【作者】 黎红梅；

【导师】 李明贤； Kei Kajisa；

【作者基本信息】 湖南农业大学 ， 农业经济管理， 2009， 博士

【摘要】 我国是水稻生产大国,总产量居世界前列,但由于人口多,经济快速发展对稻谷需求日益增长,在耕地有限的条件下,进一步提高水稻产量已不再是某一个领域的事情,而是全方位,多途径的。在依靠投入要素增加产量受边际效用递减规律的制约;依靠采用农业新技术提高产量又是一个长期过程,因此,提高水稻生产技术效率在2007年爆发全球粮食危机后,受到空前关注。我国水资源人均占有量少,人口多,经济发展快速的国情,加剧了水资源供求矛盾。农业又是用水需求最大的产业,水稻还是所有农作物中对水需求最大的农作物,因此,在灌溉用水有限的条件下,研究农户灌溉行为对水稻生产技术效率的影响显得尤为重要。本研究的总目标是:增强农户灌溉行为对水稻生产技术效率、灌溉水资源利用效果的理解,包括对现行灌溉水资源“准公共产品”制度的理解,即从农户通过对一般生产行为方式自主选择,来分析提高粮食安全生产的政策含义。本研究根据样本地调查,将农户灌溉行为分为三种类型:一是村民组集体水管理。由于这种集体行为统一由村民委员会管理,视其为有组织的集体灌溉行为。二是农户联合小组。农户联合小组由村民组内3-5个农户为达到减少用水成本,提高水资源利用率,保障水稻生产用水需求的共同目的,自发形成的小集体利益集团,视其为自发的集体灌溉行为。三是农户在水稻生产过程中是否运用节水灌溉技术,这是农户的一种生产行为选择,也是农户灌溉行为方式的选择,视其为个体灌溉行为。本研究基于湖北漳河灌区2006-2007年村民组和农户调查的数据库,运用随机前沿分析方法(SFA)分别对三种灌溉行为对农户水稻生产技术效率的影响效应进行了实证研究。在实证分析中,运用普通最小二乘法(OLS)回归分析了影响村民组集体水管理的因素以及影响农户运用干湿交替(AWD)节水灌溉技术的因素;运用Probit回归分析了影响农户联合小组形成的因素。得到的实证结果如下:(1)高社会资本的村民组能提高村民组集体水管理成功的可能性。因为关系紧密的人们相互间能规避“搭便车”的投机行为,有助于制定涉及大家共同利益的规章制度,并减少这些规章制度贯彻执行的监督成本。(2)在种植农作物种类同质性高的村民组,成功的集体水管理更容易实施。如果一些农户种植不同农作物或土地荒芜,在农户间协调水分配将更困难,因为不同农作物对灌溉水量的要求不同,导致用水量的计量难度加大;还因为不同农作物对灌溉水的需求时间不一致,增加了集体水管理成本。而村民组种植农作物的高同质性,将减少农户间协调水分配的交易成本。(3)具有高社会资本的村民组倾向不形成农户联合小组。当村民组具有高社会资本,农户间相互监督变得容易,能规避农户过度灌溉行为,在这种情况下,农户就没有必要形成联合小组;村民组的灌溉水源丰富时,农户不倾向形成联合小组。如果村民组具有丰富的灌溉水源,有些水源是收费的,有些当地水源是免费的,在这种客观条件下,农户联合小组形成就很困难。因为一些农户灌溉用水取自当地免费水源的可能性就越高,这些农户就不愿意形成联合小组和联合小组内其他成员一起分担协调成本和灌溉用水费;只有当村民组水源有限且社会资本低的时候,农户联合小组才会倾向形成。因为村民组灌溉水源丰富是限制农户形成联合小组的客观条件,而村民组社会资本的高低体现了农户形成联合小组的主观意愿。只有在具有很强的主观意愿,客观条件又允许的情况下,农户联合小组才会形成。当村民组的社会资本低的时候,农户形成联合小组的愿望越强,同时,村民组灌溉水源少,客观上又促使农户联合小组的形成。(4)村民组成功的集体水管理会提高水稻生产技术效率。因为灌溉是影响水稻生长和产量的一个重要因素。如果灌溉用水在水稻生产的关键阶段(如移栽,灌浆)缺乏或者不充分,则会降低水稻产量。成功的集体水管理有助于水稻在生产需水的关键环节及时的获得充足的灌溉用水。研究结果还发现样本地农户水稻生产技术效率平均为80%,说明本研究样本地农户水稻生产技术效率还有20%提高的潜在空间。(5)在社会资本低且有丰富灌溉水源渠道的村民组,农户联合小组不能够形成,就不能规避农户的过度灌溉行为,这样,农户倾向不运用干湿交替节水灌溉技术(AWD)。研究结果还发现无论农户联合小组是否形成,都能提高农户运用干湿交替节水灌溉技术(AWD)的可能性。(6)农户联合小组形成对水稻生产技术效率的影响具有正的效应。(7)运用AWD节水灌溉技术能提高水稻生产的技术效率,表明节水灌溉在样本地,不仅能达到节约用水的目的,还对提高水稻生产的技术效率,提高水稻产量起到了十分重要的作用。根据实证研究结果,本研究认为政府积极积累社会资本,提高村民组集体灌溉用水管理能力;鼓励农户联合小组适宜发展,提高农户自主组织,治理能力;重视节水灌溉技术的研发,积极推广节水灌溉技术的普及是提高水稻生产技术效率,保障粮食安全生产,节约灌溉用水资源的重要途径。更多还原

【Abstract】 China is the largest rice producer in the world, ranking the top list in total rice output. However, the increasing demand for rice due to income and population growth needs to further increase rice output depending on the efforts in many fields under limited arable land.Input intensification has already reached the point where a further increase in input investment will not be profitable. Also, depending on new technologies to increase output is a long-term process. Hence, to improve the technical efficiency of rice production has been highly concerned after the global food crisis in 2007. Rice is the largest crop for water demand among all crops. However China’s situation, such as lower occupying of water resources, huge amounts of population and rapid economic development, is exacerbating the contradiction of supply and demand of water resources. Thus, in conditions of limited irrigation water, to study the impact of farmers’ irrigation behavior on technical efficiency of rice production is a very interesting topic.The goal of this paper is to increase the scientific understanding of the impact of farmers’ irrigation behavior on technical efficiency of rice production and the effect on irrigation water use. That is, based on farmers choosing in the general behaviors of production by themselves, this study will provide policy implications of improving food safety in production.According to field survey, this study divided farmers’ irrigation behaviors into three types: The first is collective water management by village group. One may consider this type as organized collective irrigation due to its unification management by the village committee. The second type is sub-group. To reduce irrigation cost and increase the utilization of water resources, and to protect rice production for water needs, this sub-group is spontaneously formed by three to five farmers. It may be considered as spontaneous collective irrigation. The third is individual irrigation. It described whether farmers adopt water-saving irrigation depends on farmers’ production behavior choice. This is an irrigation behavior choice by farmers themselves.In this study, based on a group- and household-level data set collected in 2006-2007 in the Zhanghe Irrigation System, Hubei, empirical studies with stochastic frontier analysis (SFA) were conducted to analyze the impacts of the three irrigation behaviors on technology efficiency in rice production. Ordinary least squares (OLS) was applied in this paper to regress between the factors of collective water management and the factors of alternating wet and dry (AWD) water-saving irrigation techniques. Probit model was applied to analyze the factors affecting the sub-group formation. The results showed as followings:(1) High social capital in a water user group can enhance the probability of successful collective water management. The more closely people are related to each other, the less each of them try to do opportunistic behavior. This case helps to construct the rules and regulations related to water management, and also assist farmers to reduce the monitoring cost of implementing these rules and regulations.(2) The water user group with high homogeneity in crop varieties cultivated becomes easier to operate a successful collective water management. If some fanners cultivate different crops or leave their field fallow, it is more difficult to coordinate water distribution among farmers. Because different crops have different water demands in amounts and times, which make the measurements of the quantity of water irrigated difficult, and make the cost of collective water management increased. High homogeneity of cultivated crop varieties can lower transaction and communication costs among fanners on the use of irrigation water.(3) A water user group with high social capital tends not to form a sub-group. Higher social capital can prevent farmers from overusing irrigation water. In this case fanners need not to take the cost of sub-group formation. When the water sources in a water user group become more, farmers in the group tend not to form a sub-group. If many varieties of water sources exist in a group, it is difficult for the farmers to form a sub-group because some farmers in the group have higher possibility to get different water sources and many of local water sources are almost free. Hence, farmers with many varieties of water sources do not want to join a sub-group and share the cost of water fee. On the contrary, only farmers in a group have few types of water sources and with lower social capital tend to form a sub-group. Because the existences of many varieties of water sources physically make the formation of sub-group impossible regardless of the levels of social capital. A sub-group is only formed when farmers need to do so and can do so.(4) A successful collective water management in a water user group will result in higher technical efficiency in rice production because rice yield will be decreased if irrigation water is inadequate at the critical stages of rice cultivation. A successful collective water management enables farmers to obtain sufficient irrigation water at the proper time during rice growth. This study also shows that the farm-specific technical efficiency has got a mean of 80% and there is a scope for increasing rice production by 20%.(5) If farmers in the group of low social capital are physically constrained and thus fail to form a sub-group, overuse of water (low AWD score) is more likely. Such failure occurs when the existence of many water sources physically prevents these farmers to form a sub-group. We also found that when social capital is high, farmers adopt AWD practice even without forming a sub-group.(6) The formation of sup-group has a positive effect on technical efficiency of rice production.(7) The adoption of AWD practice can increase technical efficiency of rice production, showing that the water-saving irrigation is not only to achieve the purpose of water conservation, but also to improve the technical efficiency of rice production. As a result, it has played a very important role to increase rice output.According to the results of this study, the Government should actively accumulate social capital, to improve the ability of collective water management; the Government should encourage the suitable development of sub-group, to improve the ability of own organizations and governance by farmers; the Government should emphasis on research and development of water-saving irrigation technologies, and actively promote the technologies in rice production. It is an important way to improve the technical efficiency of rice production, to ensure food security, and to save irrigation water resources.更多还原