Abstract The research investigates whether cooperative formation through horizontal integration is best way forward to enable small-scale farmers meet certification requirements. The study employed a literature review on the shrimp industry in Vietnam, value chain analysis, cooperative formation through horizontal integration while developing vertical integration linkages with larger lead firms plus a case study review to investigate the survivability of small-scale farmers under standards imposition by importers. The study is based on theoretical concepts and on a case study. The study showed that the formation of a cooperative is a necessary condition to assist small-scale farmers to access certification. Formation of a cooperative with a diverse field of membership including small-scale farmers, collectors, and providers of supporting logistics to the value chain, as well as vertical backward integration with input providers and vertical forward integration with processing plants, are sufficient conditions to enable small-scale producers to attain certification and improve product standards. The study investigates the importance of cooperative formation through horizontal integration as a practical solution to enable small-scale shrimp producers to survive the severe standard requirements by importers. The study implies that social gatherings such as cooperatives can be used for knowledge transmission to enable small-scale farmers survive the standard requirements by importers. The study is original in its combination of horizontal integration for forming cooperatives with diverse field of membership and vertical integration with large firms to circumvent the pressures of standards by shrimp importers. Additional data from functional cooperatives would have to verify further the findings.

中文翻译：

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多样化的合作现场成员和小规模生产者获得认证

摘要 本研究调查了通过横向整合形成合作社是否是使小农满足认证要求的最佳途径。该研究采用了关于越南对虾产业的文献综述、价值链分析、通过横向整合形成合作社，同时发展与大型龙头企业的纵向整合联系以及案例研究回顾，以调查进口商强加标准下小规模养殖者的生存能力. 该研究基于理论概念和案例研究。研究表明，合作社的成立是协助小农取得认证的必要条件。成立合作社，成员包括小农、收藏家、和价值链的配套物流供应商，以及与投入品供应商的垂直向后整合和与加工厂的垂直向前整合，是使小规模生产者获得认证和提高产品标准的充分条件。该研究调查了通过横向整合形成合作社的重要性，作为一种实用的解决方案，使小规模虾生产者能够在进口商的严格标准要求下生存。该研究表明，合作社等社交聚会可用于知识传播，使小农能够满足进口商的标准要求。该研究的原创性在于将横向整合以形成具有不同成员领域的合作社和与大公司的纵向整合以规避虾进口商的标准压力。来自职能合作社的额外数据必须进一步验证调查结果。