【作者】 崔永红；

【导师】 郑少锋；

【作者基本信息】 西北农林科技大学 ， 农业经济管理， 2012， 博士

【摘要】 经济改革30年来，我国宏观经济的发展不平衡问题越来越严重，区域、产业、城乡以及与生态保护差距越来越大，影响了经济的进一步发展和社会稳定。为了促进我国经济社会的和谐发展，2000年以来，我国实施了西部大开发战略，加大了对西部地区的投资力度。但是，决定这一战略目标实现成败的关键在于西部地区的农业投资能否促进西部地区农业经济的有效增长，因此对西部农业投资效率的研究尤显重要。伴随经济增长理论发展的农业投资效率理论，从各个方面分析了农业投资对于经济增长的影响，因此要正确评价西部农业投资对西部地区农业经济有效增长的贡献，必须要加强西部农业投资效率的研究。长期以来，我国区域产业投资效果评价方法偏重于总量指标和相对指标的指标综合体系的建立与评价，而忽略了投资的投入要素与目标的相关性和动态性的检验与评价。而基于生产函数的效率研究多偏重于技术效率、要素生产效率的分析，偏离了投资效率的总体目标，数据包络分析又偏重于对效率的评价，缺少了对效率的计量。因此，客观地分析和评价西部农业投资效率有一定的理论和现实意义。西部农业投资效率的研究，根据经济增长理论对于区域产业投资效率分析评价的理论与方法，以1995--2010年中国29个省份的面板数据为基础,根据常用的效率和区域经济评价体系以耕地面积、农业劳动力、农业财政支出、农业固定资产、财政总投入5个方面作为农业投资，以地区国民生产总值、农业生产总值、地区财政总收入、农业财政收入、农民收入、耕地减少面积、农业受灾面积作为投资目标对西部农业投资效率进行分析和评价。对投资和投资目标进行单要素生产函数拟合，对拟合出函数的函数系数进行评价，进一步拟合多要素生产函数，对其函数系数进行投入产出率、规模效率、替代效率分析，计算出的多要素生产函数系数与东部和中部地区进行比较，分析西部农业投资效率存在的问题和差距，最后分析西部农业投资的效率优势，提出了提高西部农业投资效率的建议。论文研究主要发现：（1）以生产函数为核心的效率评价体系比一般的绩效评价体系更适合于农业投资效益的评价。通过对农业投资与投资目标的单要素函数拟合检验了农业投资与投资目标的相关性。而且使用时间序列数据，反映的是动态的投资与投资目标的相对关系。用生产函数系数A和α、β作为投资效率指标比投资收益率能够全面反映西部农业投资的制度效率、技术效率、投资替代率、规模效率、投资报酬率以及综合效率。（2）西部农业投资的目标是各种投资与投资主体的联动收益。根据计算出的函数系数A对投资与投资目标的相关性进行分析，通过函数检验的各种投资与投资目标的相关系数大小排序相同，为财政收入﹥农业财政收入﹥地区国民生产总值﹥农业生产总值﹥农民收入，说明投资目标有趋同性。而且通过投资主体的联动收益分析政府财政、金融机构和经营户收益有联动效应。（3）确定了西部农业投资对地区经济的贡献。通过多因素生产函数分析可知农业投资对于农业生产总值的规模效率要大于国内生产总值；对于财政总收入的规模效率要大于农业财政收入。对于生态目标没有拟合出函数说明没有生态贡献。从全国来看，农业投资对于国民总收入的规模效率要大于农民总收入。（4）西部农业投资规模报酬递减。西部地区农业投资的规模效率，除了对农民收入投资的函数α+β合计大于零以外，国内生产总值、农业生产总值、财政总收入、农业财政收入的合计值都为负值，说明投资规模报酬递减；但是小于零则表现为一种负效率，说明应该减少投资规模。（5）西部农业投资替代效率低。西部地区替代效率分析，主要表现为单个构成要素的替代效率都太小，而且不大于1，说明任何替代都会使效率递减和下降。此外影响明显的负效应，主要是劳动力投入表现出的负效率，说明在整个替代中，决定影响的不是增加其他要素的投入，而关键是减少劳动力的投入。如果单个构成要素的指数α大于1，或者αβ合计大于1，则都会显示出替代的规模报酬渐增性。西部的农业投资的替代效率都小于1，说明西部农业投资替代效率低。（6）西部农业投资效率优势不明显。从纵向比较来看，2000年以后，西部农业投资效率优势下降，农业生产总值和农民总收入效率下降，而且差距有增无减。横向比较，农业财政支出对农业总产值的投入具有产出优势，但是不具有投入优势。农业固定资产投资的产出效率低于中部；对于农民收入的投资投入效率和产出效率都与东部差别大。农业固定资产和农业就业人口投入优势明显，但是产出的差距太大，综合效率优势低。更多还原

【Abstract】 The problem of unbalanced development for China’s macroeconomic has become moreand more serious after30years of economic reform; the growing gap between the region,industry, urban and rural areas as well as ecological protection has affected the furtherdevelopment of the economic and the social stability. In order to promote the harmoniousdevelopment of our economy and society, China implemented the strategy of westerndevelopment which increased the investment in the western region since2000. However, thekey to determine the success of the strategic objective lies on whether the agriculturalinvestment can promote the effective growth of the agricultural economy in western China; sothe research for the agricultural investment efficiency in western China is particularlyimportant. The investment efficiency theory which accompanied by the development of theeconomic growth theory analyzed the impact of agricultural investment on economic growthfrom various aspects, and therefore it is necessary to strengthen the research on theagricultural investment efficiency in western China for the correct evaluation on thecontribution that agricultural investment to the effective growth of the agricultural economyin western China. For a long time, the regional industrial investment evaluation method inChina has put emphasis on the establishment and evaluation of indexes comprehensive systemfor the total index and relative indicators, while ignoring the correlation and dynamicinspection for the input elements of the investment with the goals. However, the efficiencystudy which based on the production function put more emphasis on the technical efficiency,elements production efficiency, thus deviating from the overall objective of the investmentefficiency; the data envelopment analysis put more emphasis on the evaluation of efficiencyand lack of efficiency measurement. Therefore, an objective analysis and evaluation of theefficiency of Western investment in agriculture has certain theoretical and practicalsignificance.The study on the agricultural investment efficiency in western China uses the evaluationtheories and methods that the economic growth theory to the regional industry investmentefficiency on the basis of the panel data from1995to2010in29provinces in China.According to the commonly used efficiency and regional economic evaluation system, thestudy uses the arable land, agricultural labor, agriculture and financial expenditure, agricultural fixed assets, total financial investment as agricultural investment, while using theregional gross national product, gross agricultural production, the regional total fiscal revenueof agricultural revenue, the total income of farmers, the reduction of arable land area,agricultural disaster area as investment objectives to evaluate the agricultural investmentefficiency in western China. The investment and investment objectives are used to takesingle-factor production function fitting and the coefficient of the fitting function areevaluated followed by further fitting of multi-factor production function; the coefficients areused to analyze the input-output rate, scale efficiency, alternative efficiency. The calculatedmulti-factor production function coefficients are made comparison with the eastern andcentral regions; the problems and gaps of the agricultural investment efficiency in westernChina are analyzed. Finally, the efficiency advantages of western agricultural investment areanalyzed and the corresponding suggestions for promoting the agricultural investmentefficiency in western region are put forward.The main findings of the paper are as follows:(1) The efficiency of the production function as the core evaluation system is moresuitable than the average performance evaluation system on the evaluation of theeffectiveness of investment in agriculture;The single-factor production function fitting of agricultural investment and investmentobjectives tested the correlation of agricultural investment and investment objectives.Meanwhile, the time-series data reflects the dynamic relative relationship of the investmentand investment objectives. The investment efficiency indicators that used the productionfunction coefficients A and α, β can be more fully to reflect the institutional efficiency,technical efficiency, investment rate of substitution and scale efficiency, ROI, and overallefficiency of western agricultural investment than the investment rate of return.(2) The goal of western agricultural investment is the linkage income between a varietyof investment and investor.The correlation between investment and investment objectives are analyzed according tothe calculated coefficients A; the tested correlation coefficient of the function for theinvestment and investment objectives share the equal sort, financial income﹥agriculturalfinance income> Regional GNP> Agriculture GDP> farmers’ income, showing thatinvestment objectives have homoplasy; Therefore, the linkage benefit analysis of theinvestment subjects shows that government finance, financial institutions and operatinghousehold income have linkage effect.(3) The contribution that western agricultural investment to the regional economy hasbeen determinedMulti-factor production function analysis shows that the scale efficiency of agricultural investment to agricultural GDP is greater than gross domestic product; and the scaleefficiency to the total fiscal revenue is greater than the income of agricultural finance. There isno fitting function for ecological objectives shows that there is no ecological contribution.From a national perspective, the scale efficiency of agricultural investment to gross nationalincome is greater than the total income of farmers.(4) Western investment in agriculture decreasing returns to scale.The efficiency of the scale for western agricultural investment: the total value of the GDP,gross agricultural production, the total fiscal revenue, agriculture, fiscal revenue is negative;in addition to the investment income of the farmers a function of α+β total is greater thanzero; indicating that the investment decreasing returns to scale; But less than zero ismanifested as a negative efficiency, indicating that should reduce the scale of investment.(5)The alternative efficiency of the western agricultural investment is lowAlternative efficiency analysis of the western region mainly show that the singleelements’ alternative efficiency are too small and not more than1, indicating that anyalternative will diminish and decrease the efficiency. In addition, the significant negativeeffects are mainly the negative efficiency of labor input, indicating that among all thealternatives, decision affecting is not adding other elements input but reducing the laborinputs. If the individual element of the exponent α is greater than1or α β total is greater than1, the alternative returns to scale increasing will appear. The alternative efficiency ofwestern agricultural investment is less than1, indicating that the alternative efficiency ofwestern agricultural investment is low.(6)The advantage of western agricultural investment efficiency is not obvious.Comparing from longitudinal, since2000, western agricultural investment efficiencyadvantage began to decrease, the gross agricultural production and farmers’ total incomeefficiency decreased and the gap keeps increasing. Comparing from horizontal perspective,agricultural financial expenditure on investment in agricultural output has output advantage,but has no input advantage. The output efficiency of agricultural fixed assets investment islower than the central region; for the investment of farmers’ income, there is significantdifference of into efficiency and output efficiency from the eastern region. The inputsadvantage of agricultural fixed assets and agricultural employments have obvious advantages,but the output gap is too large and the overall efficiency advantage is low.更多还原