【作者】 洪建国；

【导师】 杨钢桥；

【作者基本信息】 华中农业大学 ， 土地资源管理， 2010， 博士

【摘要】 农业现代化的历史潮流不可阻挡,而农业机械化是农业现代化的重要内容和主要标志之一,可以说,没有机械化就没有现代化。欧美主要发达国家均在20世纪40～50年代基本实现农业机械化,50年代以后进入全面农业机械化阶段。人多地少的亚洲发达国家日本与韩国也分别在20世纪60年代、80年代基本实现农业机械化,并分别于70年代、80年代后进入全面农业机械化阶段。我国农业机械化当前正处于从初级阶段向中级阶段前进的跨越期。在我国农机装备购置费构成中农民个人投入比例已达到90%以上,农户已经成为农机需求与农机购置投资的第一主体。从农户的视角研究农业机械化问题将是我国农业机械化研究课题中重要的、不可缺少的一部分。本研究的目标主要有三个：一是在现有农户行为理论的基础上,结合我国农户面临的经济环境,构建一个适于分析我国农户行为的理论模型；二是基于构建的农户行为模型,对农户使用农机行为进行理论分析,弄清农户是否使用农机及以何种方式使用农机的行为逻辑；三是采用农户调查数据,对农户使用农机行为的理论分析结论进行实证。全文共分为七章,各章主要内容简介如下。第1章：前言。主要介绍了论文的选题背景与意义、研究目标、研究内容、研究方法及论文的创新。第2章：文献综述。本章将农户行为理论分形式主义、实体主义、现实主义三个学派进行了综述,分析讨论了农户行为模型的实质,阐述了一个简化的农户行为模型,然后对国内外农户使用农机的研究文献进行了评述。第3章：农户行为模型构建。本章主要构建了一个适于分析我国农户行为的理论模型。本章第1节通过分析农户的效用函数,研究了农户的消费行为。研究认为：农户消费的两个基本要素是购买消费品的收入与享受消费品的时间；当前我国农户的效用函数宜采用替代弹性大于1的CES效用函数；农户效用函数中参数的大小反映了农户对收入与闲暇的偏好程度、以及农户时间配置对劳动报酬率变动的敏感程度。本章第2节采用劳动报酬曲线分析了农户的生产行为。研究认为：农户生产行为的直接目的是获得收入；农户劳动报酬曲线反映了农户劳动时间与农户收入之间的关系,因此劳动报酬曲线是描述农户生产行为的有效工具；农户生产方式是农户农业生产方式与非农生产方式的组合,由于特定生产方式对农户时间投入有特定的要求,而农户可选择的生产方式是有限、离散的,因此农户的劳动时间选择也是离散的；农户在生产方式i下的劳动报酬曲线可描述为Yi=Tfi·rfi+Twi·rwi+Yv,(i∈I={1,…,n})。本章第3节通过分析农户消费行为与生产行为的关系,构建了农户行为模型。研究认为：农户行为的最终目标是追求消费效用最大化,约束条件是农户生产环境及农户总的可用时间。农户行为模型的代数形式可表述为：第4章：农户使用农机行为的一般分析。本章主要对我国农户是否使用农机、及以何种方式使用农机的行为逻辑进行了理论分析。本章第1节分析了农户使用农机对农户生产的影响,研究认为：农户使用农机对农业生产的影响最终可归结为两方面,一是影响农户的农业劳动时间,二是影响农业收入；农户通过使用农机节省农业劳动时间,可将农户从农业劳动中“解放”出来,以便更好地寻求非农职业。本章第2节通过提出农户使用农机容忍值的概念,分析了农户是否使用农机的行为逻辑。研究认为：农户使用农机行为属于农户生产行为的一个具体例子,因此农户使用农机行为可用本文所构建的农户行为模型来分析；将农户使用农机后能接受的农业收入最大减少量定义为农户使用农机的容忍值TV,则农户是否使用农机取决于使用农机后实际农业收入变化量ΔYf与农户使用农机容忍值TV的比较,如果-△Yf>TV,则农户不使用农机为较优选择,如果-△Yf<TV,则农户使用农机为较优选择。本章第3节分析了农户是否使用农机的影响因素,研究认为农户使用农机行为的影响因素可概括为四方面：农户非农就业环境、农户初始经济状况、农机作业效果和农产品市场状况。本章第4节通过提出农机租／购规模的概念,分析了农户选择农机使用方式的行为逻辑。研究认为：农机租赁市场存在的条件是存在一定数量的耕地面积小于农机租／购临界规模的农户；如果不存在农机租赁市场,农户如果使用农机则只能自己购买使用；当存在农机租赁市场,且农户耕地面积小于农机的租／购临界规模时,如果农机租赁供给市场还未饱和,农户又有购买农机的资金及使用农机的相关技术,则农户可以购买农机出租兼自用,如果农机租赁供给市场已经饱和,或者农户缺少购买农机的资金及使用农机的相关技术,则农户只能租用农机；当存在农机租赁市场,且农户耕地面积大于农机的租／购临界规模时,如果农户具备购买农机的资金及使用农机的相关技术,则农户会购买使用农机,如果农户缺少购买农机的资金及使用农机的相关技术,则农户只能租用农机。第5章：不同类型农户使用农机行为分析。本章根据农户是否充分就业及是否从事非农劳动将农户分为四类：未充分就业纯农户、充分就业纯农户、未充分就业兼业农户、充分就业兼业农户,然后根据不同类型农户自身特征及其面临经济环境的差异,分析了不同类型农户使用农机行为。研究认为：总的来说,充分就业纯农户使用农机的意愿最高,充分就业兼业农户使用农机的意愿较高,而未充分就业纯农户与未充分就业兼业农户Ⅰ使用农机的意愿较低,未充分就业兼业农户Ⅱ使用农机的意愿随着非农劳动时间的增加而增加；对未充分就业纯农户而言,其农机化的突破点是改善其生产条件,通过增加其耕地面积,或者改善其非农就业环境,使未充分就业纯农户向充分就业纯农户或充分就业兼业农户转化；对未充分就业兼业农户Ⅰ而言,由于其有部分非农收入,此类型农户农机化的突破点可着重在改善其非农就业环境,使其可以获得更多的非农劳动机会,进而向充分就业兼业农户转化；对未充分就业兼业农户Ⅱ而言,其农机化的突破点,是继续改善其非农就业环境,使其可以获得更多的非农劳动机会,直至达到充分就业。第6章：农户使用农机行为的实证分析。本章利用4省18个县(市、区)的1340份农户调查数据,采用Logistic回归模型等统计方法对农户使用农机行为进行了实证分析。研究认为：农户耕地面积与非农劳动时间对农户使用农机概率偏作用较大,农户意愿农业、非农劳动报酬率的偏作用相对较小；通过引入地形虚拟变量,分析得到平原地区农户使用农机概率平均比丘陵地区高65.50%,且丘陵地区农户使用农机行为对自变量的变化较敏感；通过引入农户类型虚拟变量,分析得到充分就业纯农户使用农机概率最高(平均为94.28%),充分就业兼业农户使用农机概率较高(平均为80.95%),而未充分就业纯农户与未充分就业兼业农户使用农机概率较低(分别平均为56.36%与59.17%)；不同类型农户使用农机行为对自变量变化的敏感程度排序为,充分就业纯农户<充分就业兼业农户<未充分就业纯农户～未充分就业兼业农户。第7章：结论与讨论。本章主要对本文的研究内容进行了总结,提炼了本研究的主要观点,提出了相应的政策建议,并讨论了有待进一步研究的问题。更多还原

【Abstract】 The historical trend of agricultural modernization is irreversible, and agricultural mechanization is one of the importance content and the main hallmark of agricultural modernization. So to speak, without agricultural mechanization there would be no agricultural modernization. Most occident have basically achieved agricultural mechanization in 1940s to 1950s, and they have entered in the stage of comprehensive agricultural mechanization since the 1950s. Japan and Korea, which are densely populated Asian country, also have basically achieved agricultural mechanization in 1960s and 1980s, and they have entered in the stage of comprehensive agricultural mechanization since 1970s and 1980s. At present China’s agricultural mechanization is in a transition phase, that is from the primary stage to the middle stage. The proportion of private investment in total farm machinery investment was over 90%, farm households have become the most principal unit of using farm machinery. Studying agricultural mechanization from the perspective of farmer households will be an important and indispensable part for research topics of our country’s agricultural mechanization.There are three aims in this study:The first one is that, according to households behavior theory and the economic environment farmer households faced, we construct a theoretical model which is suitable for analyzing farmer households behavior in our country. The second aim is to carry out a theoretical analysis for farm households using farm machinery behavior, based on the households behavior model we constructed, and to reveal the behavioral logic that whether households use farm machinery and how to use it. The last one is to demonstrate the theoretical analysis conclusion of farm households using farm machinery behavior by survey data of farm households.This thesis is divided into seven chapters. The contents of each chapter will be introduced as follows.Chapter 1:Introduction. This chapter introduces the background and significance, research objectives, research content, research methods and innovation of the papers.Chapter 2:Literature Review. This chapter will commentate households behavior theory by dividing it into three sect:formalism, noumenalism and realism, and analyze the essence of households behavior theory by describing a generalized households behavior theory. And then, this chapter summarized domestic and foreign literature of farmer using farm machineryChapter 3:Constructing farmer households behavior model. This chapter constructs a theoretical model which is suitable for analyzing farmer households behavior in our country. Section 1 of this chapter studys consumer behavior of farmer households by analyzing farmer households utility function. Study suggests that:Income and leisure time are two basic elements which farmer households consume; CES utility function with elasticity of substitution greater than 1 is suitably to describe our county’s farmer households utility function; The size parameters of farmer households utility function reflects the households preference to income and leisure, and the households time allocation sensitivity to the changes of labor remuneration rate. Section 2 of this chapter studys farmer households production behavior by using labor remuneration curve. Study suggests that:The direct purpose of households production behavior is to obtain income; Labor remuneration curve is a effective tool to describe households production behavior, because of labor remuneration curve reflecting the relationship between households work time and households income; Households production mode is composed by agricultural production mode and non-agricultural production mode; Choice of households work time is discrete, because specific production mode needs relatively fixed work time input, and choice of households production mode is discrete; Labor remuneration curve of households production mode i can be described as Yi= Tfi·rfi+Twi·rwi+Yv, (i∈=I={1，…,n). Section 3 of this chapter constructs the farmer households behavior model by analyzing the relationship between households consumer behavior and households production behavior. Study suggests that:the ultimate objective of households behavior is to pursue consumer utility maximization, constraint condition of utility maximization is households production environment and the households total available time. The algebraic form of households behavior model can be expressed as:Chapter 4:The general analysis on behavior of farmer households using agricultrual machinery. This chapter reveals the behavioral logic that whether households use farm machinery and how to use it. Section 1 of this chapter analysis the impacts of farmer households using farm machinery on households production. Study suggests that:the impacts of farmer households using farm machinery on households agricultural production can be summarized in two point, changing the households agricultural work time and changing households agricultural income; Using farm machinery can release famer from agricultural work by shortening agricultural work time, this may make farmer getting more non-agricultural work opportunities. Section 2 of this chapter analysis the behavioral logic that whether households use farm machinery. Study suggests that: behavior of households using farm machinery acts as a specific example of households production behavior, which can be analyzed by using the households behavior model constructed above; Tolerance value(abbreviation TV) is defined that the maximum reduction of farm income which households can accept after using farm machinery; the behavior of households weather using farm machinery depends on the comparing the size betweenΔYf (The real change of agricultural income after using farm machinery) and TV; If-ΔYf>TV, the choice of households nonuse farm machinery is the optimum, ifΔYf<TV, the choice of households using farm machinery is the optimum. Section 3 of this chapter analysis the influence factors whether households use farm machinery. Study suggests that:this influence factors can be summarized in four aspect, non-agricultural employment environment households faced, households’initial economic conditions, effects of using farm machinery, agricultural market conditions. Section 4 of this chapter analysis the behavioral logic that households how to use farm machinery by proposing the concept of farm machinery rent/purchase threshold scale. Study suggests that:Conditions of farm machinery rental market occuring is that there is a certain amount households whose cultivated land area is less than farm machinery rent/purchase threshold scale; Households can only purchase machinery if households want to use machinery, when farm machinery rental market is missing; When farm machinery rental market is existing and households’cultivated land are less than farm machinery rent/purchase threshold scale, if the supply of farm machinery rental market has not yet saturated and households own funds and skill to purchase and manipulate farm machinery, households can purchase farm machinery to lease and self-use, if the supply of farm machinery rental market has saturated or households are short of funds and skills, then households can only rent farm machinery; When farm machinery rental market is existing and households’cultivated land are greater than farm machinery rent/purchase threshold scale, if households own funds and skills, households can purchase farm machinery to self-use, if households are short of funds and skills, then households can only rent farm machinery.Chapter 5:The study on behavior of different types households using farm machinery. According to that whether households are full employment and whether households are engaged in non-agricultural labor, This chapter firstly divides households into four groups: underemployed pure household, full employment pure household, underemployed part-time household, full employment part-time household. Then, this chapter analyzes the behavior of different types households using farm machinery, according to the own characteristics of different types households and the different economic environment households faced. Study suggests that:In general, the willingness of full employment pure household using farm machinery is highest, the willingness of full employment part-time household using farm machinery is higher, the willingness of underemployed pure household and underemployed part-time householdⅠusing farm machinery is lower, the willingness of underemployed part-time householdⅡusing farm machinery will increase along with non-agricultural work time growth; The breakthrough of agricultural mechanization to underemployed pure household is improving their production conditions, by increasing their land area, or improving their non-agricultural employment environment, to make underemployed pure household became full employment pure household or full employment part-time household; The breakthrough of agricultural mechanization to underemployed part-time householdⅠcould focus on improving their non-agricultural employment environment, because they have some non-agricultural income, to make underemployed part-time householdⅠbecame full employment part-time household; The breakthrough of agricultural mechanization to underemployed part-time household His continuously improving its non-agricultural employment environment, to make them get more non-agricultural work opportunities, until achieving full employment.Chapter 6:the empirical analysis on behavior of farmer households using agricultrual machinery. This chapter makes a empirical analysis on behavior of farmer households using agricultrual machinery, by using 1340 copies households survey data from 18 counties in 4 provinces, and statistical methods such as logistic regression model. Study suggests that:The partial effect of households cultivated area and non-agricultrual work time to the probability of using farm machinery is comparatively large, the partial effect of households willing agricultural and non-agricultural labor remuneration rate is relatively small; By introducing a dummy variable about the terrain, the results is that the probability of plain region households using farm machinery is higher 65.50% than hilly region households. and behavior of hilly region households using farm machinery is more sensitive to the change of independent variables; By introducing the dummy variables about household type, the results is that the probability of full employment pure household using farm machinery is highest(average 94.28%), the probability of full employment part-time household using farm machinery is higher(average 80.95%), the probability of underemployed pure household and underemployed part-time household using farm machinery is lower(average 56.36% and 59.17%); Behavioral sensitivity ranking of different types households using farm machinery is that:full employment pure household<full employment part-time household<underemployed pure household-underemployed part-time household.Chapter 7:Conclusion and discussion. This chapter summarizes the Research content of this article, refines the main point of this study, proposes Corresponding policy recommendations, and discusses the issue of further study.更多还原