【作者】 贾驰；

【导师】 卫龙宝；

【作者基本信息】 浙江大学 ， 农业经济管理， 2012， 博士

【摘要】 中国自加入WTO以来,农业国际化背景下的农业问题一直被政府决策层和经济理论界所关注。现有的关于农业国际化与我国农业经济发展的分析和研究,主要侧重于如何提高农业产出效率、如何提升农产品的国际市场竞争力、如何提高农民生活水平等宏观分析层面,而对属于微观层级的农业问题并没有引起足够的关注。其实,农业国际化对我国农业的宏观影响是通过微观农业问题传递的。基于这样的理解,本文拟以农户生产效率这一微观农业问题作为研究对象,对农户生产效率提升的路径以及由此引致的生产能力和进出口能力等问题展开研究。农业国际化背景下的制约我国农户生产效率提升的因素,至少包括以下几个方面：农产品关税、农业生产技术、国内外市场需求、农户数量、农产品经营模式等。从理论上来考察,我们可以把农户生产效率看成是以上各因素的函数。就提升农户生产效率进而提升我国农业生产效率而论,WTO的制度安排要求我国降低农产品关税和逐步开放农产品市场,这一制度安排在规定着我国农业市场必须应对国内和国际竞争的同时,也要求我国农业经营模式必须在依据比较优势原则的基础上吸收先进技术和利用国际市场资源。然而,我国农村以家庭承包经营为基础的统分结合的双层经营模式,导致了农户的组织化程度较低。农户难以成为真正参与市场竞争的经营主体的事实,制约着农户生产效率的提升。因此,分析农户生产效率提升的路径是一个有现实意义的课题。我国农业经济的现状是人多地少、农业资源利用效率和技术水平低下,农户缺乏整体的竞争能力,如何在农业国际化背景下尽快提高农户生产效率是亟需解决的问题。本论文认为,这个问题可在理论逻辑的框架内分解为四个相互关联的子项目：一是如何测度农户的生产效率,它要求定量分析农户生产效率,并根据效率的不同表现形式来分解影响效率因素的基础条件及其作用机制；二是农业国际化会在哪些方面系统地提升或降低农户的生产效率,它要求对农业国际化的影响因素进行定性和定量分析,从而为农户生产效率提升路径的研究打下基础；三是梳理对农户生产效率发生影响的众多因素,分析这些因素通过什么样的传导机制作用于农户生产效率；四是政府应该采取何种战略引导农业步入具有潜在相对优势的发展之路。针对以上问题,本文将农户生产效率的研究分为省际层面、农作物层面和农户层面来展开。本文首先总结了现有文献对农户及农户模型、农业国际化的阐述和释义,归纳了农业及农户生产效率的计量分析方法以及影响农户生产效率的作用途径和机制,制定了一套较严谨的实证研究思路；继之,在重点分析农业国际化与农业生产效率提升之路径的基础上,利用数据包络分析法(DEA)测算了以上三个层面的农户生产效率；再继之,运用回归模型分别对省际层面、农作物层面和农户层面的农户生产效率进行了实证分析；最后,在分析制约农户生产效率因素及其影响机制的基础上,以实证检验结果为依据提出了提升农户生产效率和农产品国际竞争力的各项政策建议。客观地讲,本文结合农业开放大背景对农户生产效率的分析,是一种具有开拓性研究的尝试。它有可能产生的创新点主要反映在以下几个方面：1.研究了农业国际化背景下农户生产效率提升的基本路径；2.采用数据包络分析方法(DEA)实证分析了农户的生产效率,并从省际层面、农作物层面以及农户的微观层面三个角度具体测度了农户生产效率的水平以及变动；3.通过对农户生产效率的实证分析,在一定程度和范围内解析了我国现阶段农业国际化背景下如何提升农户效率的一些症结性问题。诚然,影响农户生产效率的因素不仅仅局限于本文所分析的内容,它在宏观层面上还涉及到政府各项政策以及由此产生的制度安排,如何把农户生产效率放置于宏观和微观的统一框架来进行研究,应成为本文后续研究的课题。更多还原

【Abstract】 With China’s accession to WTO, agriculture issues have attracted much attention from government and economic theory community under the background of China’s agriculture internationalization. With China’s accession to WTO, agriculture issues have attracted much attention from government and economic theory community under the background of China’s agriculture internationalization.Under the background of internationalization of agriculture, the factors restricting the increase of efficiency of farm production cover the following aspects at least:tariffs on agricultural products, agricultural production technology, domestic and international market demand, the number of farmers, agricultural business model. Theoretically, we can consider the efficiency of farm production as the integrated function from the above factors. On the terms of increasing farm production efficiency to increase China’s efficiency of agricultural production, WTO institutional arrangements require China to decrease tariffs on agricultural products and open agricultural market gradually, which not only rule China’s agricultural market facing domestic and international competition but also ask China’s agricultural operation model to absorbing advanced technology and utilize international market resources. However, the tier management system in China country, based on the household contract management combining unified and separate format, leads to the lower degree of organization of farmers. The fact that farmers can not become the business entities participating the market competition actually restricts the increase of efficiency of farm production. Therefore, the analysis on pathway of increasing efficiency of farm production is a practical significant topic.The status of China’s agricultural economy is more people with less land, low agricultural resource utilization efficiency and low levels of technology, farmers lack of the overall competitiveness. Therefore, under the background of internationalization of China’s agriculture, the problem of how to increase efficiency of farm production quickly is to be solved. This thesis states that, the above problem can be divided into four related subprojects, First is how to measure the efficiency of farm production, quantitative analysis of the different forms of efficiency decomposition; Second, the internationalization of agriculture will increase or reduce the productivity of small farmers systematically, qualitative and quantitative analysis of the factors that lay the foundation for further study of the path; Third, list the factors affecting efficiency of small farmers, and analyze these factors work through what kind of transmission mechanism acting on the efficiency of small farmers; Fourth, the government should take strategy guide to go with the potential of agricultural comparative advantage of development. To solve the above problems, this thesis studies farmer’s production efficiency from three levels, namely:inter-provincial level, crop level and household level.This thesis summarized the existing literature for farmers and their model, international agriculture exposition and interpretation, together with the measurement method of the efficiency of agricultural output as well as its impact on output pathways and mechanisms affecting the efficiency of farm production, and ultimately developed a set of rigorous proved research system. After that, based on the key focus on analyzing pathway of agricultural internationalization and increase of efficiency of farm production, this thesis measured the efficiency of farm production from the above three levels using data envelopment analysis (DEA). After that, regression model was applied to conduct empirical analysis from the above three levels, Finally, based on the analysis of factors and mechanism restricting efficiency of farm production, the thesis proposed comprehensive policy and suggestions for improving the efficiency of farm production, and improving the international competitiveness of the agricultural products based on the proved result by empirical test.Objectively, this thesis combining the analysis of efficiency of farm production under the open background, is a pioneering research attempt, which could bring the following main innovation points:1. Under the open agricultural background, the basic international path on the enhanced efficiency of farm production is studied; 2. Data envelopment analysis (DEA) as an empirical analysis of the efficiency of farm production, and specific from the provincial level, crop level and the micro-level of small farmers is studied; 3. Through empirical analysis of efficiency of farm production, some difficult problems of how to increase farmers’efficiency under the background of internationalization of China’s agriculture are studied to some degree and range.Admittedly, the factors influencing farmer production efficiency are not confined to the analysis in this thesis, at the macro level it also relates to government policies and the resultant system arrangement. Therefore, how to study farmer production efficiency both on the macroscopic and microscopic levels should become the next step study.更多还原