【作者】 赵雪；

【导师】 张来武； 石宝峰；

【作者基本信息】 西北农林科技大学 ， 农林经济管理， 2024， 博士

【摘要】 家庭农场是以家庭为基本经营单元,以农场生产经营为主业,以农场经营收入为主要收入来源的规模化经营实体。由于其兼具家庭经营和企业经营的双重属性和内在制度优势,家庭农场在衔接小农户融入现代农业发展方面具有天然优势,是现阶段中国“最合意”的新型农业经营主体。自2013年中央一号文件提出“鼓励和支持承包土地向专业大户、家庭农场、农民合作社流转”之后,我国家庭农场呈现蓬勃发展态势,数量稳步增长,已逐渐成为推动我国传统农业向现代化农业转变的中坚力量。然而,当前我国家庭农场培育虽取得显著成效,但依旧存在发展水平不高、综合实力不强等问题,面临存续能力弱、经营绩效偏低等生存压力。在此背景下,提升家庭农场的经营绩效及生存能力成为实现其高质量、可持续发展的关键。农村产业融合通过将第一产业与第二产业、第三产业有机衔接的经营模式创新,为家庭农场突破原有的产业边界和进一步提升竞争优势提供了契机。家庭农场通过参与农村产业融合可摆脱传统农业的单一发展模式,实现以农业为核心的产业链延伸及价值链拓展,全面提高其在产业链中的地位,拓展增值增效空间,增强其经营能力和市场竞争力。更重要的是,已有研究尚未形成农村产业融合对家庭农场经营绩效影响的系统性分析框架,亦未能充分厘清其作用路径,参与农村产业融合能否全方位提高家庭农场经营绩效,助力其高质量发展、可持续经营,这一效果有待系统检验。本文将农村产业融合视为家庭农场经营绩效的提升机制,重点分析了三个问题:一是,为适应当下家庭农场高质量、可持续发展的目标,家庭农场绩效该如何有效测度;二是,哪些因素保障、推动了家庭农场参与农村产业融合;三是,农村产业融合对于家庭农场生产、生态、社会以及综合绩效的作用效果及实现机理如何。基于可持续发展的“三重绩效”视角,本文立足于农户行为理论、分工理论、产业融合理论和交易成本等相关理论,探索性地阐释家庭农场参与产业融合的内、外部条件,系统构建不同产业融合形式影响家庭农场经营绩效的理论框架,并实证检验其影响效应、作用路径和异质性,以期为推动家庭农场绩效全面提升,促进小农户与现代农业有机衔接与农业现代化发展提供参考。本文的主要研究结论如下:(1)我国家庭农场发展历程可划分为“雏形发生阶段(1978—1985年)、探索发展阶段(1986-2012)、快速发展阶段(2013年至今)”三个阶段。总体看来,家庭农场参与产业融合水平较高,有68.79%的家庭农场至少参与了一种产业融合形式,融合形式呈现多样化特征,参与率由高到低分别是:内部融合型融合>技术渗透型融合>产业链延伸型融合>多功能拓展型融合。生产绩效方面,家庭农场生产技术效率不足,仍有明显改进空间,家庭农场效率分布在区域间形成差序格局,由高到低依次为:东部地区>中部地区>西部地区>东北地区。家庭农场年经营收入均值约为60万元,且呈现两极分化特征,发展不平衡现象凸显。生态绩效方面,54%的家庭农场都至少采纳了一种绿色生产行为,但具体而言,家庭农场绿色生产程度并不算高,秸秆综合利用、水肥一体化、测土配方等任意一项绿色生产技术的采纳比例均未超过40%。社会绩效方面,家庭农场长期雇工人数较少,平均3人左右,短期雇工人数较多,平均约43人。社会化服务能力并不强,不足20%的家庭农场能够为其他主体或农户提供社会化服务。从综合绩效及协调度来看,家庭农场总体绩效处于中等水平,均值仅为0.536,仍存在较大的改进空间;家庭农场协调水平偏低,协调度均值仅为0.428,处于从失调向协调过渡的中间阶段。(2)外部激励和内在禀赋均对家庭农场发展农村产业融合具有显著的促进作用。具体而言,市场激励、资源禀赋水平、政策激励、负责人素养依次正向影响家庭农场融合水平。市场激励对家庭农场产业融合水平的正向影响最强,系数为0.530;资源禀赋水平对家庭农场产业融合水平的正向影响为中度影响,系数为0.337,政策激励对家庭农场产业融合水平的正向影响为中度影响,系数为0.197。除此之外,资源禀赋水平在市场激励对家庭农场的影响中发挥中介作用,即市场激励通过正向影响家庭农场资源禀赋,而间接影响其产业融合水平,其直接效应为0.530,间接效应为0.210,总效应为0.740。不同地区家庭农场参与产业融合的影响因素不同,具体而言,我国家庭农场发展均会受到政策激励的正向影响,从而提高其产业融合水平,而中部、东部等经济较为发达地区的家庭农场更容易受到市场激励、资源禀赋、负责人素养的正向影响从而发展融合型产业。(3)参与产业融合通过提高家庭农场生产技术效率和农业经营收入,改进其生产绩效,不同融合形式的作用效果不同。从效率视角来看,参与农村产业融合有助于家庭农场提高生产技术效率,但提升效果有限,仅为0.028(约为样本家庭农场技术效率均值的3.27%);从融合形式来看,参与内部融合型和产业链延伸型融合两种产业融合形式有助于提高家庭农场的技术效率,而多功能拓展型融合和技术渗透型融合的效率提升效果并不显著;从融合深度来看,融合度越高,技术效率提升作用越强的效应并不存在。产业融合提升家庭农场生产技术效率的路径为资源利用效率提高路径和风险规避能力增强路径。从收入角度来看,参与产业融合可使家庭农场经营收入提高15.9%,人均净收入提高16.8%;从融合形式来看,产业链延伸型融合和技术渗透型融合的增收效果显著,而内部融合型和多功能拓展型融合的增收效应并不显著。现阶段,产业融合对家庭农场经营收入的提升路径为扩大经营规模、提升技术效率、提高收入多元化水平。同时,产业融合对家庭农场技术效率、经营收入的提升作用在经营规模、经营作物类型、组织化程度以及地区层面存在异质性。(4)参与产业融合有助于提升家庭农场生态绩效,这种影响主要集中于资源利用和环境保护方面的家庭农场绿色生产技术的采纳。具体而言,产业融合对家庭农场绿色生产行为及绿色生产行为的个数均有显著正向影响,相较于未参与产业融合的家庭农场,产业融合能够使其绿色生产行为的概率平均提高34.3%。家庭农场融合深度每增加一个单位,其采纳绿色生产行为的概率就增加19.9%,即产业融合水平越高,家庭农场绿色生产的概率越大。产业融合对于家庭农场绿色生产行为的作用路径为降低耕地细碎化程度路径、获得组织支持路径和市场激励路径三方面,产业融合对家庭农场绿色生产行为的影响在区域、农场规模、农场主是否为新型职业农民等方面具有异质性。(5)参与农村产业融合有助于家庭农场社会绩效提升,主要表现在就业带动能力和社会化服务能力的增强两个方面。具体而言,家庭农场参与产业融合不能带动长期雇工人数的增加,但可通过增加其短期雇工人数从而发挥带动就业的作用;同时,参与产业融合能够提升其社会化服务能力。在纠正内生性问题后,产业融合对家庭农场短期雇工人数和社会化服务的影响均显著为正。家庭农场参与产业融合对就业带动能力和社会化服务能力的正向影响在家庭农场所在地区、组织支持、经营规模等方面具有异质性,对于东部、中部较发达地区、加入合作社的大规模农场而言,参与产业融合对其就业带动能力和社会化服务能力具有更高的促进作用。(6)参与产业融合能够提高家庭农场综合绩效和三重绩效协调性。参与产业融合能够使家庭农场综合绩效提升0.032(约为样本均值的5.97%),融合度每加深一个单位,综合绩效提升约0.016(约为样本均值的2.99%),4种融合形式的提升作用由高到低依次是:内部融合型>技术渗透型>产业链延伸型>多功能拓展型。参与产业融合能够使家庭农场三重绩效协调度提升0.039(约为样本均值的9.11%),融合度每加深一个单位,综合绩效提升约0.023(约为样本均值的5.37%),融合形式的提升作用由高到低依次是:内部融合型>多功能拓展型>产业链延伸型,技术渗透型则无法提升家庭农场协调度。产业融合对家庭农场综合绩效和协调度的提升效果具有异质性,相对于经济发展相对不发达地区、小规模的粮食种植型农场,经济发达地区的、大规模的非粮食作物种植型家庭农场,参与产业融合对其综合绩效和协调度的提升效果更加显著。根据研究结论,提出如下建议:明确以家庭农场为依托促进农村产业融合发展的发展理念;探索农村产业融合促进家庭农场提效增收的有效路径;以三重绩效理念为基础从生产、生态、社会等方面推进家庭农场全方位、高质量发展;细化家庭农场培育政策,优化政策激励手段与方式;加强产业联合体建设,提升家庭农场组织化水平;优化家庭农场职业教育环境,全方位提升家庭农场主职业素养。更多还原

【Abstract】 A family farm is a large-scale business entity that operates on a family basis,with farm production and operation as its main business,and farm operating income as its main source of income.Due to its dual attributes of family and enterprise management and inherent institutional advantages,family farms have a natural advantage in connecting small farmers and integrating into modern agricultural development,making them the most desirable new type of agricultural management entity in China at present.Since the No.1 central document proposed in 2013 to "encourage and support the transfer of contracted land to professional large households,family farms,and farmers’ cooperatives",China’s family farms have shown a vigorous development trend,with steady growth in number,and become the backbone of promoting the transformation of China’s traditional agriculture to modern agriculture.Although significant achievements have been made in the cultivation of family farms in China,there are still problems such as low development level and weak comprehensive strength,facing survival pressures such as weak survival ability and low operating performance.In this context,improving the operational performance and survival ability of family farms has become the key to achieving their high-quality and sustainable development.The integration of rural industries provides an opportunity for family farms to break through their existing industrial boundaries and further enhance their competitive advantages through innovative business models that organically connect the primary industry with the secondary and tertiary industries.By participating in the integration of rural industries,family farms can break away from the single development model of traditional agriculture,achieve the extension of the industry chain and value chain centered on agriculture,comprehensively improve their position in the industry chain,expand value-added and efficiency space,and enhance their business capabilities and market competitiveness.However,existing research has not yet formed a systematic analysis framework for the impact of rural industrial integration on the operational performance of family farms,and its role path has not been fully clarified.Whether rural industrial integration can comprehensively improve the operational performance of family farms,help them develop in a high-quality and sustainable manner,and this effect needs to be systematically tested.This article regards the integration of rural industries as a mechanism for improving the performance of family farms,and focuses on analyzing three issues: firstly,how to effectively measure the performance of family farms in order to adapt to the current goal of high-quality and sustainable development of family farms;Secondly,what factors ensure and promote the participation of family farms in rural industrial integration;Secondly,how does the integration of rural industries affect the production,ecology,society,and overall performance of family farms.Based on the "triple performance" perspective of sustainable development,this article is based on relevant theories such as farmer behavior theory,division of labor theory,industrial integration theory,and transaction cost theory.It explores the internal and external conditions for family farms to participate in industrial integration,systematically constructs a theoretical framework for the impact of different forms of industrial integration on the operational performance of family farms,and empirically tests their impact effects,pathways,and heterogeneity.The aim is to provide reference for promoting the comprehensive improvement of family farm performance,promoting the organic connection between small farmers and modern agriculture,and modernizing agricultural development.The main research conclusions of this article are as follows:(1)The development process of family farms in China can be divided into three stages:the embryonic stage(1978-1985),the exploratory development stage(1986-2012),and the rapid development stage(2013 present).Overall,the participation level of family farms in industrial integration is relatively high,with 68.79% of family farms participating in at least one form of industrial integration.The integration forms exhibit diverse characteristics,and the participation rates from high to low are: internal integration>technology penetration integration>industrial chain extension integration>multi-functional expansion integration.In terms of production performance,the current production technology efficiency of family farms is insufficient,and there is still significant room for improvement.The efficiency of family farms is distributed in a differential pattern between regions,with the order from high to low being: Eastern region>Central region>Western region>Northeast region.The average annual operating income of family farms is about 600000 yuan,and it exhibits polarization characteristics,highlighting the phenomenon of uneven development.In terms of ecological performance,54% of family farms have adopted at least one green production behavior,but specifically,the level of green production in family farms is not high,and the adoption rate of any green production technology does not exceed 40%.In terms of social performance,the number of long-term employees in family farms is relatively low,averaging around 3 people,while the number of short-term employees is relatively high,averaging around 43 people.The ability to provide social services is not strong,and less than 20% of family farms can provide social services to other entities or farmers.From the perspective of comprehensive performance and coordination,the overall performance of family farms is at a moderate level,with an average of only 0.536.There is still significant room for improvement,and the average coordination degree is only 0.428.The coordination level of family farms is insufficient,and they are in the middle stage of transitioning from imbalance to coordination.(2)Both external incentives and internal endowments have a significant promoting effect on the development of rural industrial integration in family farms.Specifically,market incentives,resource endowment levels,policy incentives,and responsible person literacy have a positive impact on the level of family farm integration.The market incentive has the strongest positive impact on the level of integration of family farm industries,with a coefficient of 0.530;The positive impact of resource endowment level on family farms is moderate,with a coefficient of 0.337.The positive impact of policy incentives on the level of industrial integration of family farms is moderate,with a coefficient of 0.197.In addition,the level of resource endowment plays a mediating role in the impact of market incentives on family farms.Market incentives positively affect the resource endowment of family farms,while indirectly affecting their level of industrial integration.The direct effect is 0.530,the indirect effect is 0.210,and the total effect is 0.740.The influencing factors of family farms participating in industrial integration vary in different regions.Specifically,family farms in all regions will be positively influenced by policy incentives,thereby improving their level of industrial integration.In contrast,family farms in economically developed regions such as the central and eastern regions are more susceptible to market incentives,resource endowments,and the positive influence of responsible person literacy,thus developing integrated industries.(3)Participating in industrial integration improves the production efficiency and agricultural income of family farms by improving their production performance.The effects of different forms of integration vary.From an efficiency perspective,participating in rural industrial integration can help family farms improve production technology efficiency,but the improvement effect is limited,only 0.028(about 3.27% of the average technical efficiency of the sample family farms);From the perspective of integration forms,participating in internal integration and industry chain extension integration can help improve the technical efficiency of family farms,while the efficiency improvement effect of multi-functional expansion integration and technology penetration integration is not significant;From the perspective of fusion depth,the higher the degree of fusion,the stronger the effect of improving technical efficiency does not exist.The path to improving the production technology efficiency of family farms through industrial integration includes improving resource utilization efficiency and enhancing risk avoidance capabilities.From an income perspective,participating in industrial integration can increase the operating income of family farms by 15.9% and the per capita net income by 16.8%;From the perspective of integration forms,the income increase effect of industrial chain extension integration and technology penetration integration is significant,while the income increase effect of internal integration and multi-functional expansion integration is not significant.At present,the path for improving the operating income of family farms through industrial integration is to expand business scale,improve technological efficiency,and increase the level of income diversification.The role of industrial integration in improving the technical efficiency and operating income of family farms varies in terms of business scale,crop types,degree of organization,and regional level.(4)Participating in industrial integration can help improve the ecological performance of family farms,and this impact mainly focuses on the adoption of green production technologies in resource utilization and environmental protection.Specifically,industrial integration has a significant positive impact on the green production behavior and the number of green production behaviors of family farms.Compared to family farms that do not participate in industrial integration,industrial integration can increase the probability of their green production behavior by an average of 34.3%.For every unit increase in the depth of family farm integration,the probability of adopting green production behavior increases by 19.9%,indicating that the higher the level of industrial integration,the greater the probability of family farm green production.The impact of industrial integration on the green production behavior of family farms can be divided into three paths: reducing the degree of fragmentation of farmland,obtaining organizational support,and market incentives.The impact of industrial integration on the green production behavior of family farms is heterogeneous in terms of region,farm size,and whether the farmers are new professional farmers.(5)Participating in the integration of rural industries can help improve the social performance of family farms,mainly manifested in two aspects: the enhancement of employment driving ability and social service ability.Specifically,the participation of family farms in industrial integration cannot drive an increase in long-term employment,but it can play a role in driving employment by increasing their short-term employment.At the same time,participating in industrial integration can enhance their social service capabilities.After correcting endogeneity issues,the impact of industrial integration on short-term employment and social services in family farms is significantly positive.The positive impact of family farms participating in industrial integration on their employment driving ability and social service ability is heterogeneous in terms of the region where family farms are located,organizational support,and business scale.For more developed areas in the eastern and central regions,as well as large-scale farms joining cooperatives,participating in industrial integration has a higher promoting effect on their employment driving ability and social service ability.(6)Participating in industrial integration can improve the overall performance and triple performance coordination of family farms.Participating in industrial integration can improve the comprehensive performance of family farms by 0.032%(about 5.97% of the sample mean),deepen the integration degree by one unit,and improve the comprehensive performance by about 0.016%(about 2.99% of the sample mean).The improvement effects of the four forms of integration,from high to low,are: internal integration type>technology penetration type>industrial chain extension type>multifunctional expansion type.Participating in industrial integration can increase the triple performance coordination degree of family farms by 0.039%(about 9.11% of the sample mean),deepen the integration degree by one unit,and improve the comprehensive performance by about 0.023%(about 5.37% of the sample mean).The improvement effect of the integration form from high to low is: internal integration type>multi-functional expansion type>industrial chain extension type,while technology penetration type cannot improve the coordination degree of family farms.The improvement effect of industrial integration on the comprehensive performance and coordination of family farms is heterogeneous.Compared with relatively underdeveloped areas and small-scale grain planting farms,large-scale non grain crop planting family farms in economically developed areas have a more significant improvement effect on their comprehensive performance and coordination by participating in industrial integration.Based on the research findings,the following countermeasures and suggestions are proposed: clarify the practical path of promoting the integration and development of rural industries based on family farms;Exploring effective paths for promoting the integration of rural industries and improving the efficiency and income of family farms;Based on the concept of triple performance,promote the all-round and high-quality development of family farms;Refine family farm cultivation policies,optimize policy incentives and methods;Strengthen the construction of industrial consortia and enhance the organizational level of family farms;Optimize the vocational education environment of family farms and comprehensively enhance the professional qualities of family farm owners.更多还原