【作者】 王昕；

【导师】 陆迁；

【作者基本信息】 西北农林科技大学 ， 农业经济管理， 2014， 博士

【摘要】 小型水利设施是农业发展、农民生活和农村建设的重要基础。当前，水资源短缺、小型水利设施薄弱成为制约我国农村经济发展、影响农民生活、阻碍农村建设进程的突出矛盾。从供给主体视角，农村社区小型水利设施依托村民合作供给是一种有效的方式。合作供给需要由“核心农户”发起并协调和整合不同农户的需求，借助对供给成本的合理分摊以实现农村社区小型水利设施的有效供给，通过提高合作效率维护小型水利设施的长久合作。但从一些实地调研来看，很多村农户合作供给小型水利设施却困难重重。一是充当发起者的“精英农户”角色无法形成，导致众多农户合作供给需求意愿难以协调整合；二是组织成本和交易成本太高，无法达成有效的成本分摊方案，农村社区资源动员机制不易形成。此外，合作供给效率低下，缺乏持久性激励，致使农村社区小型水利设施合作供给长期不足。农村社区的复杂性、“熟人社会”的特点，决定了社会资本在农村小型水利设施的供给中不可或缺。社会资本作为表征农户异质性的重要变量，对合作供给过程中的发起人形成和组织方式选择产生影响。那么社会资本如何影响发起人的产生？它们如何影响农村社区小型水利设施合作意愿和支付意愿？对合作供给的效率产生何种影响？社区因子如何与农户社会资本交互作用于农户的合作供给？这是实现农村社区小型水利设施合作供给必须要面对的现实问题。本研究基于社会资本视角，在阐释农户社会资本多维特征和拣选测度指标的基础上，构建农户社会资本指数，研究农户社会资本与农村社区小型水利设施合作供给的互动关系及影响机理，为促进我国农村社区小型水利设施合作供给制度创新提供理论和实证依据。首先，梳理现有社会资本文献，将农户社会资本划分为社会网络、社会信任、社会声望、社会参与四个维度，采用陕西省咸阳市890户农户的入户调查数据，并利用因子分析方法测度指标权重，最终将各维度赋权加总形成农户社会资本指数。其次，在分析现有小型水利设施合作供给现状的基础上，利用博弈模型和规范分析阐释社会资本及其不同维度对农户自发合作供给形成的作用机理，采用Logistic模型估计农户社会资本及其不同维度对合作意愿的影响效果。然后，运用Heckman两步法模型估计农户社会资本及不同维度对支付行为的作用强度，分别利用Logistic和CVM模型测度农户合作成本分担方式和支付意愿金额，试图回答社会资本对小型水利设施合作实施阶段农户行为的影响。再次，利用DEA-Tobit模型测算农户社会资本对合作供给效率的影响。最后，利用分层模型（HLM）模拟和分析农户社会资本因子和社区因子对农村社区小型水利设施合作供给的交互作用。在此基础上，提出农村社区小型水利设施合作供给制度创新的政策建议。本文得出的研究结论主要有以下几个方面：（一）农户社会资本由社会网络、社会信任、社会声望和社会参与四个维度构成，选取四个维度显性指标构建的社会资本指数具有一定的可行性和科学性。农户社会资本特征表现为总体水平不高，其中，社会网络没有显著差异且网络规模较小；农户社会信任处于较低的水平，农户的声望较高，社会参与度较低。（二）社会资本对农村社区小型水利设施合作组织形成有重要影响。社会资本通过网络信息交流、增强信任、提高声望和参与度等促使农户形成自发合作。实证结果表明，社会资本对农户小型水利设施合作意愿有显著正向影响，在社会资本不同维度方面，社会网络和社会参与均对小型水利设施合作供给有显著的正向影响。（三）社会资本能够降低交易风险和不确定性，正向促进小型水利设施合作供给契约顺利实施。小型水利设施建设支付行为受到社会参与的显著正向影响。合作实施的关键是成本分担方案的制定。合作成本分担方案制定要遵循公平和效率原则，最优的成本分担方式是按照灌溉面积分担成本，最优意愿支付金额为水利设施成本总投入的36.7%。（四）社会资本能够降低监督成本、协商成本等交易成本，减少合作风险，提高小型水利设施合作供给效率。实证分析结果表明合作者的效率高于非合作者的效率，合作供给方式对小型水利设施管理技术效率提高有显著激励作用，社会资本也是影响效率的重要因素，社会资本不同维度中的社会信任、社会声望、社会参与的影响更为显著。（五）农户合作行为是在农村社区经济发展、民俗风情等环境约束下做出行为选择的结果。社区环境和个体行为互动关系和作用效果的模拟表明个体间的合作行为有42.3%的变异是由于社区环境不同导致的。此外，社区因素对个人社会资本特征效应作用方向不一，并且还发现同一社区因素通过对不同维度社会资本的增强或削弱效应，进而对合作意愿产生不同方向的影响。更多还原

【Abstract】 Small-scale irrigation is an important foundation for sustainable development ofagriculture, farmers and rural communities. Currently, shortage of water and small-scaleirrigations become prominent problems to hinder the development of China’s rural economy.From the perspective of the main supply body, cooperation by farmers to supply small-scaleirrigation facilities is an effective way. Cooperative supply calls for the “elite farmers” tocoordinate and integrate the different needs of farmers, sets the reasonable cost-sharing inorder to achieve the supply of small-scale irrigation in rural communities and maintainslong-term cooperation through high co-efficient feedback. However, it is difficult forcooperative supply in small-scale irrigations in some villages. Firstly, the elite farmers’ rolecannot be formed, which results in a difficulty to coordinate and integrate many farmers’needs. Second, effective cost-sharing programs cannot be realized due to highorganizational costs and transactional costs. In addition, low efficiency of cooperativesupply and lack of persistent incentives cause inadequate cooperation of small-scaleirrigations in small rural communities. The environment of rural communities are complexand characterized by “social acquaintance”, which determines that social capital is anessential variable to cooperative supply in small-scale irrigations as representing farmers’heterogeneity. Hence, how does social capital affect organizers generated? How do socialcapital and its structures affect farmers’ willingness to cooperate and willingness to pay?How does social capital affect the efficiency? What’s the relationship between communityfactors and individual factors in cooperative supply? These are the problems we need toanswer.In this study, from the perspective of social capital and its multidimensional features,we construct social capital index and describe the features of farmers’ social capital. Try toexplore the impact mechanism between social capital and cooperative supply in small-scaleirrigations and provide theoretical and empirical basis for the promotion and innovation ofcooperative supply in small-scale irrigation facilities in rural communities. Firstly, wedefine social capital into social networks, social trust, social reputation and social participation by combing the existing literature, and construct social capital index by factoranalysis using890households’ survey data in Xianyang City, Shaanxi Province. Secondly,based on the analysis of the status of existing supply in small-scale irrigations, this paperuses the game model and normative analysis to explain the mechanism of social capital andits different structures when cooperative supply began, and uses Logistic model to estimatesocial capital and its different structures effects in cooperative willingness. Then, estimatingthe effect of social capital and its dimensions on farmers’ payment behavior by applicationof Heckman model and calculating the standards of payment ways and amounts by Logisticand CVM models. Then, we discuss the impact of social capital on efficiency by DEA-Tobitmodel. Finally, interaction relationships between farmers’ factors and community factors aresimulated by Hierarchical Linear Model (HLM). According to conclusions, policies areproposed for institutional innovation in cooperative supply. The main conclusions of thisstudy are as follows.First, the means to build up social capital index are practical and scientific, whichdefine social capital from four dimensions of social networks, social trust, social reputationand social participation. Farmers’ characterizes of social capital is that the whole level is nothigh, unobvious variances of network size, low-level social trust and social participation,and high-level social reputation.Second, social capital has a significant impact on spontaneous cooperation supply insmall-scale irrigation facilities by expanding the network of social capital, strengtheningmutual trust, and enhancing the reputation and participation. The empirical results show thatsocial capital is significantly positive on farmers’ willingness to cooperate. The roles ofsocial network and social participation are stronger.Third, social capital can decrease risk and uncertainty to promote small-scale irrigationfacilities supplied smoothly. Payment behavior in small-scale irrigation cooperative supplyis affected significantly and positively by social participation. Cost-sharing programs are thekeys to implement cooperative supply. Principles of making cost-sharing programs are fairand efficient. The best way is that sharing the cost by irrigated area and the amount ofwillingness to pay is36.7%of the total amount invested.Fourth, social capital can improve the efficiency of small-scale irrigation facilitiescooperation supply by reducing monitor costs, negotiation costs, and transaction costs. Theempirical results show that the way of cooperation is more efficient. Social capital is animportant factor affecting the efficiency of cooperation in the supply, especially social trust,social reputation and social participation. Finally, cooperative supply is the result of farmers’ behavior choice under theenvironment of community. Interactions simulations between social environment andindividual behavior show that there is42.3%of the variance caused by differentcommunities when it comes to cooperative supply. In addition, social capital as individualcharacteristics varies with different community environment, and the same communityfactors can enhance or weaken their willingness to cooperate through the impact ondifferent features of social capital.更多还原