【作者】 杨俊；

【导师】 杨钢桥；

【作者基本信息】 华中农业大学 ， 土地资源管理， 2011， 博士

【摘要】 农业是保障一国经济健康快速发展的重要基石,有关中国的粮食安全问题也是国内外众多学者一直关注的重要课题。改革开放以来,随着我国社会经济的快速发展,耕地数量锐减、农村劳动力大量流失等问题严重威胁着国家的粮食安全。在此背景下,如何提高现有耕地的利用效率成为保障粮食安全的重要途径。农户作为农业生产的微观主体,其经济行为直接影响着耕地的利用效率。而农户在社会经济变革中逐渐出现了分化,农户分化对农户的耕地利用行为将产生一定影响,从而影响到农户耕地利用过程中的技术效率和耕地投入要素配置效率,进一步影响到农业生产效率。因此在我国农村经济快速发展,农户已经出现不同类型分化的既定事实下,分析不同类型农户的耕地投入行为及其效率具有十分重要的意义。本研究基于我国农户分化的视角,以农户行为理论和要素生产效率理论为理论框架,以生产前沿面方法和风险决策优化模型为实证方法,对不同类型农户耕地投入行为及其效率进行了较全面的分析。全文研究内容主要有：(1)农户分化的形态及原因。农户类型的划分是全文研究的基础,本文从农户家庭成员间的专业化选择和农户间的职能分工对农户分化的原因和形态进行了分析；新古典经济学的农户效用理论和新兴古典经济学的超边际分析理论都是比较好的分析工具,本文主要采用上述两种理论来分析农户内部分化的动因。(2)不同类型农户耕地投入行为模型。从新古典经济理论角度,分析了农户的分化形态对农户家庭资源禀赋产生的影响；而农户家庭资源禀赋的不同产生了不同的预算约束和不同的效用函数,从而导致了农户耕地投入行为决策的不同；从家庭经济理论的角度,分析了农户家庭成员专业选择及经济行为对农户耕地投入行为的影响。该部分的研究主要是建立不同类型农户耕地投入决策模型,分析农户耕地投入行为的内在机理。(3)典型区域农户耕地投入特征。农户耕地投入包括土地、资本和劳力三大要素,这三大要素的投入量由农户的耕地投入决策进行控制。该部分采用典型区域农户调查数据对各类型农户耕地投入的特征进行分析,同时对前面建立的农户生产投入决策模型进行了验证。(4)农户耕地投入效率测度。农户不同的耕地投入行为对农业生产效率的影响是本文研究的目的与意义所在；本文采用随机前沿生产模型和成本有效性联立方程组对不同类型农户耕地投入技术效率和成本效率进行分析,并探讨其效率损失的原因。(5)农户耕地投入效率改进。本文应用target-MOTAD模型对农户耕地利用结构和要素配置进行优化分析,并达到改进其耕地投入效率的目标。通过以上内容的分析,本文得到以下结论：(1)农户分化类型。文章根据分工和专业化经济理论,将我国农户家庭内部分化形态定义为：完全分工型农户、不完全分工型农户、农业专业(参与市场)型农户、农业专业(自给自足)型农户和非农专业型农户；将农户间分化形态定义为：“组织化”农户和“自由化”农户。在本文所调查的样本农户中,完全分工型农户占总样本的41.57%,不完全分工农户占总样本比例为35.87%,专业型农户占总样本数的21.75%(其中参与市场的农业专业户占农业专业户和总样本数的比例分别为72.89%和15.85%,自给自足的农业专业户占农业专业户和总样本数的比例分别为27.10%和5.89%),专业化从事非农业生产的农户占总样本的比例为0.41%。(2)专业化有利于农户耕地投入效率的提高。从不同类型农户耕地投入技术效率的测算结果中可以看出,具有专业化从事农业生产特征的农户耕地投入技术效率要高于具有兼业特征的农户,具体表现为农业专业(自给自足)型农户、农业专业(参与市场)型农户和完全分工型农户的耕地投入技术效率高于不完全分工型农户；不同类型农户耕地投入成本效率关系为：农业专业(参与市场)型农户>完全分工型农户>不完全分工型农户>农业专业(自给自足)型农户；具有“组织化”农户特征的耕地利用效率高于“自由化”农户。(3)农户家庭分工改进有利于家庭总效用的增加。各类型农户总效用大小顺序如下：非农专业农户>不完全分工型农户>完全分工型农户>农业专业(参与市场)型农户>农业专业(自给自足)型农户,这反映出农户家庭分工改进对家庭总效率具有促进作用。(4)我国农户耕地利用效率损失严重。通过随机前沿面方法和联立方程组测算得到不同类型农户耕地投入技术效率损失情况为：完全分工型农户技术效率损失27.36%,不完全分工型农户技术效率损失31.40%,农业专业(参与市场)型农户技术效率损失11.63%,农业专业(自给自足)型农户技术效率损失13.24%；不同类型农户耕地投入要素配置效率损失情况为：完全分工型农户配置效率损失32.65%,不完全分工型农户配置效率损失36.99%,农业专业(参与市场)型农户配置效率损失39.19%,农业专业(自给自足)型农户配置效率损失41.47%。以上结果反映了我国农户耕地投入效率损失普遍较严重的客观事实,其中以耕地投入要素配置效率损失情况更为严重。(5)我国农户耕地投入要素中劳动投入与资本投入相比普遍较高,而资本投入普遍不足,耕地利用结构存在一定的优化空间,农户通过优化要素投入配置和耕地利用结构可获得更高的实际收入。因此,耕地利用程度较低、耕地投入要素配置不合理是我国农户进行农业生产过程中存在的普遍现象,也是造成我国农户耕地利用效率损失的主要原因。因此,促进耕地向农业专业户流转、促进农村剩余劳动力转移和城乡协调发展、加大对农民专业合作组织的扶持力度,对提高农户耕地投入效率具有重要意义。更多还原

【Abstract】 Agriculture is the foundation that guarantee one country’s economy develops rapidly. The important subject on Chinese food security is also concerned by many domestic and foreign scholars. Since the reform and opening up, with transformation of our country economic system, rural social and economic system has profound change. That the quantity of cultivated land decline sharply and rural labor loss make serious threat to national food security. In such background, how to improve the utilization efficiency of cultivated land becomes the important approach to ensure food safety. Rural households as microcosmic mainstay in agricultural production, its economic behavior influences utilization efficiency of cultivated land directly. The rural households started to divide gradually in transformation of social economic, and the division of rural households is inevitable phenomena during China’s socio-economic development. Rural households division would produce some effect to utilization of cultivated land, thus affect technical efficiency and input allocation efficiency. Therefore, at the condition of rural households division, it is significant to analyze behavior of different type’s rural households on utilization of cultivated land.This study analyzed different types of cultivated lands input behavior and efficiency comprehensively, based on a view of division of rural households, at farmer behavioral theory and production efficiency of elements theory as the theoretical framework, by production frontier method and risk decision optimization model for empirical methods. Full text research content mainly about as follows:(1) Deformation and reason of farmers division. Division of rural households’type is the basis of text. This paper analyzed deformation and reason of rural households division on the view of specialization selection of family member and division of function between rural households. New classical economics of rural households’utility theory and new classical economics extra-marginal analysis theory are better analysis tools, this paper mainly use the mentioned two theory above to analyze the reason on the internal division of rural households. (2) Cultivated land input behavior model of different type’s rural households. This paper analyzed the deformation division of rural households’effect to resource endowment of family from new classical economics theory view. Because different resource endowments of family created different budget constraints and different utility function, which led to different behavior on decision-making of cultivated land input. From the Angle of family economic theory, this paper analyzed professional selection and economic behavior’s influence of cultivated lands input behavior. This part of study built the decision-making model respectively, which mainly aimed at different types of rural households, and had analysis on internal mechanism of rural households’cultivated land input behavior. (3) Cultivated land input characteristics of rural households in typical region. Cultivated land input of rural households includes three essential factors, which are land, capital and labor. Inputs quantity of these three elements is controlled by rural households’input decision-making. This part used the typical region’s survey data of rural households to research all kinds of rural households’cultivated land input characteristics. And verified the rural households’decision-making models which were established in front paper. (4) Measure of cultivated land input efficiency of rural households. Significance and purpose of this paper’s study was rural households’cultivated land input behavior’s influence to agricultural production efficiency. This paper used stochastic frontier production model and cost effectiveness equations to analyze different types of cultivated land input technical efficiency and cost efficiency, simultaneously found the reason of its efficiency loss. (5) Cultivated land input efficiency improvement. It analyzed optimization of cultivated lands use structure and input allocation, and had reached the target of improve efficiency by target-MOTAD model.Through the analysis of the above content, this paper indicated the following conclusion:(1) Rural households’division types. The paper defined the division deformation of rural households in the internal family based on the work division and specialization economic theory:completely division rural households, incompletely division rural households, agricultural professional rural households (participating in market), agricultural professional (self-sufficiency) rural households and non-agricultural rural households. Division deformation definition of family to family is "organized rural households" and "liberalizing rural households". Among the samples of survey, completely division rural households had 41.57 percent, incompletely division rural households had 35.87 percent, non-agricultural rural households had 21.75 percent. Among them, rural households who participating in market account for agricultural professional and account for the proportion of the total sample had 72.89 percent and 15.85 respectively. Self-sufficiency rural household account for agricultural professional and account for the proportion of the total sample had 27.10 percent and 5.89 percent. Non-agricultural rural household had 0.41 percent. (2) Professionalization is benefit to improve the efficiency of cultivated land input. From the result of the technical efficiency of different type rural households’cultivated land input, the technical efficiency of professional rural households was higher than the rural households which had feature of concurrent-business, it shows up technical efficiency of agricultural professional (participating in market)、agricultural professional (self-sufficiency) and completely division rural households were higher than incompletely division rural households. Cultivated land input cost efficiency of different type rural households from maximum to minimum was:agricultural professional rural households (participating in market)>completely division rural households>incompletely division rural households>agricultural professional (self-sufficiency) rural households. Cultivated land use efficiency of "organized rural household" was higher than "liberalizing rural household" (3) Improvement of rural households division had helped to increase total utility of family. Through comparison of different type’s rural households’revenue that can obtain total utility of rural households, it indicated order of total utility of farmer family as follows:non-professional rural households> incompletely division rural households> completely division rural households>agricultural professional rural households (participating in market)>agricultural professional (self-sufficiency) rural households. The conclusion above could prove that improvement of rural households division could help to increase total utility of family. (4) The rural households in China suffered huge losses in cultivated land use efficiency. This paper measured the land use efficiency and cost efficiency losses in cultivated land use efficiency of different type’s rural households with the stochastic frontier method and Simultaneous equations. The results showed that there were 27.36 percent efficiency losses and 32.65 percent allocate efficiency losses of completely division type rural households; there were 31.40 percent efficiency losses and 36.99 percent allocate efficiency losses of incompletely division type rural households; there were 11.63 percent efficiency losses and 39.19 of percent allocate efficiency losses of agricultural professional (participating in the market) type rural households; and there were 13.24 percent efficiency losses and 41.47 percent allocate efficiency losses of agricultural professional(self-sufficient) type rural households. The results reflected the objective fact that there are serious losses in rural households cultivated land use efficiency in china, and the efficiency of input elements allocation loss is more serious. (5) Comparison the rural households’cultivated land input elements in China, there’s a universal phenomenon that labor inputs were more than capital elements inputs, well the capital inputs was insufficient in general, and the cultivated land use structure need to optimize. Rural households could get more income through the way that optimization the inputs and cultivated land use structure. The results indicated that the low rate of China’s cultivated land utilization, and the improper allocation of elements input into cultivated land are universal phenomenon in China’s cultivated land utilization, it also lead to the huge losses in rural households’cultivated land use efficiency in China. Therefore, it has important significance to improve rural households farmland input efficiency, by promoting cultivated land turnover to agricultural professional rural households, and transfer the rural surplus labor force, increasing more support to farmers’ specialized cooperative organizations.更多还原