【作者】 宋金田；

【导师】 祁春节；

【作者基本信息】 华中农业大学 ， 农业经济管理， 2013， 博士

【摘要】 在市场自由化、经济全球化的背景下,我国农业和国民经济发展进入了新的发展阶段,农业产业面临着日益激烈的市场竞争,中国的农户也面临着比以往更大的挑战和新的市场机遇。尤其是从事劳动密集型农产品的农户,其生产经营已经逐渐转向专业化生产,农户已经成为参与市场经营的主体。研究农户的生产经营行为特征及影响因素,探究农户生产经营行为特征以及面临的制度约束,对增进农户的生产积极性,提高农户的生产效率,使得农户适应国内和国际市场的激励竞争,提高农业产业化水平有着重要的理论意义和现实意义。本文首先简要介绍新制度经济学基本理论,对国内外农户生产经营行为相关研究进行了综述；继而考察了柑橘生产的自然特性并对农户生产经营行为进行了理论分析；然后以从事柑橘种植的农户为研究对象,根据调查数据,运用计量经济分析,从农户角度出发,分析了农户的柑橘种植意愿、农户农业技术需求、农户销售方式选择对收入的影响以及交易成本对农户销售方式选择的影响等问题,并通过案例分析了农户合作行为产生和发展的主要影响因素,最后给出了相关政策建议。本文的贡献和创新之处可能有以下三点：(1)从契约角度入手,把农户对农业技术的需求视为一项交易,通过建立Logistic回归模型,分析了交易成本对农户农业技术需求的影响,研究突破了传统的研究视角,对现有研究有一定补充作用。(2)基于实地调研资料归纳总结了样本农户柑橘销售的主要方式,从交易成本角度,依据交易对象、交易频率、交易的不确定性等特性对柑橘销售方式进行了分类,在此基础上建立多元线性回归模型,考察了农户销售方式选择对农户销售收入的影响。研究拓展了农户销售方式的研究范围,完善了现有相关研究。(3)在农户销售方式对农户销售收入影响的基础上,建立了交易成本度量指标体系,通过建立Logistic模型分析了交易成本对农户销售方式选择的影响,丰富了现有交易成本对农户销售方式选择的实证研究。论文的主要研究内容和分析结论如下：第一,农户的种植意愿反映了农户对柑橘产业未来发展的看法和信心,中国柑橘产业长期发展目标能否实现的关键也在于此。本文以来自中国柑橘主产区的柑橘种植农户的微观数据,利用Logit模型分析了农户柑橘种植意愿,研究结果表明：接近70%的被调查农户柑橘种植意愿较强烈,表明多数农户对柑橘产业的发展抱有信心,愿意在资源允许的条件下进一步扩大柑橘种植面积；农户的组织化程度对农户种植意愿影响并不显著,这也表明被调查农户所参与的各种柑橘专业合作组织并没有很好的发挥其作用；此外,农户柑橘种植意愿受到户主的年龄、是否参加技术培训、相’橘种植年限、是否了解市场行情等多种因素的影响。第二,先进的农业生产技术能增强农户生产的效率,提高农产品的质量,增强农户参与市场的竞争力,增加农产品的供给,满足城乡居民的需求。本文利用中国柑橘主产区的实际调查数据,从契约的视角,把农户农业技术需求还原为一个契约,通过建立Logistic模型分析了交易成本对农户农业技术需求的影响。分析结果表明交易成本是影响农户农业技术需求的重要影响因素,具体而言：反映信息成本的家庭是否拥有通讯及信息接收设备、家庭是否能够收看相关农业频道节目、是否与其他农户经常交流对农户农业技术需求有显著的正面影响；反映执行成本变量的户主是否参加过技术培训、生产中是否能顺利解决技术难题对农户农业技术需求有显著的正面影响。此外,农户特征变量也是影响农户农业技术需求的重要因素,其中农户户主年龄对农户农业技术需求有显著的负向影响；受教育程度、种植面积对农户农业技术需求有显著的正向影响。第三,利用湖北省宜昌市的实际调查数据,通过建立多元线性回归模型分析了销售方式对农户柑橘收入的影响。分析结果表明：不同销售方式的选择对农户柑橘收入有着显著的影响,相对于通过中间商销售,自行销售柑橘可以使得农户的收入增加约176元/亩；计量模型分析结果还表明,户主种植柑橘年数、户主是否接受过培训、种植面积、农户每亩投入农药成本等变量也是影响农户收入的重要因素。第四,在分析了不同销售渠道对农户收入的影响之后,本文通过建立Logistic模型分析了交易成本对农户柑橘销售方式选择的影响,回答了农户销售方式选择中的“非理性”问题,研究结果表明：尽管选择自行销售方式销售柑橘销售价格较高,但受交易成本以及农户自身特征的影响,通过中间商销售柑橘仍然是被调查农户的主要选择。其中,在反映信息成本的变量中,是否了解柑橘市场行情和是否通过中间商了解柑橘价格变量对农户选择自行销售方式有显著影响,两者的影响方向分别为正向和负向；在反映谈判成本的变量中,农户对中间商报价公平程度的看法、自行销售同等级柑橘相比于通过中间商销售的销售价格差异变量分别对农户选择自行销售方式有显著的正向和负向影响；在反映执行成本的变量中,农户到最近农产品市场的距离变量对农户选择自行销售方式有显著的负向影响。最后,农户个体特征也会影响农户柑橘销售方式的选择。其中,户主受教育程度、家庭是否有成员从事非农产业对农户选择自行销售方式有显著的正向影响。第五,通过对一个具体柑橘专业合作社的产生和发展过程的剖析解释了农户合作行为产生的原因。分析结果表明,农户生产过程中的资产专用性,以及相应而来的交易过程中交易对象的机会主义行为是农户成立合作组织的主要动力。对农户来说,通过成立农业合作组织可以提高农户市场谈判地位,降低运输成本,提高农产品市场竞争力,进而获得更多的收益,这是农户合作行为产生的内在诱因。此外,农户成立合作组织离不开政府引导和推动。因为靠农户自发成立合作组织将遭遇“集体的逻辑”的困境,政府的引导或者在一定程度上的行政强制手段,对合作组织的成立及发展起着重要的推动作用。更多还原

【Abstract】 Under the background of market liberalization and economic globalization, China’s agriculture and national economy has entered into the new development stage, agriculture is facing with fierce market competition, and Chinese farmer households are also facing with greater challenges and market opportunities than ever before. Particularly, farmer households, who make and operate labor intensive agricultural products of high value, have become the main bodies participating in market operation, and their production and operation have turned to be professional gradually. Researching farmer households’ producing and operating behaviors as well as influencing factors, exploring characteristics of their producing and operating behaviors and system restrictions will be significantly theoretical and realistic to increase their producing incentives, and improve their production efficiency, and guide them to adapt to competitions of domestic and foreign markets, and enhance the competitiveness of the citrus industry as well.This Ph.D. dissertation makes a brief introduction of basic theories of new institutional economics firstly, then summarizes domestic and foreign literature related to producing and operating behaviors of farmer households, and then investigates natural properties of citrus production, and analyzes the behaviors of farmer households’ production and operation theoretically; and then adopt econometric analysis method to analyze farmer households’ will to plant citrus, and their demand for agricultural technologies, and the influences of their sales methods on revenues, and that of transaction cost on their options of sales method etc. with Chinese citrus planting farmer households as the object of study based on field survey data, and then further analyzes the major impact factors on the farmer households’cooperating behaviors to emerge and develop; and ends up with relevant recommendations to solve the relevant issues at last.The contributions and innovations of the paper can be included in the following three points:(1) it returns farmer households’demands on agricultural technologies to the entire process of one contract from agreement to implementation, sets up Logistic regression model, analyzes influences of transaction cost on farmer households’demands on agricultural technologies from the perspective of contract. It breaks through the traditional research perspective of analysis from static angle, and enriches the present vision of studies related to agricultural demands.(2) Specimen farmer households’major methods to sell citrus are generalized and concluded on the basis of investigated data, and they are classified according to transaction objects, transaction frequency and the uncertainty of transaction in view of transaction cost, and multiple linear regression model is further made to analyze the influences of different selling channels on farmer households’income. This research has expanded the research scope of farmer households’ selling methods, complementing the existing literature of same kind to some extent.(3) Based on the impact of farmer households choosing selling methods on their income, the index system measuring transaction cost is built, and the current empirical study on transaction cost and farmer households’selling methods is enriched by building Logistic model to analyzing the impact of transaction on farmer households’selling methods.The main contents and research conclusions are stated as follows:Firstly, farmer households’will to plant reflects their opinions and confidence in the future development of citrus industry, which is the crucial factor in determining whether the long-term development objectives of China’s citrus industry can be realized. This Ph.D. dissertation adopts Logit model to analyze farmer households’will to plant citruses using the microcosmic data of farmer households planting citrus in China’s main production areas, and the study result indicates that nearly70%of the investigated farmer households have strong will to plant citrus, and most farmer households are confident in the development of the citrus industry and are willing to expand their citrus planting area further if resources allow; organization degree of farmer households has certain positive but insignificant influences on their will to plant citrus, which also suggests that various kinds of professional citrus cooperatives don’t play a good role in driving them; moreover, farmer households’will to plant citruses are influenced by the multiple factors like the age of farmer household, and the will to participate in technical training, and the planting years of citruses, and the fact whether they know about market conditions and so on.Secondly, advanced agricultural production technologies can strengthen their production efficiency, improve the quality of agricultural products, enhance their participation in market competitiveness, increase family labor efficiency of farmer households, and add supply of agricultural products to meet the residents’needs. The dissertation makes use of the actual survey data of China’s main citrus production zones to analyze the influences of transaction cost on farmer households’ demands for agricultural technologies by setting up Logistic model. The analysis result indicates that transaction cost is the important factor affecting farmer households’ demands for agricultural technologies; specifically, whether the households, reflecting information cost, has communication and information receiving facilities, whether they can watch relevant programs of agricultural channels, and whether communications with other farmer households all have positive influences on farmer households’ demands for agricultural technologies; and whether households, reflecting the implementation cost variables, participated in technical training, and whether them can solve certain technical problems in production successfully all have positive influences on farmer households’demands for agricultural technologies significantly. Moreover, farmer households’characteristic variable is the important factor affecting their demands for agricultural technologies, and ages of households have negative influences on farmer households’demands for agricultural technologies; education degree and planting area have positive influences on their demands on agricultural technologies significantly as well.Thirdly, it makes use of the actual survey data of Yichang City and Hubei Province to analyze the influences of sales channels on farmer households’citrus revenues by setting up multiple linear regression models. The analysis result indicates that different sales channel options have significant influence on farmer households’citrus revenues; with respect to the sales of middlemen, farmer households’revenues increase about176Yuan per Mu by selling citrus themselves; the econometric model analysis suggests that the variables like citrus planting years of households, whether households received training, planting area and pesticide costs per mu invested by farmer households are the important factors affecting their revenues.Fourthly, the dissertation analyzes the influences of transaction cost on farmer households’options of sales methods to answer the "irrational" question in their sales methods by setting up Logistic model after analyzing the influences of different channels on their revenues. The study indicates that farmer households’options of selling citruses themselves can obtain higher prices, but the investigated farmer households chose middlemen to sell citruses under influences of transaction cost and individual characteristics of farmer households. Among the variables reflecting information cost, the variables of whether knowing about citrus market conditions and prices through middlemen have positive and negative influences on farmer households’option of self-selling respectively; among the variables reflecting negotiation cost, farmer households’opinions on quotation fairness degree of middlemen, difference variables of prices sold by farmer themselves and those sold by middlemen have positive and negative influences on farmer households’option of self-selling methods respectively; among the variables reflecting implementation cost, the variable of farmer households’shortest distance to agricultural product market has negative influence on farmer households’ option of self-selling method. At last, farmer households’individual characteristics have influences on their option of citrus sales methods. Households’education degree and whether family members engage in non-agricultural industries have positive influences on farmer households’ option of sell-selling method significantly.Fifthly, it explains the reason of farmer households’ cooperative behaviors by analyzing the establishment and development of a specific professional citrus cooperative. The analysis indicates that asset specificity in the production process of farmer households and cheating of dealing party in the process of transaction correspondingly are the main driving forces for farmer households to establish cooperatives. As for farmer households, establishment of cooperative can improve their market negotiation position, reduce transport cost, improve market competitiveness of agricultural products, and obtain additional profits, which are the causes of farmer households to cooperate. Moreover, farmer households cannot establish cooperatives without guidance and promotion of government. Because cooperatives established by farmer households will suffer from the dilemma of "collective logic", guidance or certain compulsive means of government playing an essential role in establishing a farmer cooperative.更多还原