【作者】 李鹏；

【导师】 张俊飚；

【作者基本信息】 华中农业大学 ， 农业经济管理， 2014， 博士

【摘要】 伴随着现代农业规模化、集约化与产业化的发展,在实现农产品数量不断增加的同时,以农作物秸秆、畜禽粪便等为主的农业废弃物排放量也呈现快速增长态势,加之农业废弃物的产权属性,政府监管困难,导致农业废弃物循环利用方式较为粗放,甚至直接燃烧或随意堆弃,严重危害到我国农村生态环境、农业生产环境和农民生活环境。面对农业废弃物引发的资源浪费和生态环境危机等问题,我国在农业废弃物循环利用方面的绩效如何?参与主体间的协同创新能力处于一个什么水平?如何高效管理农业废弃物和实现农业废弃物循环利用向产业化、规模化的方向高效、持续、健康发展?农业废弃物循环利用作为延伸现代农业产业链条和建设农村生态文明的重要内容,引起了各级政府的高度重视,也成为国内外学者关注与探讨的热点问题。本课题以畜禽粪便、农作物秸秆等农业废弃物为研究对象,系统梳理国内现有农业废弃物循环利用模式,实证分析影响农户处理方式及其意愿的相关因素,探讨农户对农业废弃物循环利用的生态福利感知水平。依据农户调研数据,评价农户农业废弃物转化利用效率,探讨农业废弃物循环利用绩效的区域差异性；分析农业废弃物循环利用及产业发展关联主体之间的协同创新能力,进一步剖析当前我国农业废弃物循环利用产业发展模式及其运行机制中存在的主要问题,明确今后我国农业废弃物循环利用及产业可持续发展的努力方向,并就此提出了相关的政策建议。主要研究工作及结论如下：(1)国内农业废弃物循环利用模式及路径出现多样化发展趋势,但存在诸多问题,生态功能未能实现模化发展系统分析国内农业废弃物循环利用现状,将国内农业废弃物循环利用模式按照承载主体进行了归纳总结,划分为以农户为主体的循环利用模式和以企业为主体的循环利用模式。在以农户为主体的农业废弃物循环利用模式中,又以传统的“四位一体”的循环农业发展模式、秸秆基质化循环利用模式以及基塘循环农业模式等为主；在以企业为主体的农业废弃物循环利用模式中,又以“农业—加工业(鲜食蚕豆种养加、农工贸一体化模式)”模式、“农业—旅游业”模式(以传统种养殖业产生的废弃物为原料,开发生态经济园区)等为主。前者则主要由广大农村地区的农民自主展开的农业废弃物循环利用模式,后者主要由企业参与指导、进一步实现产业链延伸的循环利用模式,将第一产业、第二产业和第三产业有机的衔接在一起,该类模式是农业废弃物循环利用产业发展模式的趋势,是我们进行模式设计和构建时需要着重参考的。此外,在实地调研过程中还发现：当前农户对农业废弃物的认知范围较广、信息来源趋于多元化,且多数农户认为农业废弃物若能实现转化利用,具有较大的资源价值与潜力,具有显著的生态效应,但尚未引致农业立体环境改善的规模化效应,究其原因,主要体现在以下三个方面：一是政府职能缺失与缺位,政策激励机制和法律保障体系不完善；二是新型农民培育进程缓慢,农民文化素质普遍偏低；三是农业废弃物处理的机会成本(较之外出打工或焚烧)与处理费用(技术成本)较高；四是农业废弃物循环利用技术的集成示范与推广缓慢。(2)针对不同农业废弃物种类,农户处理方式选择及意愿存在较大差异,并受到农户自身特征变量与外部环境变量的影响对农作物秸秆、畜禽粪便及生产性农业废弃物的利用方式选择及意愿调查数据显示：农作物秸秆主要以饲料化、肥料化及能源化利用方式为主,畜禽粪便(家禽、猪牛)的肥料化处理是农户最主要的利用方式,生产性农业废弃物的焚烧、掩埋甚至是随意丢弃的现象较为普遍,并存在少数的工业原料化与能源化处理。绝大多数农户表示愿意对农业废弃物进行转化利用,并且愿意并积极参与农业废弃物循环利用的农户对农业废弃物的资源价值与潜力具有较为深刻的认知,尤其是对其经济与生态价值,但是由于受到外部政策环境、家庭经济实力、技术等因素的影响,未能深入参与农业废弃物循环利用。进一步研究发现,性别、务农年限、村中是否有废弃物集中处理设施、是否参加农民专业合作组织、居住地到最近集市或市场的距离等是影响农业废弃物处理方式选择的主要因素；农户的性别、是否参加培训、村中是否有废弃物集中处理设施、组织化程度对农户的农业废弃物循环利用意愿具有显著正向影响,兼业程度变量则具有显著负向影响,可见,农村市场化建设、基础设施建设以及农村专业合作组织建设对农业废弃物循环利用具有重要作用。此外,专题研究结果显示,农业废弃物循环利用的生态福利感知较低,其在农业立体环境改善方面尚未引发规模化效应；进一步研究发现,农户的性别、文化程度、务农年限、对附近公路的满意程度、受到居住地到最近集市或市场的距离、村中是否有废弃物集中处理设施和组织化程度织等变量显著影响农户的生态福利感知。(3)基于农户投入产出数据的实证分析表明：农户的农业废弃物循环利用绩效偏低,具有较大的提升空间,且存在较大的区域差异,影响因素较多农户是农业废弃物基质化循环利用的主要载体,选取三阶段DEA模型,测度农户农业废弃物循环利用的技术效率,测度结果表明：我国农户的农业废弃物基质化循环利用的技术效率较低,存在较大的提升空间,而规模效率较低是主要原因。区域差异研究在一定程度上表明较好的经营环境与运气等因素在一定程度上对农业废弃物循环利用绩效具有较大的提升,结论也在一定程度上说明选择三阶段DEA模型研究技术效率问题具有一定的科学性和合理性。此外,专题研究结果显示,专业化程度、组织化程度以及基础设施建设等方面的改善有利于提升农业废物循环利用绩效,组织化程度的提升有利于提高农户在基质化产业发展过程中的纯技术效率,而农户的教育程度、专业化程度、组织化程度的提高以及周边基础设施的改善可以助推食用菌产业的规模效率的提升。(4)农业废弃物循环利用参与主体存在信息不对称及利益诉求差异,主体间的协同创新绩效较低,处于“协调且一般有效”状态,农户与技术推广部门效率偏低成为主因以农业废弃物基质化循环利用过程中核心利益主体为分析与研究的对象,构建合作博弈模型,研究结论显示：农业废弃物基质化循环利用参与主体间存在利益诉求差异与较为严重的信息不对称问题,导致农业废弃物循环利用及产业发展与生态功能的规模化实现等目标受到制约。进一步研究发现,16个省(市、自治区)的农业废弃物基质化循环利用参与主体的协同创新能力整体处于“协调且一般有效”状态,多数省份(市、自治区)处于“不协调”状态。深入探究发现,农户与技术推广部门效率偏低是影响农业废弃物基质化循环利用参与主体协同创新能力的主要原因。(5)农业废弃物循环利用的产业发展模式已具雏形,但产业发展及运行机制尚不完善在现有农业废弃物循环利用模式的基础上,进一步优化与改善,提出农业废弃物循环利用产业发展模式的概念,并详细阐述其运行机制。作者尝试构建了以食用菌产业为核心的农业废弃物基质化循环利用的产业发展模式,并在此基础上详细探讨了农业废弃物基质化循环利用产业发展模式的运行机制,提出构建包括激励机制、动力机制、投入机制与平衡机制的现代农业废弃物基质化循环利用产业发展运行机制。并详细阐述了激励机制、动力机制、投入机制与平衡机制的内涵及运行机理。文章的最后提出了：培育新型产业主体体系,构建完善的经济激励政策体系,逐步完善法律保障体系,打造完善的农村市场、充分发挥市场机制的调节作用,并加强农业废弃物循环利用产业发展的中长期规划,使其发展更具科学性等可操作性较强的政策建议。主要的创新点为：(1)研究视角上的新颖性。有别于传统主体行为绩效评价,本研究立足产业联动视角,探讨农业废弃物基质化循环利用的产业联动绩效及其影响因素,重点在于测度剔除环境变量与随机误差影响下的农户投入产出行为绩效。同时,立足协同创新视角,探究农业废弃物基质化循环利用参与主体的协同创新绩效,研究中涉及农户、技术推广部门、专业协会组织以及产业管理部门等主体,为农业废弃物基质化循环利用向产业化、规模化发展提供数据支撑,研究视角上具有一定的新颖性。(2)研究方法应用上具有一定的创新性。利用动态博弈模型探究农业废弃物基质化循环利用参与主体的博弈均衡,明晰了解参与主体的利益诉求；在农户行为绩效测度中,在剥离了环境变量和随机因素干扰情况下,运用三阶段DEA模型,使对区域农户行为的技术效率分析判断更加客观和准确；首次采用“三化协调”的两步法模型(DEA—HR)测度产业内主体的协同创新绩效,衡量农业废弃物循环利用参与主体的协调发展度,方法应用具有一定的创新性。(3)研究内容上的创新,并获取一些有价值的结论。立足产业联动与协同创新视角,探究农业废弃物循环利用相关主体的行为绩效及协同发展,测度主体协调发展程度,在研究内容上有一定的创新性；最终的研究结论显示,农户技术效率偏低,具有较大的提升空间,规模效率是其主因,相关主体的协同创新能力整体处于“协调且一般有效”状态,且农户与技术推广部门效率偏低是影响农业废弃物基质化循环利用参与主体协同创新能力的主要原因。研究结论在一定程度上为我国农业废弃物循环利用向产业化、规模化发展提供了数据支撑与路径支持。更多还原

【Abstract】 With the scale, intensive and industrial development of modern agriculture, agricultural products keep increasing in quantity, while agricultural waste emissions also tend to grow rapidly, mainly in crop straw and manure. Additionally, together with property right problem and regulation difficulties, agricultural wastes are used relatively extensive. And direct combustion and arbitrary discard even become common ways, a serious threat to China’s rural ecological environment and improvement in agricultural production and farmers’ living conditions. Facing the waste of resources, ecological crisis and other issues caused by agricultural waste, how the country’s performance in terms of agricultural waste recycling? Which level is collaborative innovation ability at between participating subjects? How to efficiently manage agricultural waste? How to achieve industrialization and large-scale development of agricultural waste recycling with efficiency, sustainability and health? Agricultural waste recycling becomes not only an important part of extending modern agricultural industrial chain and promoting the modernization of agriculture, but also the inherent demand of rural ecological civilization construction. It has attracted great attention at all levels of government departments, also has became hot issue of domestic and foreign scholars. Nowadays, there is increasingly strong demand for development of agricultural waste recycling industry and endless practice mode have been put into practice. Thus, to conduct this research, revealing the existing problems in practice modes, plays an important role in further improving its system construction. That’s the background.Agricultural waste, such as manure, crop stalks and others is the topic of the research issue, which is based on sorting of current domestic agricultural waste recycling patterns and problems. It mainly includes the following aspects. Investigate farmers’ agricultural waste recycling approach, willingness and its influencing factors, through field research, to clarify the main direction of current agricultural waste recycling, and further explore farmer’s perceived ecological benefits of agricultural waste recycling and its factors on above basis.Combined with field survey data, build farmer’s input and output index system to evaluate farmer’s conversion efficiency of agricultural waste utilization, and deeply explore the regional differences, factors and other issues of the agricultural waste recycling performance. Agricultural waste recycling and its industrial development is a systematic project involving relevant stakeholders such as farmers, professional associations, technology promotion departments, agribusiness, industrial management departments and so on. Therefore. Through research interviews, surveys, round tables and other ways to get the input and output data of farmers, professional associations, technology promotion departments and industrial management departments. Then construct evaluation index system, to explore collaborative innovation capacity between subjects through mathematical models, and in-depth understand the existing weakness and direction for future efforts. Discuss and elaborate systematically agricultural waste recycling industry development modes and operation mechanism. Analyze the successful experiences of agricultural waste recycling and industrial development in foreign countries and get a clear direction for the sustainable development of China’s agricultural waste recycling and industrial development. The main research work and conclusions are as follows:(1) Domestic agricultural waste recycling varies in modes and routes, existing many problems and failing to achieve large-scale ecological function.After sorting domestic agricultural waste recycling patterns, we obtained the following findings. According to the carrier body, current domestic agricultural waste recycling modes can be divided into two categories, farmers as the mainstay and enterprises as the mainstay. The former one mainly includes traditional "four in one" pattern, straw matrix pattern and base-dyke agriculture mode, autonomously conducted by farmers in rural areas, while the latter one mainly includes "agriculture-industry (fresh beans processing and breeding, agriculture, industry and trade integration model)" mode and "agriculture-tourism" mode, assisted by enterprises to achieve further extension in industry chain. Furthermore, the latter one organically converging the first industry, secondary industry and tertiary industry is the development trend in the future, and needs more attention in the mode design and construction. In the course of field research, we found that farmers got a wide perception range of agricultural waste, and the majority of them believe agricultural waste is with great potential value of resources, if it achieves conversion and utilization. Second, in recent years, with the continuous progress of ecological civilization construction, agricultural waste recycling related concepts have been widely spreaded in countryside with increasing diversified sources of information. Third, agricultural waste recycling has significant ecological effects, but has not yet caused large-scale agro-dimensional environmental improvements. In recent years, with national policy support and farmer’s increasing eco-environmental awareness, agricultural waste recycling practices and patterns continued to emerge, with remarkable results, yet there still exist many problems in China’s current agricultural waste recycling modes, serious impeding the achievement of scale ecological functions, mainly in following areas:First, in the process of agricultural waste recycling and industrial development, it is lack or absent of government functions, yet to play its leading role, mainly in imperfect policy incentives and legal protection system. Second, it needs "new-type farmers" the ones with knowledge, farming technique and management" in agricultural waste recycling and industrial development, however, farmers are mostly in low cultural quality, coupled with the limitations of traditional peasant mentality and rural history and culture, which lead to their limited cognitive resource value of agricultural waste, further hindering its industrial development. Third, the opportunity cost(compared to migrant workers or incineration) and disposal costs (the cost of technology) are relatively high, while lack of funds. Fourth, most current agricultural waste recycling are demonstration projects, having not achieved large-scale promotion. And relatively backward technical level makes it more difficult to achieve industrial development.(2) The choices of treatment and willingness to different types of agricultural waste exist difference and are affected by individual characteristics of the farmers and the external environmentSurvey data from the choices of treatment and willingness to the crop straw,manure and agricultural waste production shows that:the crop straw are mainly used as feed, fertilizer and energy,and for manure (poultry,pork,beef),the most important treatment is used as fertilizer, while the phenomena of agricultural production waste burning,burying or even discard are quite common,only a small percentage are used as industrial raw materials or for energy processing. The vast majority of farmers expressing their willingness to carry out the conversion of agricultural waste utilization,the survey shows that farmers who are willing to actively participate in agricultural waste recycling have a more profound understanding on resource value and potential of agricultural waste, especially its economic and ecological value,but they are failure in deeply involved in agricultural waste recycling due to the influence of external policy environment,family economic power,technology and other factors. Further study find that the major factors affect agricultural waste treatment choice are gender,farming duration,the existence of centralized waste treatment facility in the village,participation in farmers’ cooperative organizations and the distance to the nearest residence fairs or markets;what’t more the farmers gender,participation in the training,existence of centralized waste treatment facilities and the degree of organization have significant positive effect on farmers’ willingness to agricultural waste recycling,however the industry degree has a significant negative impact. So construction of the rural market,infrastructure and rural cooperative organizations play an important role in agricultural waste recycling.In addition,the project research shows that eco-benefits perception on agricultural waste recycling is low,agricultural waste recycling in agriculture dimensional environmental improvement has not triggered large-scale effects;further study found that variables like farmers sex,education,farming life,satisfaction of the highway near by,distance from place of residence to the nearest market or markets.existence of centralized waste treatment facilities and organizations and the degree of organization significantly affect the perceived ecological welfare of farmers.(3) Empirical analysis based on the farmer input-output data show that: farmers agricultural waste recycling performance has a large room for improvement together with large regional differences and is affected by many factorsFarmers is the main carrier of agricultural waste recycling, in this paper three-stage DEA model is applied to measure technical efficiency of farmers agricultural waste recycling, the measurement results indicate that:technical efficiency of agricultural waste substrate utilization is low,there is a big room for improvement, but the lower scale efficiency is the main reason. Regional differences study indicates in a certain degree that factors like a better business environment and the luck have greatly improved agricultural waste recycling performance to some extent, besides the conclusion explains the choice of a three-stage DEA model has certain science and rationality.In addition, project research show that the improved degree of specialization,the degree of organization and infrastructure construction and other aspects conducive to enhancing agricultural waste recycling performance,the promotion of organization degree help to improve purely technical efficiency in the development of industrial substrate process,and improvement in education level of farmers,the degree of specialization and surrounding infrastructure of organization can boost the scale efficiency in mushroom industrial. (4)Information asymmetry and interest demands differences exist in the main participation subjects in agricultural waste recycling and collaborative innovation performance among subjects is low,in a"coordinated and generally effective"state,and the low efficiency in farmers and extension departments become the main causeTaking the core stakeholders of agricultural waste recycling processas an object of analysis, in a dynamic game model,the research has illustrated that:information asymmetry and interest demands differences exist in the main participation body in agricultural waste recycling,which lead to restricted agricultural waste recycling,industrial development and large-scale achievement of ecological functions.Furthermore,we found that collaborative innovation capacity of body participated in agricultural waste substract recycling in16provinces and autonomous regions is as a whole in" Coordination and generally effective " state,while they are in the " inconsistent" state in most provinces (municipalities and autonomous regions).Through deep into regional agricultural waste recycling input-output behavior of participating subjects,we found that households and technology promotion department with low efficiency the main factor affects the ability of collaborative innovation of participating subjects in agricultural waste substract recycling.(5) The industrial development mode of agricultural waste recycling has been taking shape, but industrial development and operation mechanism are not perfectBased on the existing agricultural waste recycling mode, with the further optimization and improvement, we proposed the concept of the agricultural waste recycling industrial development mode and detailed its operation mechanism. We attempted to construct the edible fungus industry as the core of agricultural waste substrate recycling industry development. And based on this, we discussed the operation mechanism of the agricultural waste substrate recycling industrial development mode, then proposed to build a modern agricultural waste substrate recycling industrial development operation mechanism which including the incentive mechanism, dynamic mechanism, investment mechanism and balance mechanism. Then, we expounded the connotation and the operation mechanism of incentive mechanism, dynamic mechanism, investment mechanism and balance mechanism.This paper finally proposed these practical policy suggestions:cultivating new industry main subject system, building the perfect economy incentive policy system, gradually improving the legal system, and creating the perfect rural market, giving full play to the regulating role of market mechanism, strengthening the medium and long-term plans of agricultural waste recycling industry development and making it more scientificThe main innovations are as follows:(1) The novelty of research perspective. Different from the traditional subject behavior performance evaluation, this study is based on the perspective of industrial linkage, and explores the agricultural waste substrate recycling industrial linkage performance and its influencing factors, which focuses on measuring the farmers’ input and output performance eliminating the effects of environmental variables and random error. Meanwhile, based on the perspective of collaborative innovation, this study explores the collaborative innovation performance of main participant bodies in agricultural waste substrate recycling, which including farmers, technical generalization departments, professional associations and property management departments, and provides data support for agricultural waste substrate recycling towards industrialization and scale development. There is a certain novelty in research perspective.(2) There are some innovations in the research methods application. Using dynamic game model to explore the game equilibrium of the main participant bodies in agricultural waste substrate recycling, and the main participation bodies’interest demands can be clearly understood. In the farmers’behavior performance measure, eliminating the effects of environmental variables and random error, we use three stage DEA model to make the technical efficiency analytical judgment of regional household behavior more objective and accurate. This paper firstly adopts the two-step model (DEA-HR) of "three coordinated" to measure the collaborative innovation performance of the main bodies within the industry and the coordinated development degree of main participant bodies in agricultural waste substrate recycling. There are some innovations in the research methods application(3) This paper has innovations on the research content, and gets valuable conclusions. Based on the perspectives of industrial linkage and collaborative innovation, we explore the behavior performance and synergetic development, and measure the degree of development coordination bodies. There is a certain innovation in the research content. The final results show that the farmers’ technical efficiency is low, and it still has larger space to promote, and the scale efficiency is the major cause. The related bodies’collaborative innovation ability is in the "coordinated and effective" state as a whole, and the main reason which influences the main participant bodies’ collaborative innovation ability in the agricultural waste substrate recycling is the low efficiency of farmers and technical generalization departments.更多还原