【作者】 王静；

【导师】 霍学喜；

【作者基本信息】 西北农林科技大学 ， 农业经济管理， 2013， 博士

【摘要】 推进苹果生产技术创新及推广既是中国政府及苹果优势产区长期关注的重大科学技术问题和战略决策问题,也是新阶段转变中国苹果发展方式、提高苹果技术装备密集化程度和苹果产业效益的关键领域。苹果种植户作为现代苹果产业技术的终端需求者和重要市场主体,其技术选择行为将成为提高苹果产业技术创新及推广效率,促进果园生产管理制度创新的微观基础。国内外农业经济学界对农户市场化技术选择行为的认识还不够深入和全面,尤其是基于经营多年生、高价值农产品的农户技术选择行为的基础研究和定量研究较少。基于这种认识和判断,本文以从事专业化、市场化生产的苹果种植户为研究基本单元,以苹果种植户技术选择行为为研究对象,从苹果产业技术市场供求关系视角,在归纳苹果产业技术市场供求主体行为演变特征的基础上,遵循农户技术选择理论,研究和建立苹果种植户技术选择行为理论体系；采用数理分析方法和计量经济分析方法,及中国苹果优势产区15个苹果重点生产县(市)的苹果种植户调研数据,研究和识别苹果种植户在要素禀赋和苹果产业技术市场影响下,就劳动密集型技术和劳动节约型技术选择过程中面临的技术供给扭曲及成本约束问题,并对苹果种植户技术选择行为的收入效应进行评价,从而为改进苹果产业技术市场效率和优化苹果产业技术政策,诱导和激励苹果种植户果园生产管理制度创新,提供理论和实证依据。按照“苹果产业技术市场供求主体行为演变特征分析→苹果种植户劳动密集型、劳动节约型技术选择行为分析(技术认知态度、技术决策实施、技术联合采用)→苹果种植户技术选择经济效益评价”的研究逻辑关系,将论文主要研究内容规划为：第一部分为导言,包括第一章。围绕苹果产业发展方式转变过程中苹果产业技术市场供求主体行为变化特征、趋势,阐明本文的研究背景、研究目的和意义。在国内外农户技术选择行为文献综述和评价的基础上,说明深入研究苹果种植户在苹果产业技术市场影响下的专业化、市场化技术选择行为特征及其经济效益,是农户技术选择及经济评价中值得研究的重要领域。根据本文研究目的与研究价值,构思和设计本文技术线路、研究方法和研究内容,并归纳和提炼本文的创新之处。第二部分为苹果种植户技术选择行为理论分析,涵盖第二章和第三章。以苹果种植户为研究基本单元,以苹果种植户技术选择行为为研究对象,将苹果生产技术进步的历史变迁规律与农户技术选择理论结合,在归纳苹果产业技术市场中供求主体行为演变特征的基础上,分析苹果产业技术进步的原理；界定苹果种植户技术选择行为的内涵与外延,揭示苹果种植户技术选择行为动机、行为倾向,以及在要素禀赋和苹果产业技术市场约束下呈现的行为特征,建立苹果种植户技术选择行为理论体系。运用规范分析为主的研究方法,凝练、形成本文理论假设：要素稀缺程度是诱导苹果种植户技术选择行为产生偏向的需求因素,苹果产业技术市场中的技术创新及推广供给主体行为是诱导苹果种植户技术选择行为产生偏向的供给因素,进而导致苹果种植户技术选择行为的经济效益具有差异性。第三部分为苹果种植户技术选择行为实证检验,涉及第四章、第五章、第六章、第七章、第八章。第四章,运用二层次结构模型和全国优势产区苹果重点生产县(市)苹果种植户和村级实地调研数据,就技术创新及推广供给主体行为对苹果种植户劳动密集型和劳动节约型技术认知及技术潜在需求的影响机制进行分析。第五章,构建苹果种植户技术选择行为及其交易制度分析框架,运用分组tobit模型和全国优势产区苹果重点生产县(市)苹果种植户实地调研数据,就苹果产业技术市场中不同技术交易制度安排产生的信息搜寻成本、谈判成本和执行成本,对苹果种植户劳动密集型和劳动节约型技术决策行为的影响进行分析。第六章,运用局部可观察双变量probit模型和全国优势产区苹果重点生产县(市)苹果种植户实地调研数据,就技术创新及推广供给主体行为分别对苹果种植户果园精细经营管理制度中的子技术联合采用和果园简约经营管理制度中的子技术联合采用的影响进行分析。第七章,运用分位回归方法和全国优势产区苹果重点生产县(市)苹果种植户实地调研数据,就苹果产业技术市场影响下,苹果种植户劳动密集型、劳动节约型技术选择对其生产收入个体分布的影响机理和方向、程度进行分析。第八章,构建区域苹果种植户生产收入函数,运用全国优势产区苹果重点生产县(市)苹果种植户和村级实地调研数据,就苹果产业技术市场影响下,苹果种植户劳动密集型、劳动节约型技术选择行为的空间溢出效应对其生产收入的影响方向及程度进行分析。主要研究结论包括四个方面：1.苹果产业技术市场对苹果种植户技术认知影响实证分析形成以下观点和结论：-是尽管高度知识集成的劳动密集型技术运用复杂程度高,但相比劳动节约型技术而言,苹果种植户对劳动密集型技术现实效益性的认可度更高,从而对劳动密集型技术表现出刚性的潜在需求偏好。二是技术创新及推广供给主体行为是诱发苹果种植户不同群体,以及同一群体内不同个体对劳动密集型技术和劳动节约型技术的认知产生分化的关键因素。具体而言,国家现代苹果产业技术体系采取的典型示范技术信息扩散制度产生“创新精神与创新需求悖论”,加大了苹果种植户群体间技术共识差距。由于苹果产业技术市场监管缺位,行业技术信息披露规范缺失,加之政府主导的公益型技术创新及推广体系对以涉果企业主导的商业型技术创新及推广体系具有排斥性,利益驱动型的涉果企业倾向于实施机会主义行为,导致其技术信息传播对提升苹果种植户技术认知无实质性帮助。果农专业合作社通过技术信息有效传递与知识技能共享,有利于提升苹果种植户个体的技术认知水平,以及缩小苹果种植户群体的技术共识差距。邻里技术信息传播通过基于熟人信任机制的人际关系渠道产生显著的口碑效应,有助于提升苹果种植户个体的技术认知水平。政府产业扶持机构提供的技术公共服务能够降低苹果种植户技术认知的公共信息搜寻成本,从而有助于提升苹果种植户群体的技术共识。2.苹果产业技术市场对苹果种植户技术决策影响实证分析形成以下观点和结论：是生产要素价格的相对变动是诱致苹果种植户技术决策产生偏向的市场信号,尤其是遵循公开市场交易制度安排的苹果种植户技术决策偏向对生产要素价格变动更为敏感。二是不同技术交易制度安排产生的交易成本会对苹果种植户劳动密集型、劳动节约型技术决策行为产生差异化影响。具体而言,遵循公开市场交易制度安排的苹果种植户面临的技术交易信息搜寻成本和技术谈判成本越低,越偏向采用劳动节约型技术；遵循准内部交易制度安排和内部交易制度安排的苹果种植户面临的技术交易信息搜寻成本和技术执行成本越低,越偏向采用劳动节约型技术。三是内部交易制度安排下,降低技术交易成本对劳动节约型技术的正向激励,难以突破产品市场需求、苹果种植户经营规模、果园修剪制度和自然环境特征对劳动节约型技术的抑制作用。3.苹果产业技术市场对苹果种植户技术联合采用影响证分析形成以下观点和结论：一是以劳动密集型技术为支撑的果园精细经营管理制度内部子技术的采用行为,以劳动节约型技术为支撑的果园简约经营管理制度内部子技术的采用行为,均存在显著的互补关系。即遵循果园精细经营管理制度的苹果种植户采用果树疏密改形技术,也会倾向采用土壤有机质提升技术,反之亦然；遵循简约经营管理制度的苹果种植户采用矮砧密植栽培技术,也会倾向采用高光效树形技术,反之亦然。二是地块特征、家庭特征均是苹果种植户采用果园精细经营管理制度和果园简约经营管理制度的重要个体影响因素。三是相比果园精细经营管理制度中的子技术联合采用,技术创新及推广供给主体对果园简约经营管理制度中的子技术联合采用产生更多的技术供给扭曲。其中,国家现代苹果产业技术体系的技术推广培训,苹果种植户内部技术交流,以及政府财政投资扶持、公共投资支持的生产性基础设施建设,是果园精细管理制度的有效扩散渠道,而果农专业合作社和涉果企业技术推广培训对果园精细经营管理制度的影响能力较弱。对果园简约经营管理制度而言,只有国家现代苹果产业技术体系技术推广培训、苹果种植户内部技术交流、以及公共投资支持的生产性基础设施建设具有正效应,果农专业合作社技术推广培训、政府财政投资扶持对果园简约经营管理制度内部子技术的联合采用均产生显著的抑制作用。4.苹果产业技术市场约束下苹果种植户技术选择对其生产收入个体分布和空间格局影响实证分析形成以下观点和结论：一是从中国苹果优势产区村域层面和苹果种植户个体层面,劳动密集型技术、劳动节约型技术的投入回报率均差异显著。其中,劳动节约型技术与苹果种植户生产收入呈显著负相关,而劳动密集型技术对提高苹果种植户生产收入则具有明显且稳健的促进作用。二是技术创新及推广供给主体中,国家现代苹果产业技术体系的技术活动能使苹果种植户技术选择行为产生外部性,从而对本地及邻近区域苹果种植户生产收入产生显著且稳健的溢出效应,而果农专业合作社和涉果企业由于技术培训服务功能较弱,对邻近区域苹果种植户技术选择行为的辐射带动作用不明显。本文研究结果验证,要素禀赋和苹果产业技术市场中的技术创新及推广供给主体行为,在苹果种植户就劳动密集型技术和劳动节约型技术进行技术认知、技术决策实施和技术联合采用的过程中产生显著影响,进而导致苹果种植户技术选择行为的经济效益从个体层面和空间层面具有差异性。结论表明,随着要素市场中劳动力价格相对机械价格上升速度加快,劳动力稀缺程度增加,苹果种植户生产技术呈现由劳动密集型向劳动节约型转变的趋势。但是,受到产品市场和苹果产业技术市场的双重限制,当前苹果产业技术界及科技政策制定者主张推进果园机械等劳动节约型技术创新、推广的观点、政策倾向尚不具备成熟的实施条件。以劳动节约型技术为支撑的果园简约经营管理制度创新缓慢,以劳动密集型技术为支撑的果园精细经营管理制度依然是目前中国苹果产业发展的必要条件。造成上述结果的原因为：(1)从技术需求来看,产品市场中劳动密集型技术的回报率相对高于劳动节约型技术的回报率,诱导利益导向的苹果种植户倾向采用劳动密集型技术,进而造成劳动密集型技术的有效需求具有刚性,劳动节约型技术的有效需求不足。(2)从技术供给来看,在苹果种植户进行技术认知、技术决策实施、技术联合采用等技术选择阶段,由于苹果产业技术创新管理体制及产业科技政策的不适当干预,使得包括私人部门和公共机构在内的技术创新及推广供给主体在依托技术信息传播、技术交易、技术推广培训、技术辐射进行技术供给过程中,对劳动节约型技术(相比劳动密集型技术而言)产生更大程度的结构性失衡供给、无效供给和扭曲供给,并由此产生较高的技术信息非对称性及技术交易成本,导致劳动节约型技术有效供给不足。(3)从技术市场供需来看,由于苹果产业科技体制及政策之间,不同技术创新及推广供给主体行为之间,以及苹果种植户技术选择行为与各类技术创新及推广供给主体行为之间存在冲突和矛盾,导致政府行为与苹果产业技术市场调节之间的关系扭曲。因此,苹果产业技术市场缺乏有效性,劳动节约型技术有效供给不足,导致其在成本及价格方面缺乏优势；劳动节约型技术的潜在需求难以转化成有效需求,导致其潜在收益无法充分实现,从而制约了劳动节约型技术进步以及果园简约经营管理制度创新。更多还原

【Abstract】 Promoting technology innovation and extension has become the key field in transformation of apple industry development patterns with high-tech and high-yield, and also become the critical scientific and strategic issues that the government and dominant production zones concerned about. Apple farmer household is the important demander and participant of technology innovation market in China’s apple industry. Hence, the technology choice behaviors of apple farmer household are vital to increasing the efficiency of technology innovation and extension. Current study on farmer households’technology choice behaviors is too general and fails to dig deep into this problem by focusing on high value agricultural industry. This dissertation aims to solve this problem. Using a large set of first-hand household-level survey data from apple farmer households in15apple base counties located in the Bohai Gulf region and the Loess Plateau region which are the China’s two main apple farmer regions, this dissertation makes an in depth study of the characteristics of technology choice behaviors of apple farmer household under the influence of factor endowment and apple technology market.This dissertation consists of four parts, and the main content of each part is as follows:The first part briefly introduces the main purpose, the theoretical basis, the main research method and the framework. It elaborates the research background, the purpose and the significance of a study on technology choice behaviors of apple farmer household with a brief view of a changing technology karket during the transformation of the China’s apple industry development; then it makes a thorough and objective review of studies in this area and specifies the necessity of a quantitative study on technology choice behaviors of apple farmer household; then it summarizes the method and the data, and finally it mentions the originality of this study.The second part including Chapter2and Chapter3is a theoretical analysis of apple farmer household’s technology choice behaviors. Firstly, it summarizes the principle of apple technology progress based on the evaluation of the apple technology market, and gives definitions on terms like apple farmer household, technology market of apple industry. Secondly, it further insights into the motivation, cognition, attitude and behavioral traits under the restriction of the factor endowment as well as the apple technology market. And with that, a theoretical framework of apple farmer household technology choice behaviors can be established. The theoretical analysis shows that the factor endowment and apple technology market are demand factor and supply factor respectively that induce the deviation in technology choice behaviors of apple farmer household, which led to household’s economic benefits have dynamic difference.The third part including Chapter4, Chapter5, Chapter6, Chapter7, and Chapter8is an empirica analysis of the impacts of apple technology market on the apple farmer household’s labor-intensive and labor-saving technology choice behaviors based on the apple farmer household-level data. Chapter4is an empirical analysis on the impacts of apple technology market on the apple farmer household’s labor-intensive and labor-saving technological perception by the multilevel structural equation modeling. Chapter5is an empirical analysis on the impacts of apple technology market on the apple farmer household’s labor-intensive and labor-saving technological implementation based on transaction cost theory. Chapter6is an empirical analysis on the impacts of apple technology market on the apple farmer household’s labor-intensive and labor-saving technology systems simultaneity adoption respectively by the bivariate probit model. Chapter7is an empirical analysis on the impacts on the gains of the apple farmer households from labor-intensive and labor-saving technology adoption under the inducement of input and apple technology market based on a nonparametric quantile regression. Chapter8is an empirical analysis on the spatial spillover effects on the gains of the apple farmer households from labor-intensive and labor-saving technologies adoption.The main empirical results are as follows:1. The empirical results of the impacts of apple technology market on the apple farmer household’s labor-intensive and labor-saving technological perception by the multilevel structural equation modeling show that:households’perception on labor-intensive technology to be better because of its high actual profit. Additionally, the technology suppliers in the apple technology market exert multiple and significant effects on household’s technological perception from the individual level and from the group level. To be specific, the extension institution of model demonstration that the China Apple Research System applied leads to a gap among the consensus of apple farmer households’group; the technical information disseminated by opportunistic fruit companies is helpless in improving the apple farmer household’s technological perception; apple farmer household cooperatives are beneficial to improve the individual household’s technological perception, and close the gap among the consensus of apple farmer households’group; the technical information disseminated by neighbourhoods contribute to enhance the individual household’s technological perception; the public technical services supported by government is beneficial to improve the technological consensus of apple farmer households’group by driving the information search cost down.2. The empirical results of the impacts of apple technology market on the apple farmer household’s labor-intensive and labor-saving technological implementation show that:firstly, the relative changes of input prices are the important market signals which induces the deviation in technological implementation of apple farmer household. For the apple farmer household who participates in open market transaction, in particular, it is more sensitive to input prices changing. Secondly, the effects of transactions costs on the apple farmer household’s technological implementation are various. Specifically, when the apple farmer household who participates in open market transaction faces lower information cost and negotiation cost, it is more likely to adopt labor-saving technology, while when the apple farmer household who participates in internal and quasi-internal transactions faces lower information cost and monitoring cost, it is more likely to adopt labor-saving technology. Finally, for the apple farmer household who participates in internal transaction, the motivation of reducing transaction costs in inputs markets to labor-saving technology is smaller than the inhibition of product market demand, scale of operation, pruning system and natural environment to labor-saving technology.3. The empirical results of the impacts of apple technology market on the apple farmer household’s labor-intensive and labor-saving technology systems simultaneity adoption respectively show that:firstly, the apple farmer household’s decision to improve soil organic significantly and positively depends on whether the same household reduces the orchard density, and the reverse causality is also significant. Meanwhile, the apple farmer household’s decision to adopt dwarfed rootstock significantly and positively depends on whether the same household adopts the tree form for high photosynthetic efficiency, and the reverse causality is also significant; secondly, behaviors of the technology suppliers in the apple technology market are significant factors in explaining variations in apple farmer household’s technology simultaneity adoption decisions, besides household’s orchard and family characteristics. To be specific, the training supplied by China Apple Research System, the internal technology exchange of household, and the infrastructure supported by government are effective ways to diffuse the precision apple orchard technology system and intensive apple orchard technology system. While the training supplied by fruit companied and apple farmer household cooperatives, as well as finance supported by government have not significantly improved the precision apple orchard technology system and intensive apple orchard technology system.4. The empirical results of the impacts on the gains of the apple farmer households from labor-intensive and labor-saving technologies adoption show that:it is worth noting that the labor-saving technology impacts on the apple farmer households’gains negatively, while the labor-intensive technology impacts positively and robustly, especially on those with high net income. The results also show that the net income of the apple farmer households is positively related to the number of apple growers, as which we interpret evidence that the potential for increasing the gains of the apple farmer households through the labor-intensive technology is substantial. In addition, the household attributes, such as the demographic characteristics of the growers, technical cognition and, scale of operation and ratio of high-grade fruits are found to have influences of different intensity on the net income of the apple farmer households. Moreover, the net income of the apple farmer households is positively related to China Apple Research System, and is negatively related to apple farmer cooperatives.5. The empirical results of the spatial spillover effects on the gains of the apple farmer households from labor-intensive and labor-saving technologies adoption show that:firstly, there exists spatial autocorrelation to some extent for the regional technology choice behaviors and net income of the apple farmer households; secondly, the adoption of labor-saving technology impacts on the apple farmer households’gains negatively, while the adoption of labor-intensive technology has obvious and robust effects and contribution to raise the gains of the apple farmer households at the village level. Thirdly, the technology choice behaviors of apple farmer household has significantly spillover effects on their gains due to the technical activities of China Apple Research System rather than the technical activities of fruit companies or apple farmer household cooperatives.Finally, the results of the whole dissertation illustrate that though it is urgently need industrial transformation under the pressure of increased labor cost, the labor-saving technology innovation is lagged, and the labor-intensive technology innovation is still a necessary condition for China’s apple industry development. The reasons for the results above are as follows:from the point of technology demand firstly, because the return of labor-intensive technology is relative higher than that of the labor-saving technology, the benefit-oriented apple farmer household is induced to adopt labor-intensive technology to save machinery factor. Hence, the effective demand for labor-intensive technology is rigidity, while the effective demand for labor-saving technology is insufficiency. From the point of technology supply secondly, the improper intervention of the technology innovation system and science and technology policies of apple industry induce all suppliers of technology innovation and extension, including private and public sectors, supply unbalanced, inefficient and distorted labor-saving technology products and services with which high asymmetric information and transactions costs. Consequently, the effective supply for labor-saving technology is insufficiency. From the point of equilibrium between supply and demand for technology market finally, the conflict and contradiction among the science and technology systems and policies, among different suppliers of technology innovation and extension, and among demanders and suppliers of technology innovation and extension, distort the relationship between the government behavior and market regulation. Therefore, the ineffectiveness of apple technology market leads to the deficiency of effective demand and effective supply for labor-saving technology, and thus restricts the labor-saving technical progress and intensive apple orchard technology system innovation.更多还原