United States’ Public Strategies for Support for Farmer Cooperatives RURAL DEVELOPMENT COOPERATIVES PROGRAM 农村发展 合作社计划 United States’ Public Strategies for Support for Farmer Cooperatives 美国支持农场主合作社的公共战略 Presentation to the Workshop on Cooperatives Beijing, China April 12-14, 2006 Dr. John R. Dunn 约翰敦 合作社研讨会发言稿，中国北京，2006年4月12~14

PART ONE – PUBLIC POLICY AND SUPPORT FOR COOPERATVES 第1部分-支持合作社的公共政策 Definition of a cooperative 合作社的定义 Status of Cooperatives 合作社的现状 Incorporation 组成 Support services 支持服务 Financial Services 财务服务

Privately Owned Cooperative: 私有合作社： Is a voluntary association of farmers 是农场主自愿组成的协会 Is a raising farmer’s income enterprise 是提高农场主收入的企业 Is not a government-run enterprise 不是政府经营的企业

Modern Privately Owned Cooperative Principles 现代私有合作社的原则 1. The User-Owner Principle: Those who own and finance the cooperative are those who use the cooperative. 使用者-拥有者原则: 谁拥有合作社并负担其经费谁就使用它。 2. The User-Control Principle: Those who control the cooperative are those who use the cooperative. 使用者- 控制原则：谁使用合作社谁就控制它。 3. The User-Benefits Principle: The cooperative's purpose is to provide and distribute benefits to its users on the basis of their use. 使用者- 利益原则：合作社的目的是根据使用合作社情况向使用者提供和分配利润。

Role of U.S. Government with Agricultural Cooperatives 美国政府在农业合作社中的作用 Cooperatives are regulated the same way as other businesses. 对合作社管理方式与其它经济体一样。 Cooperatives are allowed special tax treatment, if they chose to follow certain rules. 如果合作社运营遵循一定规定，则允许享受特殊税收待遇。 Government helps with cooperative starts through technical assistance research, and education 政府通过技术支持、研究和培训帮助启动合作社。 Government helps with very limited funding programs 政府仅仅提供非常有限的资金。 No official national definition of cooperatives 对合作社没有全国统一的官方定义。 Incorporation/registration is at the State level 在州一级形成法人组织/注册。

INCOME TAX TREATMENT 所得税待遇 Single tax treatment for: 对于以下资金享有单一税待遇： Patronage refunds 补助性退款 Per-unit retains 单位提留 True whether cooperative returns these funds as cash or retains them as capital 无论合作社以现金方式返还这些资金还是保留这些资金作为资本都是正确的 Other income taxed twice 其它的所得税翻番

SHERMAN ANTI-TRUST ACT 谢尔曼反托拉斯法 Individual businesses that conspire to restrain or monopolize trade are guilty of a criminal felony 个别企业企图抑制或垄断交易是严重违法。 Supreme Court -- Only “unreasonable” agreements are forbidden but some actions, such as fixing prices, are so clearly anti-competitive that they are unreasonable per se 最高法院-仅禁止“不合理的”协议，但是有些行为，例如固定价格，很显然是反竞争的，本质上说，它们是不合理的。

CAPPER-VOLSTEAD ACT-1926 沃尔斯坦德法-1926 Agricultural producers may act together in associations 农产生产者可以通过协会方式联合起来。 To collectively process, prepare for market, handle, and market agricultural products they produce 对他们生产的农产品进行销售前的集中处理、准备和销售。

QUALIFICATION STANDARDS FOR CAPPER VOLSTEAD PROTECTION 受沃尔斯坦德法保护的资格标准 Membership limited to agricultural producers 会员必须是农业生产者。 Operates to benefit members as producers 其运营是为了使得作为生产者的会员受益。 One member-one vote or 8 percent cap on stock dividends 一个会员一票或者对于股票股息有8%的上限。 Value of products handled for members must exceed that of nonmember products 会员经营的产品的价值必须超过那些非会员产品的价值。

PROTECTED CONDUCT 被保护的市场行为 Agreements on prices and terms of sale 价格协议和销售条件 Select the extent of joint marketing (bargaining, selling, processing) 选择联合营销的范围（议价，出售，加工） Cooperation with other cooperatives 与其它合作社的合作 Achieving substantial market share 得到实在的市场份额

UNPROTECTED CONDUCT 不受保护的市场行为 Agreements with non-producers 与非生产者的协议 Acquisitions of non-cooperative firms 获取非合作社企业的产品 Predatory conduct 掠夺性市场行为 Undue price enhancement (Sec. 2 of Capper-Volstead) 不适当的提价（沃尔斯坦德法第二部分）

Department (Secretary) 部 （部长） ORGANIZATION OF THE U.S. DEPARTMENT OF AGRICULTURE Mike Johanns, Secretary 美国农业部 Mike Johanna, 部长 Department (Secretary) 部 （部长） Mission Areas (Under Secretary) 职责范围 （副部长） Rural Development 农业开发 Natural Resources and Environment 自然资源和环境 Farm and Foreign Agricultural Services 农场和农产品外销服务 Research, Education, and Economics 研究、培训和经济学 Food Nutrition and Consumer Services 食品营养和消费者服务 Food Safety 食品安全 Marketing and Regulatory Services 营销和调节性服务

Rural Utilities 农村公用事业 Rural Business and Cooperatives 农村商业和合作社 Organization of the Rural Development Mission Area Thomas P. Dorr, Under Secretary 农业开发部门的职责范围 Thomas P.Dorr, 副部长 Rural Housing 农村住房供给 Rural Utilities 农村公用事业 Rural Business and Cooperatives 农村商业和合作社

Operating Structure of USDA Rural Development 美国农业部农村发展部门的机构 National Office (Washington, DC) 联邦政府办公室 （华盛顿特区） State Offices (47) 州办公室（47） Sub State offices 州办公室下属办公室 Regional offices 地区办公室 6000 employees 6000名雇员

Cooperatives Program Mission 合作社发展规划 ”To promote understanding and use of the cooperative form of business as a viable organizational option for marketing and distributing agricultural products.” “合作社是农产品营销和流通一种可行的组织方式，推动对这种经营方式的理解和使用”

cooperative development合作社的发展 current programs目前的计划

cooperative development合作社的发展 current programs目前的计划 technical assistance技术援助

cooperative development合作社的发展 current programs目前的计划 technical assistance技援 research研究

cooperative development合作社的发展 current programs目前的计划 technical assistance技援 research研究 education and information培训和信息

cooperative development合作社的发展 current programs目前的计划 technical assistance技援 research研究 education and information培训和信息 statistics统计

cooperative development合作社的发展 current programs目前的计划 technical assistance技援 research研究 education and information培训和信息 statistics统计 International Assistance国际援助

Cooperative Development合作社的发展 Current Programs 目前计划 Technical Assistance技援 Research研究 Education and Information培训和信息 Statistics统计 International Assistance国际援助 Funding Programs融资计划

Cooperative Development合作社的发展 Current Programs目前计划 • Assist interested groups of producers organize new cooperatives. 帮助感兴趣的生产者群体组建新的合作社。 • National office feasibility and development staff.联邦政府办公室和发展人员 • Cooperative development specialists in State RD offices. 州农业发展办公室的合作社发展专家 • Rural Cooperative Development Centers, funded through the RCDG program. 通过农村合作社发展赠款计划（RCDG）资助的农村合作社发展中心

Cooperative Development合作社的发展 Current Programs目前计划 Outcomes产出 • Access to new markets or services by farmer members of cooperatives 合作社的农场主会员开辟新的市场和服务 • Increased revenue generated on behalf of members of new cooperative enterprises 增加新合作社公司的会员收入 • Increased cooperative revenue and improved financial, operating, and/or marketing position of cooperatives. 增加合作社收入、改进其财务状况、增强运营和/或提高营销地位 • Application of cooperative principles to new problems facing farmers 合作原则适应于农场主所面临的新问题 Point 2 is revenue generated by members. Point 3 is cooperative revenue.

Cooperative Development 合作社的发展 Current Programs目前的规划 Technical Assistance 技术援助

Technical Assistance 技术援助 Current Programs 目前的规划 • Provide business and market analysis assistance to existing cooperatives. 为现有的合作社提供商业和市场分析援助 • Facilitating development of a strategic plan. 制定发展战略计划。 • Analysis of merger or joint venture options.分析和并或联营方式。 • Analysis of feasibility of value added investment. 分析增值投资可行性 • Analysis of operational and financial condition.分析运营和财务状况 • Design of improved governance system. 设计更好的管理体系

Technical Assistance技术援助 Current Programs目前的规划 Outcomes产出 • Improved revenues and financial, operating, and/or marketing position of cooperatives 合作社的收入增加、财务和运营状况改善以及/或营销地位提高 • Increased member income resulting from cooperative operations 由于合作社的运营而增加了会员的收入 • Develop solutions to problems facing cooperatives developed 帮助解决合作社发展中面临的问题 • Application of cooperative principles to new problems facing farmers 将合作原则应用于农场主所面临的新问题

cooperative development 合作社的发展 Current Programs 目前的规划 Technical Assistance技术援助 Research研究

Research研究 Current Programs目前的计划 • Study the economic, legal, financial, social, and other aspects of cooperatives and publish the results thereof. 研究合作社的经济、合法、财务、社会以及其它方面问题并公布有关结果。 • Research conducted by staff as individuals or in teams.由个人或团队开展研究。 • Collaborative funded research with Universities and the private sector.与大学和私人部门联合开展的研究。 • Professional collaborations: Research partnerships not supported by financial resources.专业协作：没有财务资源支持的合作研究 • Professional association activities专业协会活动

Research研究 Current Programs目前的规划 Outcomes产出 • Improved revenues and financial, operating, and/or marketing position of cooperatives 合作社的收入增加、财务和运营状况改善以及/或营销地位提高 • New solutions to problems facing cooperatives developed 合作社发展面临问题的新的解决方法 • Increased cooperative research capacity in university and private sector 提高大学和私人部门的合作社研究能力 • Application of cooperative principles to new problems facing farmers 将合作原则应用于农场主所面临的新问题 You may have noticed that the outcomes of these activities are all basically the same. This is because our strategies work in synergy to promote the cooperative form of business. We want to differentiate between the skill sets of services we have (agricultural economists); but ERS does not deal with the same skill sets of services we provide. This would be analogous to an attorney with expertise in cooperative law being asked to make legal interpretations of patent law.

cooperative development 合作社的发展 current programs目前的规划 Technical Assistance技术援助 Research研究 Education and Information培训和信息

Education and Information培训和信息 current programs目前的规划 • Promote an understanding of cooperative principles and practices through written, electronic, and personal communication. 通过书面、电子和人际沟通渠道提高人们对于合作社原则和实践的理解。 • Produce educational information, materials, and research that supports cooperatives. 制作支持合作社的培训信息、材料和研究。 • Collaboration with other educators and educational institutions. 与其它培训人员和培训机构的合作。 • Staff from both National and State offices facilitate cooperative education programs. 来自联邦政府和州政府办公室的人员推动合作社培训计划。

Education and Information培训和信息 current programs目前的计划 Outcomes产出 • Increased capability of cooperative directors, employees, and members to make business decisions that strengthen the cooperative 提高合作社主管、雇员和会员的能力从而做出增加合作社实力的经营决策。 • Application of cooperative organizational principles to a wider variety of rural applications 合作社的组织原则适用于更广泛多样化的农村事务中。 • Improved financial, operating, and/or marketing position of cooperatives 提高合作社财务、运营能力以及/或营销地位。 • Increased member income resulting from cooperative operations 由于合作社的运营而增加了会员的收入。

cooperative development合作社的发展 current programs目前的规划 technical assistance技术援助 research研究 education and information培训和信息 statistics统计

statistics统计 current programs目前的计划 Acquire, analyze, and disseminate data and information on cooperatives. 获取、分析并宣传有关合作社的资料和信息。 • Annual farmer cooperative survey conducted, with an annual report produced. 开展农场主合作社年度调查并编写年度报告。 • Letter reports with comparison analysis included with survey instrument. 对比分析的文字报告，包括调查方法和工具。 ∙ Provide information for researchers, policy makers, and the public. 向研究人员、政策制定者和公众提供信息。

statistics统计 current programs目前的规划 outcomes产出 • Appropriately defined role for cooperatives in public policy deliberations 在公共政策协商中适当定义合作社的作用。 • Better public understanding of the role of cooperatives in the food sector 公众较好理解合作社在食品行业中的作用。 • Increased support for cooperative-based solutions to rural economic problems 加强对支持合作社支持解决农村经济问题。 • Improved understanding among cooperative leaders and members on performance and condition of their own cooperative 提高合作社领导和会员对其合作社运营和状况的理解。

Cooperative Development合作社的发展 current programs目前的规划 technical assistance技术援助 Research研究 Education and Information培训和信息 Statistics统计 International Assistance国际援助

International Assistance国际技术援助 current programs目前的规划 • Provide technical and education assistance to producers in selected overseas countries. 为选取的其它国家提供技术和培训援助。 • In-country assistance projects. 国内的援助项目。 • Training and advising of international visitors. 为国际参观者提供培训和建议。 • Participation in bilateral and multi-lateral government to government projects. 参加双边和多边的政府间项目。

International Assistance国际援助 current programs目前的计划 outcomes产出 • Strengthen commercial agricultural cooperative system in targeted developing countries 增强目标发展中国家经营性农业合作社系统。 • Broader understanding of democratic cooperative principles 更广泛的理解民主合作社的原则。 • Increased capacity of partner nations to provided sustained cooperative assistance 提高合作国家的能力，提供持续的合作社援助。 • Increased trade with U.S. 增加与美国的贸易。 • Enhance U.S. homeland security. 提高美国本土的安全。

cooperative development合作社的发展 current programs目前的规划 technical assistance技术援助 research研究 education and information培训和信息 statistics统计 International Assistance国际援助 Funding programs融资计划

Funding programs融资计划 current programs目前的规划 Value-Added producer grants 为生产者增值提供的赠款（VAPG） Rural cooperative development grants 农村合作社的发展赠款 Grants to assist small minority producers 援助小规模的少数生产者提供的赠款 Cooperative stock purchase loan guarantees 合作社股票购买贷款担保 Business loan guarantees 商业贷款担保 Rural electric and telephone coop financing 农村电气和电话合作社融资

Funding programs资金计划 current programs目前的计划 Value-Added producer grants 生产者增值赠款 National Grant competition 联邦政府赠款竞争 Provides grants of up to $25,000 for conduct feasibility analysis提供最高25,000美元的赠款用于可行性分析。 Provides grants up to $250,000 to fund working capital 提供最高250,000美元的赠款资助营运资金

Funding programs资金计划 current programs目前的计划 Rural cooperative development grants 农村合作社发展赠款 Funds regional centers to assist cooperatives 区域资金中心 援助合作社 $250,000 per center per year 每个中心每年250,000美元 Centers focus on development assistance and education 中心着重于发展援助和培训

Funding programs资金计划 current programs目前的计划 Cooperative stock purchase loan guarantees 购买合作社股份贷款担保 Farmers borrow from commercial banks, use funds to invest in cooperative 农场主从商业银行借款，利用借款资金投资合作社 Government provides up to 80 percent guarantee for the loan from the bank 政府为农场主从银行贷款提供担保，最高担保额为贷款的80% Funds are debt of farm balance sheet, equity on cooperative balance sheet.该资金在农场资产负债表中反映为负债，在合作社的资产负债表中反映为资产净值 Leverages public financial exposure by a 20-1 factor 公共财务杠杆系数20-1

Grant Administration赠款管理局 current programs目前的规划 outcomes产出 (VAPG) • Increase revenue for farmers 增加农场主的收入 • Increased profitability of farms 增加农场的盈利能力 • Increase business revenues in rural areas增加农村的经营收入 • Increased diversity of product revenue streams generated from agricultural products 增加来自于农产品的产品收入的多样性 • Increases number of new value-added business starts 增加新的经济增加值起点的数量

Internal and external forces 内外和部力量 PART TWO - Condition and trends of U.S. Agricultural Cooperatives 第二部分-美国农业合作社的状况和趋势 Trends 趋势 Basic Data 基本资料 Internal and external forces 内外和部力量

Trends in U.S. Farmer Cooperatives 美国农场主合作社的趋势 Biggest cooperative growth is in bio-energy, value added, and specialty foods markets.最大的合作社成长于生物能源、高附加值和专业食品市场。 Most new cooperatives are legally organized as limited liability partnerships 最新的合作社是合法组建的有限责任合伙企业 Obtaining sufficient capital to operate at fully efficient scale is reshaping ownership in cooperatives. 获取有效资金高效规模化运营是合作社所有权的再分配。

Basic Data on U.S Farmer Cooperatives 美国农场主合作社的基本数据 Number of co-ops合作社的数量 2893 Number of memberships会员人数 2.6 million Gross sales 销售总额 $121 billion Total Assets总资产 $47 billion Total Employees 雇员总数 180,000

Cooperative Sales (Marketing) 合作社销售额（营销） (billion $) Dairy奶制品 31.0 Grains and oilseeds 粮食和油籽 23.0 Fruits and vegetables 水果和蔬菜 7.6 Sugar糖 3.6 Cotton棉花 3.5

Cooperative Sales (Farm supplies) 合作社销售额（农场主的供给） (billion $) Petroleum石油 16.3 Feed 饲料 7.0 Fertilizer 化肥 6.4 Crop protectants 杀虫剂 3.3 Seed 种子 2.1

U.S. Farmer Cooperatives Cooperative Shares -- Marketing (%)合作社市场销售份额 美国农场主合作社 Cooperative Shares -- Marketing (%)合作社市场销售份额 Milk/milk products 牛奶/奶制品 83 Grains/oilseeds 粮食/油籽 38 Cotton/cottonseed棉花/棉籽 42 Fruits/vegetables 水果/蔬菜 19 Livestock/wool/mohair 家畜/羊毛/马海毛 13 All other 其它 12 Total总计 28

U.S. Farmer Cooperatives Cooperative Shares -- Supply (%) 美国农场主合作社 Cooperative Shares -- Supply (%) 合作社市场销售份额 Fertilizer化肥 45 Petroleum石油 46 Crop protectants杀虫剂 34 Feed 饲料 15 Seed种子 13 Total总计 26

External Forces Shaping Cooperatives 改造合作社的外部力量 Farm demographics 农场的人口统计 Technology 技术 Consolidation/Integration 合并/综合 Rise of the consumer 消费者增加 Globalization 全球化 New Markets- energy 新市场-能源

Internal Forces Shaping Cooperatives 改造合作社的内部力量 Accumulating capital 累积的资金 Diverging memberships 离开的会员人数 Director effectiveness 主管的效力 Pressures on the Federated model 联合模式的压力 Scaling up at all levels 在各个方面得以提高 Desire to “cash it in” “兑现”希望

Where to get more information 从哪里得到更多的信息？ USDA Rural Business Cooperative Service Publications 美国农业部商业合作社局出版物 Website at 网址: www.rurdev.usda.gov/rbs Creating ‘Co-op Fever’, SR 54 引发“合作社热” How To Start A Cooperative, CIR 7 如何启动一个合作社 Small Business Administration 小企业主利益保护局 http://www.sba.gov/starting/indexbusplans.html 36