基于农户视角的农村公共产品需求研究

【作者】 刘小锋；

【导师】 林坚；

【作者基本信息】 浙江大学 ， 农业经济管理， 2009， 博士

【摘要】 农村公共产品的有效供给,对一国农业生产和农民生活水平提高有着显著促进作用。纵观我国农村公共产品供给的发展,在历经曲折之后取得了令人瞩目的成就,但与此同时,也存在着供给不足、供给结构不合理、供给效率不高等问题。在党和国家接连出台一系列支农、惠农政策,并不断加大农业、农村发展投入力度的大背景下,究竟应该为农民“提供哪些公共产品”、“提供多少公共产品”、“先提供什么后提供什么公共产品”?是当前摆在全国各级政府、特别是基层政府面前的重大现实问题。而这些问题能否解决以及如何有效解决,不仅取决于未来农村公共产品供给的数量与质量,更取决于农村公共产品的主要供给者——政府对农民真实需求的了解、把握与满足程度。基于此,本文试图从农户视角出发来研究农村公共产品需求问题。相对于私人产品而言,农村公共产品无法通过市场价格来反映农户的需求信息,因而也就无法对供给形成激励或约束。这在理论上引出的问题是:如何厘清信息非对称条件下农村公共产品供给与需求关系?如何识别农户对公共产品的需求及需求强度、其影响因素是什么?农村公共产品需求演进路径及层次如何?农户对公共产品的需求又是通过何种制度影响供给并加以表达的?本文的主要任务就是借鉴国内外相关研究成果,运用效用理论、公共产品理论、态度——行为理论、信息非对称理论和需要层次理论等,对上述问题进行一一解答,旨在进一步增进对农村公共产品需求的理解,并为政府有的放矢地供给农村公共产品提供参考和依据。遵循上述问题,笔者首先探讨了信息非对称条件下农村公共产品供给与需求关系,建立了农村公共产品供需关系均衡模型,从农户、政府、社区变迁与农村公共产品供给制度等方面入手,分析了影响农村公共产品供需关系均衡的因素;其次是选择农村生活污水处理设施这一公共产品,对福建省32个行政村305户农户进行了深入调研,采用单向递增多边界封闭式二分选择法识别了农户对该公共产品的需求及需求强度,综合运用因子分析方法、多元线性回归方法、二项分类与有序多分类Logistic回归模型,揭示了影响农户需求及需求强度的关键因素;最后基于我国农村居民生活消费历史统计数据与福建省农户调查数据的分析与启示,辅之以VAR方法以及层次聚类分析方法,深入地剖析了农村公共产品需求演化路径及层次。主要研究结果如下:(1)农村公共产品的供给方(指政府)和需求方(指农户)之间存在着需求信息非对称。在需求信息非对称条件下,农村公共产品供需关系均衡取决于两个条件:农户从公共产品消费中获取的效用与为此承担的生产成本之间的比较、政府预期农户从公共产品消费中获取的均匀期望效用与为农户提供公共产品能够获得的成本补偿之间的比较。前者主要由政府期望获得的成本补偿率决定,后者主要由农户基于成本—效用考量之后的最优反应行动决定。受诸种因素影响,农户和政府行为双方博弈的结果经常会导致农村公共产品供需关系失衡。(2)多边界单向递增封闭式二分式选择问卷格式是获取农户对生活污水处理设施的支付意愿数值范围,从而识别农户需求与需求强度的有效途径;通过对农户支付意愿数值范围统计分析,发现多数农户对该公共产品存在有需求、个体农户需求强度存在较大差异;进一步地,对影响农户需求及需求强度因素的模型分析结果表明,农户需求与需求强度要受农户的个人和家庭特征如家庭收入、受教育年限,农户所属村庄特征如是否环境敏感村、是否地处城镇郊区,制度特征如是否制定环境卫生管理制度以及农户态度等关键因素的影响,但上述这些因素对农户需求与需求强度的影响程度并非完全一致。本文的这一结果说明了农户对公共产品的需求行为是一个复杂的经济行为过程,它不仅要受外在因素与环境因素的影响,还要受农户自身心理因素的影响。(3)农户群体对公共产品需求演化路径表现为:对农田水利等基础性公共产品需求出现一定程度下降,对交通通讯、医疗保健、农业科技等公共产品需求呈现快速增长趋势,对文教娱乐等公共产品需求开始显性化。同时,受农业内外部因素的影响,农户群体对公共产品的需求容易出现反复或徘徊;不同农户个体对公共产品需求演化层次表现为沿着追求维持基本生存→促进自身发展→实现自我完善的公共产品这一次序转化,具有明显的层级性;多数农户对维持基本生存的公共产品仍有着较高需求、对促进自身发展的公共产品的需求增长较为明显,部分农户对实现自我完善的公共产品有着显性需求。从上述研究结果出发,笔者提出了应构建一个以农户需求为导向的农村公共产品供给制度,并指出了这一制度创新的方向是:建立有效衔接供求的农村公共产品供给决策机制,完善农村公共产品的资金筹集制度、实现农村公共产品供给主体多元化,建立动态、灵活的农村公共产品公共财政资金分配制度,改革和完善农村公共产品投入机制和财政转移支付制度。本文的主题是,基于农户的视角,在农村公共产品需求框架内运用相关理论、方法对前述4个问题进行解答,以期增进人们对如何实现农村公共产品供求协调发展的理解。立足农户视角系统研究我国农村公共产品需求,是一个新的研究领域,尚有很大的空间可供拓展,而这依赖于学者们的不懈探索。更多还原

【Abstract】 The agriculture sector and the rural households’ living standard benefits most from effective supply of the rural public goods.The development of the public goods supply which has been totally observed has gained compelling achievements while it has been gone through twists and turns,but there still exits the supply problems such as insufficiency,irrational structure and inefficiency.Now The Chinese State has promulgated a series of policies which have a significant role in the agriculture、the rural areas and the rural households,and has increased capital investment.In this background,"What should public goods be supplied"、"how many should public goods be supplied" and "What public goods should be supplied first" are important problems that all sorts and conditions of governments should face.These problems whether can be solved or not and how they can be effectively solved will not only be up to the quantity and quality of public goods supply in the future in rural areas,but also depend on the main provider of public goods - the governments can realize,hold and meet the demands of the rural households.So this article attempts to research on the rural pubic goods demand based on the rural households.Unlike the private goods,the demand for rural public goods can not be reflected through market prices,so it cannot form the incentives or constraints for the providers,which the question derive from in theory are as follows:How to clarify the relationship between the rural public goods supply and demand under the conditions of asymmetric information? how to identify the rural households demand for public goods and the demand strength,what factors to influence them? the path and Hierarchy Process of rural public goods demand how to evolve? the rural households demands for public goods how to be expressed and through what supply system to affect supply? The main task of this paper is to draw on relevant research results at home and abroad,to use utility theory,public goods theory,the attitude - behavior theory,asymmetric information theory and necessary level theory to answer the above-mentioned issues,aimed at enhancing the understanding of the public goods demand,and provide consultants,which would be useful for the governments to supply effectively.Along the above-mentioned problem,the author first discusses the relationship between rural public goods supply and demand under the conditions of asymmetric information,set up the rural public goods supply and demand equilibrium model, based on the rural househoulds、government、community change and the supply system,analyzes the factors which affect the rural public goods supply and demand equilibrium.Second by the selection of rural life sewage treatment facilities that is a representative public good,surveyes 305 rural households deeply in Fujian Province 32 administrative village and ues closed-ended contingent valuation to identify the rural households demand and demand strength,uses factor analysis、multivariable linear regression model and Logistic regression model to find the factors which affect the demand and demand strength.Last based on the rural households’ consumption statistics and Fujian rural households survey,complemented by VAR methods and hierarchical clustering analysis,analyses the demand evolution path and hierarchy.The main results expressed as follows:(1) The asymmetric information of demand in rural public goods exits objectively.Under the condition of asymmetric information,the supply and demand equilibrium of the rural public goods conditions rely on two conditions as follows:the comparison of the utility the rural households obtain from the consumption of public goods and the cost he should pay;the comparison of expects the uniform expectance utility the rural households obtain and he can get compensation from the households. The former mainly decided by the cost compensation the government expect to have, the latter mainly decided by the rural households’ optimal response which based on the cost - income consideration,affected by varies of factors,the result between the rural households and the government’ game actions often lead to the imbalance of supply and demand.(2) Based on the survey,closed-ended contingent valuation can observe the rural households’ WTP effectively.Rely on the numerical range of the WTP,we can identify the rural households demand and demand strength.Through the statistical analysis of numerical range,found that the majority of the rural households demand of public goods,as well as their demand strength has biggish difference.The model results show that the rural households demand and their demand strength is mainly affected by the individual and family characteristics such as family income, educational level,villages whether or not to have environmentally sensitive features、whether or not to belong to urban suburbs、the system and the rural households attitude.The results suggest that rural households demand for public goods is a complex process of economic behavior,it is not only affected by the circumstance and the system,but also by the psychological factor such as the rural households attitude.(3) the demand evolution path behaves as follows:demand for public goods such as irrigation and water conservancy and other infrastructure declines to some extent, demand for transportation and communication、health care and agricultural science and technology goes up quickly,demand for public goods such as cultural and educational emerges.At the same time,by the affection from the internal and external surroundings of agriculture,the rural households demand for public goods is prone to wandering to and fro.the demand evolution Hierarchy Process is down the pursuit of maintaining for basic survival→promoting self-development→self-improvement. the majority of farmers are still in a high demand for basic survival public goods;The growth in demand for self-development public goods increase obviously;the demand for self-improvement public goods appears.Starting from the results of the study,the author puts forward the direction of innovation for the supply system which should be based on the rural households demand is:the establishment of an effective convergence of the public goods supply decision-making mechanism;improvement the rural public goods financing system; the establishment of dynamic and flexible financial resources distribution system; reform and perfecting rural public goods input mechanism and financial transfer payment system.The subject of the article is based on the perspective of the rural households, within the framework of rural public goods demand in rural areas the use of relevant theoretical,use correlative theories to solve the foregoing four questions,aiming at enhancing the understanding of harmonizing development in rural public goods supply and demand,in rural areas achieve coordinated development of the of supply and demand.Research on rural public goods demand which is based on the perspective of the rural households is a new field,which has rather large space deploitation and rely on untiring exploration.更多还原