1、United States Public Strategies for Support for Farmer Cooperatives美國支持農場主合作社的公共戰略美國支持農場主合作社的公共戰略Presentation to the Workshop on Cooperatives Beijing, China April 12-14, 2006Dr. John R. Dunn約翰約翰 敦敦 合作社研討會發言稿，中國北京，2006年4月1214RURAL DEVELOPMENTCOOPERATIVES PROGRAM合作社計劃合作社計劃PART ONE PUBLIC POLICY AND SU

2、PPORT FOR COOPERATVES第第1部分部分-支持合作社的公共政策支持合作社的公共政策 Definition of a cooperative 合作社的定義 Status of Cooperatives 合作社的現狀 Incorporation 組成 Support services 支持服務 Financial Services 財務服務Privately Owned Cooperative:私有合作社：私有合作社： Is a voluntary association of farmers是農場主自愿組成的協會 Is a raising farmers income enter

3、prise是提高農場主收入的企業 Is not a government-run enterprise不是政府經營的企業Modern Privately Owned Cooperative Principles 現代私有合作社的原則現代私有合作社的原則1. The User-Owner Principle: Those who own and finance the cooperative are those who use the cooperative. 使用者-擁有者原則: 誰擁有合作社并負擔其經費誰就使用它。2. The User-Control Principle: Those wh

4、o control the cooperative are those who use the cooperative. 使用者- 控制原則：誰使用合作社誰就控制它。3. The User-Benefits Principle: The cooperatives purpose is to provide and distribute benefits to its users on the basis of their use. 使用者- 利益原則：合作社的目的是根據使用合作社情況向使用者提供和分配利潤。Role of U.S. Government with Agricultural Co

5、operatives美國政府在農業合作社中的作用美國政府在農業合作社中的作用Cooperatives are regulated the same way as other businesses. 對合作社管理對合作社管理方式與其它經濟體一樣。方式與其它經濟體一樣。Cooperatives are allowed special tax treatment, if they chose to follow certain rules. 如果合作社運營遵循一定規定，則允許享受特殊稅收待遇。如果合作社運營遵循一定規定，則允許享受特殊稅收待遇。Government helps with cooper

6、ative starts through technical assistance research, and education 政府通過技術支持、研究和培訓幫助啟動合作社。政府通過技術支持、研究和培訓幫助啟動合作社。Government helps with very limited funding programs 政府僅僅提供非常政府僅僅提供非常有限的資金。有限的資金。No official national definition of cooperatives 對合作社沒有全國統一的官對合作社沒有全國統一的官方定義。方定義。Incorporation/registration is

7、at the State level 在州一級形成法人組織在州一級形成法人組織/注冊。注冊。INCOME TAX TREATMENT所得稅待遇所得稅待遇Single tax treatment for: 對于以下資金享有單一稅待遇：Patronage refunds 補助性退款Per-unit retains 單位提留True whether cooperative returns these funds as cash or retains them as capital 無論合作社以現金方式返還這些資金還是保留這些資金作為資本都是正確的Other income taxed twice 其它

8、的所得稅翻番SHERMAN ANTI-TRUST ACT 謝爾曼反托拉斯法謝爾曼反托拉斯法Individual businesses that conspire to restrain or monopolize trade are guilty of a criminal felony 個別企業企圖抑制或壟斷交易是嚴重違法。個別企業企圖抑制或壟斷交易是嚴重違法。Supreme Court - Only “unreasonable” agreements are forbidden but some actions, such as fixing prices, are so clearly

9、anti-competitive that they are unreasonable per se 最高法院最高法院-僅禁止僅禁止“不合理的不合理的”協議，但是有些行為，例如協議，但是有些行為，例如固定價格，很顯然是反競爭的，本質上說，它們是不合理的。固定價格，很顯然是反競爭的，本質上說，它們是不合理的。CAPPER-VOLSTEAD ACT-1926沃爾斯坦德法沃爾斯坦德法-1926Agricultural producers may act together in associations農產生產者可以通過協會方式聯合起來。農產生產者可以通過協會方式聯合起來。To collectivel

10、y process, prepare for market, handle, and market agricultural products they produce對他們生產的農產品進行銷售前的集中處理、準備和銷售。對他們生產的農產品進行銷售前的集中處理、準備和銷售。QUALIFICATION STANDARDSFOR CAPPER VOLSTEAD PROTECTION受沃爾斯坦德法保護的資格標準受沃爾斯坦德法保護的資格標準 Membership limited to agricultural producers會員必須是農業生產者。會員必須是農業生產者。Operates to bene

11、fit members as producers其運營是為了使得作為生產者的會員受益。其運營是為了使得作為生產者的會員受益。One member-one vote or 8 percent cap on stock dividends一個會員一票或者對于股票股息有一個會員一票或者對于股票股息有8%的上限。的上限。Value of products handled for members must exceed that of nonmember products會員經營的產品的價值必須超過那些非會員產品的價值。會員經營的產品的價值必須超過那些非會員產品的價值。PROTECTED CONDUCT

12、被保護的市場行為被保護的市場行為Agreements on prices and terms of sale價格協議和銷售條件Select the extent of joint marketing (bargaining, selling, processing)選擇聯合營銷的范圍（議價，出售，加工）Cooperation with other cooperatives與其它合作社的合作Achieving substantial market share得到實在的市場份額UNPROTECTED CONDUCT不受保護的市場行為不受保護的市場行為Agreements with non-prod

13、ucers與非生產者的協議Acquisitions of non-cooperative firms獲取非合作社企業的產品Predatory conduct掠奪性市場行為Undue price enhancement (Sec. 2 of Capper-Volstead)不適當的提價（沃爾斯坦德法第二部分）ORGANIZATION OF THE U.S. DEPARTMENT OF AGRICULTUREMike Johanns, Secretary美國農業部美國農業部Mike Johanna, 部長部長Department (Secretary) 部部 （部長）（部長）Mission Are

14、as (Under Secretary) 職責范圍職責范圍 （副部長）（副部長）Rural Development 農業開發農業開發Natural Resources and Environment 自然資源和環境自然資源和環境Farm and Foreign Agricultural Services 農場和農產品外銷服務農場和農產品外銷服務Research, Education, and Economics 研究、培訓和經濟學研究、培訓和經濟學Food Nutrition and Consumer Services 食品營養和消費者服務食品營養和消費者服務Food Safety 食品安全食

15、品安全Marketing and Regulatory Services 營銷和調節性服務營銷和調節性服務Organization of the Rural Development Mission AreaThomas P. Dorr, Under Secretary 農業開發部門的職責范圍農業開發部門的職責范圍Thomas P.Dorr, 副部長副部長 Rural Housing 農村住房供給 Rural Utilities 農村公用事業 Rural Business and Cooperatives 農村商業和合作社Operating Structure of USDA Rural Dev

16、elopment美國農業部農村發展部門的機構美國農業部農村發展部門的機構 National Office (Washington, DC) 聯邦聯邦政府辦公室政府辦公室 （華盛頓特區）（華盛頓特區） State Offices (47) 州辦公室（州辦公室（47） Sub State offices 州辦公室下屬辦公室州辦公室下屬辦公室 Regional offices 地區辦公室地區辦公室 6000 employees 6000名雇員名雇員”To promote understanding and use of the cooperative form of business as a vi

17、able organizational option for marketing and distributing agricultural products.” “合作社是農產品營銷和流通一種可行的組織方式，推動對這種經營方式的理解和合作社是農產品營銷和流通一種可行的組織方式，推動對這種經營方式的理解和使用使用”Cooperatives Program Mission 合作社發展規劃合作社發展規劃cooperative development合作社的發展current programs目前的計劃technical assistance技術援助cooperative development合作

18、社的發展current programs目前的計劃technical assistance技援research研究cooperative development合作社的發展current programs目前的計劃technical assistance技援research研究education and information培訓和信息cooperative development合作社的發展current programs目前的計劃technical assistance技援research研究education and information培訓和信息statistics統計coopera

19、tive development合作社的發展current programs目前的計劃technical assistance技援research研究education and information培訓和信息statistics統計International Assistance國際援助cooperative development合作社的發展current programs目前的計劃Technical Assistance技援Research研究Education and Information培訓和信息Statistics統計International Assistance國際援助Fun

20、ding Programs融資計劃Cooperative Development合作社的發展Current Programs 目前計劃Assist interested groups of producers organize new cooperatives. 幫助感興趣的生產者群體組建新的合作社。National office feasibility and development staff.聯邦政府辦公室和發展人員 Cooperative development specialists in State RD offices. 州農業發展辦公室的合作社發展專家 Rural Cooper

21、ative Development Centers, funded through the RCDG program. 通過農村合作社發展贈款計劃（RCDG）資助的農村合作社發展中心Cooperative Development合作社的發展Current Programs目前計劃Access to new markets or services by farmer members of cooperatives合作社的農場主會員開辟新的市場和服務Increased revenue generated on behalf of members of new cooperative enterpr

22、ises增加新合作社公司的會員收入Increased cooperative revenue and improved financial, operating, and/or marketing position of cooperatives.增加合作社收入、改進其財務狀況、增強運營和/或提高營銷地位Application of cooperative principles to new problems facing farmers合作原則適應于農場主所面臨的新問題Cooperative Development合作社的發展Current Programs目前計劃Outcomes產出Tec

23、hnical Assistance 技術援助Cooperative Development 合作社的發展Current Programs目前的規劃Provide business and market analysis assistance to existing cooperatives. 為現有的合作社提供商業和市場分析援助Facilitating development of a strategic plan. 制定發展戰略計劃。 Analysis of merger or joint venture options.分析和并或聯營方式。 Analysis of feasibility

24、of value added investment. 分析增值投資可行性 Analysis of operational and financial condition.分析運營和財務狀況Design of improved governance system. 設計更好的管理體系Technical Assistance 技術援助Current Programs 目前的規劃Improved revenues and financial, operating, and/or marketing position of cooperatives合作社的收入增加、財務和運營狀況改善以及/或營銷地位提

25、高Increased member income resulting from cooperative operations由于合作社的運營而增加了會員的收入Develop solutions to problems facing cooperatives developed幫助解決合作社發展中面臨的問題Application of cooperative principles to new problems facing farmers將合作原則應用于農場主所面臨的新問題Technical Assistance技術援助Current Programs目前的規劃Outcomes產出Techni

26、cal Assistance技術援助Research研究cooperative development 合作社的發展Current Programs 目前的規劃Study the economic, legal, financial, social, and other aspects of cooperatives and publish the results thereof. 研究合作社的經濟、合法、財務、社會以及其它方面問題并公布有關結果。Research conducted by staff as individuals or in teams.由個人或團隊開展研究。 Collabo

27、rative funded research with Universities and the private sector.與大學和私人部門聯合開展的研究。 Professional collaborations: Research partnerships not supported by financial resources.專業協作：沒有財務資源支持的合作研究 Professional association activities專業協會活動Research研究Current Programs目前的計劃Improved revenues and financial, operati

28、ng, and/or marketing position of cooperatives合作社的收入增加、財務和運營狀況改善以及/或營銷地位提高New solutions to problems facing cooperatives developed合作社發展面臨問題的新的解決方法Increased cooperative research capacity in university and private sector提高大學和私人部門的合作社研究能力Application of cooperative principles to new problems facing farmer

29、s將合作原則應用于農場主所面臨的新問題Research研究Current Programs目前的規劃Outcomes產出Technical Assistance技術援助Research研究Education and Information培訓和信息cooperative development 合作社的發展current programs目前的規劃Promote an understanding of cooperative principles and practices through written, electronic, and personal communication. 通過書

30、面、電子和人際溝通渠道提高人們對于合作社原則和實踐的理解。Produce educational information, materials, and research that supports cooperatives.制作支持合作社的培訓信息、材料和研究。 Collaboration with other educators and educational institutions.與其它培訓人員和培訓機構的合作。 Staff from both National and State offices facilitate cooperative education programs.來

31、自聯邦政府和州政府辦公室的人員推動合作社培訓計劃。Education and Information培訓和信息current programs目前的規劃Increased capability of cooperative directors, employees, and members to make business decisions that strengthen the cooperative 提高合作社主管、雇員和會員的能力從而做出增加合作社實力的經營決策。Application of cooperative organizational principles to a wide

32、r variety of rural applications合作社的組織原則適用于更廣泛多樣化的農村事務中。Improved financial, operating, and/or marketing position of cooperatives提高合作社財務、運營能力以及/或營銷地位。Increased member income resulting from cooperative operations由于合作社的運營而增加了會員的收入。Education and Information培訓和信息current programs目前的計劃Outcomes產出technical as

33、sistance技術援助research研究education and information培訓和信息statistics統計cooperative development合作社的發展current programs目前的規劃 Acquire, analyze, and disseminate data and information on cooperatives. 獲取、分析并宣傳有關合作社的資料和信息。獲取、分析并宣傳有關合作社的資料和信息。Annual farmer cooperative survey conducted, with an annual report produce

34、d.開展農場主合作社年度調查并編寫年度報告。開展農場主合作社年度調查并編寫年度報告。 Letter reports with comparison analysis included with survey instrument.對比分析的文字報告，包括調查方法和工具。對比分析的文字報告，包括調查方法和工具。Provide information for researchers, policy makers, and the public.向研究人員、政策制定者和公眾提供信息。向研究人員、政策制定者和公眾提供信息。statistics統計current programs目前的計劃Appropr

35、iately defined role for cooperatives in public policy deliberations在公共政策協商中適當定義合作社的作用。 Better public understanding of the role of cooperatives in the food sector公眾較好理解合作社在食品行業中的作用。Increased support for cooperative-based solutions to rural economic problems加強對支持合作社支持解決農村經濟問題。 Improved understanding a

36、mong cooperative leaders and members on performance and condition of their own cooperative 提高合作社領導和會員對其合作社運營和狀況的理解。statistics統計current programs目前的規劃outcomes產出technical assistance技術援助Research研究Education and Information培訓和信息Statistics統計International Assistance國際援助Cooperative Development合作社的發展current p

37、rograms目前的規劃Provide technical and education assistance to producers in selected overseas countries. 為選取的其它國家提供技術和培訓援助。為選取的其它國家提供技術和培訓援助。In-country assistance projects.國內的援助項目。國內的援助項目。 Training and advising of international visitors.為國際參觀者提供培訓和建議。為國際參觀者提供培訓和建議。 Participation in bilateral and multi-la

38、teral government to government projects.參加雙邊和多邊的政府間項目。參加雙邊和多邊的政府間項目。International Assistance國際技術援助current programs目前的規劃Strengthen commercial agricultural cooperative system in targeted developing countries增強目標發展中國家經營性農業合作社系統。Broader understanding of democratic cooperative principles更廣泛的理解民主合作社的原則。In

39、creased capacity of partner nations to provided sustained cooperative assistance提高合作國家的能力，提供持續的合作社援助。Increased trade with U.S.增加與美國的貿易。Enhance U.S. homeland security.提高美國本土的安全。International Assistance國際援助current programs目前的計劃outcomes產出technical assistance技術援助research研究education and information培訓和信息s

40、tatistics統計International Assistance國際援助cooperative development合作社的發展current programs目前的規劃Funding programs融資計劃Value-Added producer grants 為生產者增值提供的贈款（為生產者增值提供的贈款（VAPG）Rural cooperative development grants 農村合作社的發展贈款農村合作社的發展贈款 Grants to assist small minority producers 援助小規模的少數生產者提援助小規模的少數生產者提供的贈款供的贈款Co

41、operative stock purchase loan guarantees 合作社股票購買貸款擔保合作社股票購買貸款擔保Business loan guarantees 商業貸款擔保商業貸款擔保Rural electric and telephone coop financing 農村電氣和電話合作社融資農村電氣和電話合作社融資Funding programs融資計劃current programs目前的規劃Value-Added producer grants 生產者增值贈款生產者增值贈款National Grant competition 聯邦政府贈款競爭聯邦政府贈款競爭Provid

42、es grants of up to $25,000 for conduct feasibility analysis提供最高提供最高25,000美元的贈款用于可行性分析。美元的贈款用于可行性分析。Provides grants up to $250,000 to fund working capital提供最高提供最高250,000美元的贈款資助營運資金美元的贈款資助營運資金Funding programs資金計劃current programs目前的計劃Rural cooperative development grants 農村合作社發展贈款農村合作社發展贈款Funds regional

43、 centers to assist cooperatives 區域資金中心區域資金中心援助合作社援助合作社$250,000 per center per year 每個中心每年每個中心每年250,000美元美元Centers focus on development assistance and education 中心中心著重于發展援助和培訓著重于發展援助和培訓Funding programs資金計劃current programs目前的計劃Cooperative stock purchase loan guarantees 購買合作社股份貸款擔保購買合作社股份貸款擔保Farmers bo

44、rrow from commercial banks, use funds to invest in cooperative 農場主從商業銀行借款，利用借款資金投資合作社農場主從商業銀行借款，利用借款資金投資合作社Government provides up to 80 percent guarantee for the loan from the bank 政府為農場主從銀行貸款提供擔保，最高擔保額為貸款的政府為農場主從銀行貸款提供擔保，最高擔保額為貸款的80%Funds are debt of farm balance sheet, equity on cooperative balanc

45、e sheet.該資金在農場資產負債表中反映為負債，在合作社的資產負債表中反映為資產凈值該資金在農場資產負債表中反映為負債，在合作社的資產負債表中反映為資產凈值Leverages public financial exposure by a 20-1 factor 公共財務杠桿系數公共財務杠桿系數20-1Funding programs資金計劃current programs目前的計劃Increase revenue for farmers 增加農場主的收入Increased profitability of farms 增加農場的盈利能力Increase business revenues

46、in rural areas增加農村的經營收入Increased diversity of product revenue streams generated from agricultural products 增加來自于農產品的產品收入的多樣性Increases number of new value-added business starts 增加新的經濟增加值起點的數量Grant Administration贈款管理局current programs目前的規劃outcomes產出 (VAPG)PART TWO - Condition and trends of U.S. Agricul

47、tural Cooperatives第二部分第二部分-美國農業合作社的狀況和趨勢美國農業合作社的狀況和趨勢 Trends 趨勢趨勢 Basic Data 基本資料基本資料 Internal and external forces 內外和部力量內外和部力量Trends in U.S. Farmer Cooperatives美國農場主美國農場主合作社合作社的趨勢的趨勢Biggest cooperative growth is in bio-energy, value added, and specialty foods markets.最大的合作社成長于生物能源、高附加值和專業食品市場。Most new cooperatives are legall