【作者】 宋燕平；

【导师】 周元；

【作者基本信息】 中国科学技术大学 ， 科技史， 2010， 博士

【摘要】 新型农民合作组织是我国改革开放后出现的在家庭承包经营基础上,农民自愿联合的互助性经济组织。它作为解决我国农业生产中的小规模家庭经营与社会化大生产之间矛盾的一个有效途径,在提高农业生产力和农民收入、推广农业科学技术、建设社会主义新农村和发展现代农业等方面发挥着巨大作用。目前关于我国新型农民合作组织的研究主要是针对其制度和管理方面,对于技术因素在我国新型农民合作组织的历史作用、现状和运行状况的研究较少。本文在我国新型农民合作组织的相关研究和技术吸收能力的相关理论、观点的基础上,提出我国新型农民合作组织技术吸收能力的理论分析框架。总结我国新型农民合作组织三十年发展历程的技术吸收能力特征,并根据其特征和我国政府的相关政策变迁等将之分为三个阶段。通过对安徽省20个新型农民合作组织和其中247位农民的实证调查,研究其技术吸收能力的现状和影响因素。提出我国新型农民合作组织技术吸收能力的评价指标和方法,并对安徽省78个新型农民合作组织技术吸收能力进行评价。最后提出提高我国新型农民合作组织技术吸收能力的对策。通过上述研究,为各级政府制定提高我国新型农民合作组织技术吸收能力、促进我国新型农民合作组织健康快速发展的相应政策提供一定的参考。全文分为八章,主要内容如下：本文首先论述研究我国新型农民合作组织技术吸收能力的重要性,总结我国新型农民合作组织技术吸收能力的相关研究,提出本文的研究方法和研究框架。阐述了对开展我国新型农民合作组织技术吸收能力研究有借鉴作用的理论及观点,它们包括技术吸收能力理论、认知理论、技术扩散理论、嵌入性理论、组织学习理论、农业服务与技术创新之间的观点、农民知识水平与技术吸收能力之间的观点。在此基础上,分析了这些理论及观点对本文开展研究的启示作用。通过以上理论和观点的启示,本文提出研究我国新型农民合作组织技术吸收能力的理论分析框架,该分析框架包括我国新型农民合作组织技术吸收能力的构成要素、结构、增长机理以及影响因素。明确我国新型农民合作组织技术吸收能力的构成要素为人员、物质和组织三要素；其结构由技术的获取、同化和应用三种能力构成；其增长过程是农民合作组织通过开展科技活动获取资源的过程；其影响因素有内部、外部和关联因素。在我国新型农民合作组织技术吸收能力的理论分析框架指导下,总结我国新型农民合作组织三十年发展历程中不同阶段的技术吸收能力特征,结合其组织特征和政府相关政策特征,将我国新型农民合作组织的发展历程分为三个阶段,分别为农民合作组织起步阶段(1978--1992年)、转型阶段(1993-2001年)和加快发展阶段(2002年以后)。选择在全国新型农民合作组织的发展规模及水平上有一定代表性的安徽省为调查对象,研究其技术吸收能力现状及影响因素。通过对安徽省20个新型农民合作组织和其中247位农民的调研,分析结果显示新型农民合作组织提高技术吸收能力的主动性很强；农民合作组织中理事以上的成员知识水平较高,而一般农民知识水平较低；合作组织的技术能人对普通会员在技术获取、同化和应用中影响较大；外部环境对农民合作组织的技术和服务的支持力度还较低。提出评价我国新型农民合作组织技术吸收能力的人员、物质、组织和关联因素等23个指标,通过层次分析法和李克特五点量分析方法,对安徽省78个农民合作组织技术吸收能力进行了评价,结果表明其技术吸收能力的组织要素最薄弱,其中水产：业的农民合作组织技术吸收能力相对较高,大宗农作物种植业的农民合作组织技术吸收能力相对较低。综合以上研究,最后提出了提高我国新型农民合作组织技术吸收能力的对策,并提出了以后研究的方向。更多还原

【Abstract】 New farmer cooperatives are mutual-aid economical organizations formed by farmers voluntarily after Chinese rural reform called household contract management. It is an effective way to promote agricultural productivity, increase farmer’s income, spread agricultural techniques, and develop new modern rural agriculture. Meanwhile it resolves the conflict between small-scale family farming and large-scale socialized production.To the best of my knowledge most of the studies on new farmer cooperatives in China mainly focus on policy and management, lacking of studies on historical role, current situation and operational state of technology in it. This dissertation demonstrated a theoretical analysis frame of technological absorptive capabilities in Chinese new farmer cooperatives, summarized the characteristics of technological absorptive capabilities during 30 years developing process and divided the process into three phases. This thesis also studied the status and influence factors of technological absorptive capabilities through investigating 98 new farmer cooperatives and 247 farmers in Anhui province. This dissertation suggested the evaluation standard and method for evaluating technological absorptive capabilities. The 78 new farmer cooperatives in Anhui province were evaluated by using this method. Finally, the dissertation gave suggestions on how to develop new farmer cooperatives fast and healthily.This thesis consists of eight chapters, and the main contents are as follows:The paper enforced the importance of studying the technological absorptive capabilities in new farmer cooperatives, reviewed the relative studies and proposed the studying methods and frame.It introduced related theory and opinion to study the technological absorptive capability and refined some helpful thought in them.This paragraph suggested an analysis frame for estimating the technological absorptive capabilities in new farmer cooperative organizations. This frame included four parts:component, structure, developing mechanisms and influence factors. The technological absorptive capabilities composed of stuff, material and organization. Abilities to gain, assimilation and application were the main factors. There were inside, outside and related factors affecting technological absorptive capabilities in new farmer cooperatives.At the guide of analysis frame for technological absorptive capabilities in new farmer cooperatives in China, this passage summarize the characteristics of technological absorptive capabilities during 30 years developing process and divided this process into three stages:start phase (1978--1992), transition phase (1993--2001) and fast-developing phase (after 2002).This passage described that the cooperatives had strong motivation to absorb techniques through investigating 20 different cooperatives and 247 farmers in Anhui province. It was also found that personnel with leadership in the organizations had high education, while normal members had low education. Within the cooperatives, skillful people have very much influence on normal members in technical acquisition, assimilation and application. The cooperatives had no strong support from outside the organizations.It proposed 23 evaluating indicators for the technological absorptive capabilities in new farmer cooperatives in China. The 78 cooperatives in Anhui province were evaluated by using these indicators, the result showed the organization factors had the lowest effect in technological absorptive capabilities, and the technological absorptive capabilities were relative higher in cooperatives in aquaculture than in staple crop farming.At last, it summarized all the work of this thesis and gave some useful suggestions for future research and the development of new farmer cooperatives.更多还原