绩效评价指标体系由四个一级指标(财务维度、顾客维度、内部业务流程维度和创新和学习维度)和27个二级指标构成,基于时间视角和BSC生猪绿色供应链的绩效评价指标体系分成形成期、发展期、成熟期和衰退期等四个阶段,共有32个指标构成。(5)关系治理和契约治理对生猪绿色供应链绩效的影响研究：构建基于交易成本理论和社会交换理论视角下契约治理与关系治理对生猪绿色供应链绩效影响的结构方程模型,通过对企业实地访谈、邮寄调研问卷、电话访谈和网络问答等方式搜集379个有效样本数据,运用结构方程模型(SEM)验证所建立模型的配适度及研究假设。研究结果发现：A、本研究建构模型具良好配适度,适用于生猪绿色供应链节点。B、关系治理与契约治理同时共同直接改善供应链绩效。C、资产专用性、行为不确定性、内部复杂性、沟通和知觉满意度等五个前因通过关系治理与契约治理间接影响生猪绿色供应链绩效。本研究虽然取得了一些研究结论,但是由于国内外相关文献不充分、笔者实践经验不足等原因使得本文也存在某些不足之处,有待更深入与更切合实际的后续研究。更多还原

【Abstract】 Pork food safety and Price stability do beneficial relationship to the people’s livelihood, effective operation and management of pig green supply chain mode can promote the steady supply of live pig, guarantee pork food safety.(1) Pork is China’s important agricultural product, is the main source of consumption of meat of our country urban and rural dweller.Pork food safety matters to people health and life safety, but at the present the foundation of our country pork food safety is relatively weak, the pig industry scale, organization, standardization rate is low, enterprise credit system is not perfect, food safety regulations, standards are not sound enough, monitoring technology is not advanced, because of interest drive to pork food safety law problems increased, such as the recent clenbuterol problem. So the study on the nodes of the pig supply chain distribution, risk mechanism, interest mechanism, performance and stability can guarantee the safety of food supply.(2) Due to the pork food is the main source of residents’ consumption of meat, so the price of pork influences urban and rural residents’ daily life consumption expenditure and consumption demand. From live pig supply chain perspective, the price of pork is actually in the supply chain’s value distribution terminal embodiment. Pig supply chain value in pig breeding, pig broker, live pig buys, slaughter of live pigs and pork sales distribution of pork price fluctuations, and contract fulfillment and relationship management affect the transaction cost and social cost, thereby affecting the price of pork, ultimately reflected in the stability of the supply chain. Social factors (communication,commitment,perceived satisfaction,dependent) and economic factors (capital of special sex, uncertainty, behavior of environmental uncertainty and internal complexity) and other effects of contract and relationship management. Therefore, study on the pork supply chain will help clarify the pork price formation mechanism.Research significance:As a result of live pig market demand characteristics, market demand distribution and other factors, competition of the hog market is relatively mild, but in recent years the supply of live pigs from most farmer comes loose raise to company moderate scale aquaculture development, at the same time, food safety and price stability and other aspects of the request, so that in the industry or the industry, manufacturers of each node competition is more and more intense, so the node manufacturers build effective continuity of supply chain relationship to enhance competitive advantage (e.g. Primo and Amundson,2002; Johnston et al.,2004; Griffith et al.,2006), but since the core of supply chain companies in the supply chain in the natural state of the node location is different, in the establishment of effective and sustainable supply chain or in its supply chain nodes extending in different ways, so that formed the different supply chain mode, supply chain mode due to different nodes, the division of labor and cooperation between different nodes, the interest coupling in different ways, different system arrangement, leading to supply chain performance there, in this aspect, the existing research lacks, worthy of further study.Research significance:Because differences of live pig supply chain supply chain operation mechanism, internal organization distribution exist between each node, the contract fulfillment, relationship management, cooperation surplus distribution will affect the stable and effective operation of the supply chain (Wan Junyi,20082010; meters Yun-sheng,2009), this research field is worthy of further development study.Research significance:in general live pig supply chain downstream is farmer, because the farmer operation is different, so the contract binding, the degree of asymmetric information and reputation mechanism are not the same (Yin Yunsong,2003). Because of the impact of transaction cost,such as:the pig poultry house labor and asset specificity, the uncertainty of transaction, transaction frequency (Williamson,1985), the objective existence of the incomplete contract (Grossman and Hart,1986) and bounded rationality (Simon,1955) the forward transaction risk agglomeration effect increases (Wan Junyi,2008), order agriculture contract to honor the agreement rate is not high (Liu Fengqin,2003). Supply chain relationship includes not only economic factors, but also include social exchange factor (Choi and Hartley,1996; Rousseau et al.,1998; Johnston et al.,2004), therefore, live pig supply chain economic trading factors and social factors integration mode remains to study further.The project will be in draw lessons from domestic and international supply chain management, agricultural technology economics and sociology on the basis of research results, the combination of our country live pig green supply chain in the field research and in-depth interview data and information, the live pig of green supply chain and classify and analyze all kinds of live pig, green supply chain operation model and its inherent mechanism; on the basis of this, according to the transaction cost and complexity, capital specificity and performance assessment of the degree of difficulty of dimensional variables analysis identified pig green supply chain organization distribution; analysis of live pig green supply chain organization form distribution and the input variables (Relational Governance and contract fulfillment), output variables (food safety and stable prices), and then based on the food safety and price stability in the supply chain operation model and stability model, through the investigation and interview method, using structural equation, game theory, FVCA methods and tools for empirical research, puts forward the organization stability applicability countermeasures. Expected results will enrich the theory of supply chain management system, at the same time on the pork supply chain in China enterprises and relevant government departments have guiding significance.Around the pig supply chain operation mode, pork food safety and price stability, economic factors and social factors on the pig supply chain performance and other aspects of the problem, this article main research contents and results are as follows:(1) Operation mode live of pig supply chain:from asset special, trade’s complexity and specificity of the product level to build three aspects of live pig supply chain mode of operation model, through the analysis of live pig supply chain mode of operation is divided into five types:market supply chain, loose supply chain, half close together model supply chain, close supply chain and the integration of supply chain; through domestic and foreign literatures and field survey, the reality of the pig supply chain operation mode summarized specifically divided into the following five types:vertical integration pig supply chain, prospective longitudinal integration pig supply chain, half close together model pig supply chain, supply chain and loose live pig market supply chain. In the domestic and foreign pig supply chain model based on the theory and practice of the pig industry in China, combined with the actual situation, this paper argues that China’s future live pig supply chain mode: upstream longitudinal integration or prospective longitudinal integration (bibcock enterprise+farmer)+downstream processing horizontal integration (leading processing enterprises+logistics company+seller),is a kind of division of labor and cooperation alliance competition between interest groups, referred to as the above longitudinal below transverse group alliance pig supply chain.(2) Logistics and value flow model of Pig supply chain:This article analysis the theory model and practice of our country pork supply chain and value chain from a logically consistent angle. Especially the node analysis of pork supply chain and the value distribution analysis of value chain, etc. Firstly analyzes the concept model of pork supply in China, and further depicting the nodes of our pork supply chain and the contact of each other. at the same time, through the comparison with Vietnamese pork supply chain to analysis the characteristics and problems of our pork chain. Then analysis the composition of pork value chain in China and the distribution of each note, through the comparison with the United Sates and Vietnam to analysis the pork present situation and problems of the value chain. Meanwhile assumes immoral behavior exist to analysis the value distribution of the pig value chain and explore the key nodes and measures to the food safety. Finally summarized and from supply chain process reengineering, food quality supervision and policies regulations to give suggestions and opinions.(3)Research on Price Transmission Mechanism of Pork Supply Chain:This paper construct the price system structure of pork supply chain and closed-loop conduction path, Using the2001January to2011July of pork price, feed price, price, the price of corn, beans hectometer pigs price and CPI monthly data, analysis six types of data fluctuation of the overall trend, characteristics and cycle fluctuations, while stationary test and Johansen test, established the VAR model, using the impulse response function and variance decomposition of pork supply chain price system of mutual influence, finally using finite distributed lag model (FDL) analysis of pork supply chain price transmission mechanism, the results show that:(1) the price of pork supply chain system is a long-term equilibrium relationship;(2) pork supply chain price transmission mechanism is relatively smooth, four kinds of prices of production factors, the price of pork and CPI basically can smooth transmission, most prices between effectiveness and time delay;(3) a one-time production factor in piglets price volatility is relatively large, long-term investment of factor of production price is relatively smooth.(4)Research on Performance Evaluation System of Pig Supply Chain:This paper construct live pig supply chain based on theoretical study and practical research, then from the time and space two perspective and BSC to research the performance evaluation system,which based on the spatial perspective and BSC live pig supply chain performance evaluation index system composed of four level indicators (financial dimension, customer dimension, internal business process dimension and innovation and learning perspective) and27level two indexes, based on the perspective of time and BSC live pig supply chain performance evaluation index system is divided into the formation period, development period, the period of maturity and recession of four stages, with a total of32indexes. (5) The Effects of Relationship Governance and Contract Governance on Pig Supply Chain Performance:Transaction Cost and Social Exchange Theories Perspective:This paper use SEM to analysis the effects of relationship governance and contract governance on pig supply chain performance based on transaction cost and social exchange theories perspective, through to the enterprise field interviews, mailed questionnaires, telephone interviews and network quiz collected379effective samples data, using structural equation model (SEM) to verify the model fit and research hypothesis. The research results show that:A.The model with good fit, apply to the nodes of the pig supply chain.B.Relationship governance and contract governance at the same time to directly improve the supply chain performance.C.Asset specificity, behavior uncertainty, complexity, internal communication and perceived satisfaction through five antecedents of relationship management and contract management two indirectly affect live pig supply chain performance.This research has achieved some results, but there are some deficiencies, further and more realistic follow-up study.更多还原