【作者】 李逸波；

【导师】 彭建强； 赵邦宏；

【作者基本信息】 河北农业大学 ， 农业经济管理， 2013， 博士

【摘要】 农村劳动力从农业转移进入非农产业、农村居民从农村转移进入城镇，是一国实现现代化的必然要求。改革开放以来，我国进入了前所未有的经济社会转型期，农民的职业结构发生了显著变化，不仅越来越多的农民开始从事非农工作，而且农民在农村及城镇从事的职业范围也越来越广，就业和生活地点也发生了较大变化（农民工流动）。特别是近些年来，随着工业化、城镇化的深入发展和农业现代化的同步推进，农民职业分化也呈加速深化态势，主要特征是专业化程度越来越高、职业化特征越来越明显。但是由于制度层面和非制度层面的各种因素限制，农民分化不彻底、转移不到位、就业生活不稳定等问题依然突出，成为影响我国现代化进程和现代化水平的突出问题。到底是哪些因素推动或制约着农民的职业分化？为什么有些农民选择彻底分化，有些农民选择兼业，而有些农民留在农业中？为什么有些农民即使是从事非农职业也留在农村，而有些农民选择分化进城？农民这些选择对现代化进程又有怎样的影响？对这些问题的深入研究，并基于可靠的研究结论提出促进农民职业分化的可行建议，对促进现代化的实现以及“三农”问题的解决，都具有重要意义。为了回答以上问题，本文以农民职业分化问题为主题，以包括工业化、城镇化和农业现代化在内的现代化进程为主线，以组织行为学个体行为动机理论为研究脉络，综合运用相关经济学和社会学理论、各种相关统计数据、实地调查的1518名农民问卷和三个村落的入户访谈资料，对现代化进程中的农民职业分化问题进行剖析。研究的过程采取点面结合的方式，相关理论为基础，统计数据支撑整体分析，河北省的调研数据作为微观定量分析的依据，并以入户调查作为案例进行剖析。按照组织行为学的行为动机理论，个体的行为都是在环境、动机与能力的共同作用下产生的，而行为产生后，会带来一定的绩效，得到一定的报酬，从而会在一定程度上强化行为。按照该理论，研究在对相关概念界定的基础上，从对全国农民职业分化的现状分析入手，首先对农民职业分化的制度环境与非制度环境进行分析，并找出农民职业分化与现代化进程的相互关系，之后从微观层面，结合调研数据，对农民职业分化的个体动机与能力进行剖析，在此基础之上，建立模型分析农民职业分化的行为决策及其影响因素，最后对农民职业分化行为的结果和收益（报酬）进行分析，并得出研究结论和相关对策建议。具体的研究内容如下：在查阅大量相关文献资料和统计数据的基础上，从农民职业分化的程度、范围、地区和模式等方面，总体把握了我国农民职业分化的现状与特点，在此基础上发现了当前我国农民职业分化发展中存在的主要问题和困难，并从宏观层面找出农民职业分化进程受到的主要限制。对影响农民职业分化行为的环境因素进行研究。首先分析了影响农民职业分化的主要制度因素，主要包括户籍制度、土地制度、医疗和养老保障制度、劳动力市场制度等。改革开放以来，国家对这些制度的改革已取得了显著的进步，来自于劳动力市场的拉力和土地流转和保障制度的推力，对农民职业分化起到了一定的促进作用。但由于目前这些制度尚未得到彻底改革，因此对农民职业分化的限制仍然较为明显。而后，从理论和实证两个角度，对农民职业分化与现代化进程的相互关系角度进行了分析，得出结论：工业化的发展拉动了农民职业分化的发展，同时农民的职业分化为工业化提供了必要的人力资本；城市化和农民的职业分化互为原因，相互促进；农民职业分化是实现农业现代化的必要条件，同时也受到农业现代化发展的推动；农民职业分化直接推动了现代化的进程，从农村教育、农村人口增长、农业经营的意愿与行为、农民对工作、生活和乡村建设的期望等角度，证实了农民职业分化是促进和加速现代化进程的必要条件和直接动力。在对农民职业分化的个体动机和能力分析中，运用对河北省范围内11地市农民的调查问卷数据，从农民个体角度研究农民的选择性差异，试图找出农民职业分化的动机和能力差异。研究分两个角度进行，一个是依据农民职业分化的彻底性，将农民分为专业务农、专职非农与兼业三类，另一个是依据农民职业分化城乡区域差异，将农民分为在城市就职、在小城镇就职与在农村地区就职三类。本文从农民个人特征和家庭特征等方面，分别从以上两个角度，对不同类别农民进行了比较分析。结果发现，不同类别农民在分化的个体因素方面存在较明显的差异。在以上研究的基础上，利用调研数据，从农民个体决策角度，建立了相关模型，对农民职业分化的行为进行了实证分析。定量分析的结果表明，农民职业分化是一个复杂的社会现象，受到多种因素的共同作用。在农民职业分化程度方面，利用多元排序选择模型，建立了分化职业选择模型，得到结论为：从农民自身及其家庭来讲，拥有较高的文化程度、40岁以下的年龄、未婚的身份、男性的性别、相对较少的耕地面积能够对其分化产生帮助；从其所处地区来看，所处地区信息开放和经济发达程度越高、地区企业越多，则对其职业分化具有越强的推动力。在农民职业分化区域选择方面，采用Probit模型，建立了农民职业分化地区选择模型，得出结论：较高的年龄、女性的性别、较低的文化和技能水平，都会阻碍农民进城分化的脚步；家庭方面，需要照顾的老人和儿童数量越多，越增加农民外出的困难；家庭所处地区越为开放和发达、村内企业数量相对越少，则越会助推农民进城分化。按照分化程度不同和分化区域不同两个角度，在农民就职行业和生活满意度等方面，对农民职业分化行为的结果即绩效进行对比分析；测算农民职业分化人力资本投入收益率，得知专业务农人力资本投入收益水平最低，全职非农投入收益水平居中，兼业投入收益水平最高。证明兼业具有其存在的合理性，且随着人力资本含量的上升，专业化将有利于提高农民职业分化的人力资本投入收益率。农民职业分化是历史的必然趋势和客观现象，需要尊重其自身发展规律和坚持农民自身意愿原则，循序渐进地推进和规范。基于上述研究结论，提出了相关政策建议，包括深化制度改革、加大农村人力资源培养力度、大力发展二、三产业、继续实施城镇化战略、培育新型职业农民等。本文可能的创新点：一是运用行为动机理论模型分析农民职业分化问题，系统研究和解释了农民职业分化行为的产生与结果；二是在农民职业分化的环境分析部分，将农民职业分化和现代化进程相结合，利用相关经济学和社会学理论、国际经验资料以及相关统计数字和方法，从定性与定量两个角度分析了农民职业分化与现代化进程及其主要方面的关系；三是利用大样本调查数据，采用多元排序选择模型和Probit模型对农民职业分化的类别选择和区域选择行为进行了实证分析；四是将发展经济学中人力资本投资理论和相关模型引入农民职业分化的绩效与报酬分析中，通过计算不同职业分化类别农民的人力资本投入的个人收益率，推断出农民职业分化的经济效益情况。需要继续深入研究的问题主要包括：一是继续扩大研究样本区域范围，重点向东部和西部具有特殊性的区域倾斜；二是从多学科角度，将农民职业分化的心理因素、观念因素和子女就学等因素纳入综合模型；三是可将农民职业分化的职业流动纳入考虑范畴。更多还原

【Abstract】 Transfer of rural labor from agriculture to non-agricultural industries and transferfrom rural residents from rural areas to towns, are the inevitable requirement for a countryto achieve modernization. Since the reform and opening up, China has entered a period ofunprecedented economic and social transformation. Professional structure of farmers hasundergone significant changes. Not only had an increasing number of farmers engaged innon-agricultural work, but also their occupations scope are more widely in rural and urban,which means place of employment and live also undergone a major change (movements ofmigrant workers). Especially in recent years, with the in-depth development of theindustrialization, urbanization and synchro promotion of agricultural modernization,Professional differentiation of farmers also showed a accelerated deep trend the maincharacteristic of which is the higher of specialization degree and the more obvious ofprofessional characteristics. However, due to the limit of various factors at institutionallevel and non-institutional level, the problems such as halfway differentiation, inaccuratetransfer, precarious living conditions, etc, are still outstanding, which become theoutstanding problems affecting the process and level of modernization in China. Whatfactors exactly promote or restrict farmers’ Professional differentiation? Why do somefarmers choose thoroughly differentiation, some farmers choose multiple occupations, andsome in agriculture? Why do some farmers engage in non-agricultural occupations in ruralareas, while some farmers choose the differentiation into town? What impacts do thesechoices of Farmers to the process of modernization? In-depth study of these issues, andfeasible proposals to promote farmers’ Professional differentiation based on these reliableresearch conclusions have important significance in promoting the realization ofmodernization as well as the solution to the problem of the "three rural issues".In order to answer the above questions, this thesis takes the problem of farmeroccupation differentiation as the theme, depending on the line of modernization processwhich is including industrialization, urbanization and agricultural modernization, using theindividual behavior motivation of organizational behavior theory as the research context,comprehensively using the related theory of economics and sociology, various statisticaldata, field survey of1518farmers in three villages of the questionnaire and interview data,to analyze the farmer occupation differentiation issue. The research process take the way of point to surface, based on related theories, the overall analysis supported by the statisticaldata, analysis of the survey data of Hebei Province as the microscopic quantitative basisand analysis of a household survey as a case.In accordance with the theory of organizational behavior motivation, individualbehavior is generated under the combined action of the environment, motivation and ability.After behavior, it will bring some performance to get a certain amount of remuneration,which will strengthen the behavior to some extent. According to this theory, based on thedefinition of related concepts, through analyzing the current situation of the nationalfarmer occupation differentiation, this thesis firstly analyzed institutional environment andnon-institutional environment of occupational differentiation, identified the relationship offarmers’ occupational differentiation and the process of modernization, then combiningwith survey data, analyzed self-motivation and the ability of farmers’ occupationaldifferentiation at micro level, and on this basis established model to analyzedecision-making and influencing factors of farmers’ occupational differentiation. Finally,the thesis analyzed results and benefits of occupational differentiation behavior, obtainedconclusions and gave suggestions. The concrete research contents are as follows:The thesis overall grasp the differentiation status and characteristics of the farmers’professional from their professional degree of differentiation, scope, region and mode etc.on the basis of accessing to large amounts of literature and statistical data. The thesis foundthe main problems and difficulties in the development of farmers’ professionaldifferentiation, and found the main limitation in the farmer’s differentiation process fromthe macro level.The thesis studied the environmental factors which affect farmers’ occupationaldifferentiation behavior. Firstly, the thesis analyzed the major institutional factors thataffect farmers’ professional differentiation, mainly including the household registrationsystem, land system, medical and pension system, labor market institutions etc. Since thereform and opening up, the reform of the state on these systems has made a significantprogress. That the pull from the labor market and the thrust of the land transfer and thesecurity system played a certain role in promoting farmers’ professional differentiation. Butrelatively speaking, the current system of restrictions on farmers’ Professionaldifferentiation becomes more apparent. Then, from the theoretical and empirical point ofview, the thesis studied the relationship between farmers’ occupational differentiation andmodernization process analysis, and obtained the conclusions. Industrial development hasspurred the development of farmers’ professional differentiation, and the professionaldifferentiation provides the necessary human capital for industrialization. The urbanizationis reciprocal causation and mutual promotion with farmer’s professional differentiation.Farmers’ professional differentiation is a necessary condition to achieve agriculturalmodernization and is promoted by agricultural modernization. Farmers’ professional differentiation directly promotes the process of modernization. This thesis confirms thatfarmers professional differentiation is the necessary conditions and direct power topromote and accelerate the process of modernization from the point of view of ruraleducation, rural population growth, willingness and behavior of agricultural operations,farmers’ expectations of work life and rural construction etc..In the analysis of individual motivation and ability of farmer’s professionaldifferentiation, using the survey data of the farmers within the scope of11cities of Hebeiprovince, this thesis studied the differences in selectivity of farmers’ individuals and triedto find the motivation and ability differences of farmers’ occupation differentiation. Thestudy was conducted in two aspects; one is divided into professional, full-time andpart-time farming-the three types, which are based on the thorough farmer occupationdifferentiation. Another is divided into in the city of office, in the small town of office andoffice three classes in rural areas which is based on farmer occupation divisive in urbanand rural areas and regional difference. From the above two points of view, from the aspectof personal characteristics and family characteristics, this thesis compare the differentcategories of farmers. The results showed that there were significant differences indifferent categories of farmers in the differentiation of individual factors.On the basis of the above studies, using research data, from individual farmers’decision-making point of view, this thesis established related models to conduct anempirical analysis of the behavior of the farmers’ occupational differentiation. Thequantitative analysis of the results showed that farmers’ professional differentiation is acomplex social phenomenon that affected by a variety of factors together. In terms offarmers’ professional differentiation degree, differentiate career choice model is establishedusing multivariate sorting selection model. The conclusion is that from the farmers andtheir families, a higher level of education, age less than40years old, unmarried status,male gender, a relatively small number of arable lands can help to differentiate career.Viewing from its geographical location, in where information is more opening up,economic development degree is higher and its area businesses is higher, professionaldifferentiation would be strongly promoted. In terms of farmers’ professionaldifferentiation area selection, farmers’ professional differentiation region selection model isestablished using Probit model. The resulted showed that higher age, female gender, lowerculture and skill levels will hinder the footsteps of farmers into differentiation. In terms offamily, the more the number of the elderly and children needing care, the more difficultiesfor the farmers to go out. The more open and developed the area that family located is, therelatively less the number of enterprises in the village, it will assist to farmers’differentiation.In accordance with the differences of differentiation degree and differentiation area,from the aspects of inaugural industry and life satisfaction, this thesis analyzed aftermaths of farmers’ occupational differentiation behavior. On this basis, human capital investmentrate of return for farmers’ occupational differentiation was further estimated.The results showed that human capital investment rate of return is lowest wheninvesting in farming. Capital investment rate of return for full-time non-farming is higher,and that of part-time work is highest, which imply that the existence of part-time work isreasonable. At the same time, with the rise of the content of human capital, specializationwill help to improve human capital investment rate of return of the farmers’ occupationaldifferentiation.Based on a comprehensive analysis of farmers’ occupational differentiation, it is foundthat farmers’ occupational differentiation is an inevitable trend of history and objectivephenomenon, which should be promoted and standardized step by step under theprecondition of respecting the rule of its development and farmer’s willingness.According to above conclusions, in this thesis the relevant policy recommendationshave been put forward, including deepening the system reform, strengthening humanresource cultivation in rural areas, vigorously developing secondary and tertiary industries,and continually actualizing the strategy of urbanization and cultivating new professionalfarmers etc.Possible innovations are as follows:(1)Using the motivation theory model to analyzethe issue of farmer occupational differentiation, and systematicly researching andexplaining the farmers’ occupational differentiation behavior;(2)In the part of farmeroccupational differentiation environment analysis, combined with the modernizationprocess, using economics and society theories, international experience, statistics data andmethods, from qualitative and quantitative aspects analyzed the relationship betweenfarmer occupational differentiation and the process of modernization;(3)using large samplesurvey data, taking the Ordered Probit Model and Probit Model to analyze the farmers’occupational differentiation category selection and regional selection;(4)applying thehuman capital investment theory and related model of development economics into theanalysis of performance and reward of farmer professional differientiation. By calculatingfarmers’individual returns ratio of different occupation differentiation category, infer theeconomic benefit of farmer professional differentiation.The follow issues need in-depth study:(1)continue to expand the research sample area,especially to focus on the eastern and western special region;(2)from the multi-disciplinaryperspective, taking psychological factors, concept factors, children at school and otherfactors into a comprehensive model;(3)taking the occupation flow of farmer professionaldifferentiation into account.更多还原