导　　师： 李录堂

学科专业： 120301

授予学位： 博士

作　　者： ;

机构地区： 西北农林科技大学

摘　　要： 农户经营改造就是要从根本上打破个体小农所固有的孤立分散、规模狭小、信息闭塞、排斥资本聚集和现代科技等内生机制。在当前的农地产权框架下，促进农地规模扩大没有根本的解决方法，而农业信息技术已经不再是稀缺资源，信息渠道的畅通是中央政府了解农民的基础，也是推动农民合作的前提。在传统人力资本层面上，农村人力资本的溢出和稀缺一直是影响农户经营的主要因素；在组织层面上，以农户家庭为基本单元的组织结构，使得组织效率低下，组织效果耗散；在社会资本层面上，身处传统农村“熟人社会”里的农户，通过现有社会关系网络给自身带来资源财富的空间较为有限，社会资本匮乏；在技术层面上，将现代工业和网络信息技术成果引入农业生产领域建设现代农业的步伐较为缓慢。为有效解决上述问题，本研究以应用信息技术型人力资本改造农户为方向，首先，试图回答如何运用信息技术型人力资本改造农户经营的问题，并从不同的角度厘清信息技术型人力资本与传统人力资本的区别和联系，揭示信息技术型人力资本的形成规律及其提升农户传统人力资本、组织资本和社会资本的动力机理。其次，通过分析农民对信息技术的认知和行为，探讨农民的信息行为意向、对信息传播手段的偏好以及农民工的信息需求情况，进而构建出以公共信息技术网络平台为基础、以核心农户、专业合作社、农业企业、村域经济及农业科技园区为载体的信息技术型人力资本组织结构体系和运行模式。再次，通过分析和验证信息技术型人力资本在农户经营改造中的能动效应，寻求其在提升传统人力资本、积聚组织资本和社会资本过程中的现实依据，从而为培育信息技术型人力资本提供理论支持与政策保障。 本研究根据信息不对称、人力资本、路径依赖和过密化等理论，全面梳理了农户经营改造、农业信息技术和专业化人力资本等方面的研究动态。在充分界定农户经营改造、农村信息化和信息技术等概念的基础上，系统论述了运用信息技术型人力资本改造农户的思路和方法，统计描述了信息技术型人力资本形成的网络环境，分别研究了信息技术型人力资本的动力机理、农民对信息技术的认知与行为、信息技术型人力资本在农户经济改造中的效应和模式选择，最后构建出农村信息技术型人力资本培育的支持路径和政策保障体系。为了增加研究结论的说服力，本研究采用规范分析与实证分析相结合、定性分析与定量分析相结合的方法，对相关问题进行了系统分析，其中对信息技术型人力资本理论的阐述采用规范分析的方法，对农村信息技术型人力资本的发展环境及动力机理的探讨采用统计分析的方法，对农民信息技术的认知与行为分析则运用了逻辑回归（Logistic）和结构方程模型（SEM），对信息技术型人力资本的能动效应的分析采用多元线性回归和双重差分的方法，对信息技术型人力资本在农户经营改造中的模式选择的研究采用案例分析的方法。 本研究通过系统分析发现：（1）信息技术型人力资本在不同理论框架下具有不同的理论内涵，在当前资金回流无望、教育回报滞后以及制度效率式微的情况下，发展信息技术型人力资本是农户经营改造的可选择途径；（2）在不触碰农地产权的前提下，对农户经营进行改造应当从提升农户传统人力资本、优化农户组织资本和丰富农户社会资本等三个维度展开，而信息技术型人力资本在市场网络中充当连接纽带，发挥着信息桥的作用，对农户传统人力资本、组织资本和社会资本进行集成和整合，在一定程度上可以实现对农户非土地要素的规模化改造；（3）农民对信息技术的认知与行为表现出传播手段偏好差异化、信息需求理性化以及信息行为意向明晰化等特点；（4）信息技术型人力资本在农户经营改造中的效应主要有：增收促进效应、传统人力资本提升效应、组织资本与和社会资本积聚效应；（5）信息技术型人力资本在农户经营改造中存在五种可推广模式：核心农户扩散模式、合作组织引领模式、农业企业带动模式、信息入村服务模式、科技园区促进模式。 本研究的创新之处有以下三点：一是在引入和论证信息技术型人力资本概念的基础上，从不同的理论视角对这一概念进行了拓展；二是将农户经营改造的重点分解为提升传统人力资本、优化组织资本和拓展社会资本三个维度，提出了改造的具体途径是培育信息技术型人力资本；三是提出了信息技术型人力资本在农户经营改造中的五种可推广模式。 The path of transforming farmer household management is to break small farmers’endogenous mechanism, such as isolated decentralization, small-scale narrowness,information blocking, exclusion of capital accumulation and application of modern scienceand technology. Under the current frame of farmland property right, there is no essential wayto increase farmland size, and agricultural information technology is no longer scarce, sounblocked access to information is the foundation for the central government to know farmersand the precondition to promote farmer cooperation. On the aspect of traditional humancapital, overflow and scarcity of rural human capital have been the main factors influencingfarmer household management for a long time. On the aspect of organization, the householdfamily-centered structure has led to organization deficiency and dissipation. On the aspect ofsocial capital, the farmer household who live in a traditional “acquaintance society” havelimited space to bring fortune by using their social network. On the aspect of technology, thestep of constructing modern agriculture is very slow by introducing modern industrialproduction and network technology into agricultural area. In order to solve these problems,this paper took IT-derived human capital as the study object, firstly try to answer how totransform farmer household management by using IT-derived human capital, clarified theconnections and differences between the concepts of modern human capital and traditionalhuman capital, revealed formation and mechanism of IT-derived human capital and how toimprove traditional human capital, organizational capital and social capital. Secondly, througha analysis of farmers’ cognition and behavior towards IT, an investigation was madeconcerning their media preference, intend of information behaviors, as well as theirinformation need. Taking public IT-network as the base and core farmer household,professional cooperatives, agri-business, village economy and agricultural sci-tech district asthe carrier, this paper established a organizational structure system and operating mode.Thirdly, through analyzing and testing of IT-derived human capital’s dynamic effect intransformation farmer household management, the paper explored its practical foundations toimprove traditional human capital, accumulate organizational capital and social capital, so asto provide theoretical guidance and policy guarantee to cultivate IT-derived human capital. Adopting the theories of information asymmetry, human capital, path dependence andinvolution, the paper generally summarized the research trend on the area of farmer household transformation, agricultural information technology and the professional human capital. Onthe basis of defining the concepts of farmer household transformation, ruralinformationalization and information technology, this paper systematically discussedconnotation and extension of IT-derived human capital. The paper also gave a statisticaldescription of the network environment of forming rural IT-derived human capital,respectively studied the developing environment and the motivation mechanism of ruralIT-derived human capital, farmer’s cognition and behavior towards information technology,dynamic effect of IT-derived human capital, and mode choice of farmer householdmanagement, as well as established supporting path and policy guarantee system to cultivateIT-derived human capital. In order to increase the persuasion of the research conclusion, thispaper systematically studied problems by adopting standard analysis, empirical analysis,qualitative analysis and quantitative analysis. The elaboration of IT-derived human capitaltheory was based on standard analysis. The exploration of development environment andmotivation mechanism of rural IT-derived human capital were based on statistical analysis.The analysis of farmers’ cognition and behaviors towards information technology were basedon Logistic and SEM. The analysis of dynamic effect of IT-derived human capital is based onmultiple linear regression and difference model. The study of mod choice in transformingfarmer household management was based on case analysis. Through the systematic research, results can be concluded as follows:/(1/) Theconnotation of IT-derived human capital differs under different theoretical framework. TheIT-derived human capital is a choice path under the current condition of hopeless reflux ofcapital, low education return and decreased system efficiency./(2/) In the premise of notviolating the rural land property rights, transforming farmer household management should beimplemented from the following three ways: improving farmer household’s traditional humancapital, optimizing farmer household’s organizational capital, and enriching farmerhousehold’s social capital. However, the IT-derived human capital is regarded as a link in themarket network, which works as a bridge to integrate the traditional human capital,organizational capital and social capital. To some extent, it will realize the large-scaletransformation of farmer household’s non-land factors./(3/) Farmers’ cognitions and behaviorstowards information and technology manifest some characteristics, such as communicationmeans preference difference, information demand rationalization and information behaviorintention explicitness./(4/) In the process of transforming farmer household management, theIT-derived Human capital has the effects of increasing income, improving traditional humancapital, and accumulating social capital./(5/) There are five modes of IT-derived human capitalextension in the process of transforming farmer household management: core farmers diffusion mode, cooperative-led mode, agribusiness promoting mode, information serviceinfusing into village mode and agricultural sci-tech district mode. This paper had three innovations as follows: Firstly, on the basis of explanation of theconcept of IT-derived human capital, this paper developed this concept from differenttheoretical views. Secondly, this paper divided farmer household transformation into three keydimensions, which are improving traditional human capital, organizational capital and socialcapital. This paper also suggests that the specific transforming way is to cultivate andaccumulate IT-derived human capital. Thirdly, this paper proposed five modes of IT-derivedhuman capital extension: core farmers diffusion mode, cooperative-led mode, agribusinesspromoting mode, information service infusing into village mode and agricultural sci-techdistrict mode.

关 键 词： 农户经营改造 信息技术型人力资本 动力机理 能动效应 推广模式

分 类 号： [F323.6 F224]

领　　域： [经济管理] [经济管理]