集体行动对农户水土保持关联技术采用行为影响机制研究----以黄土高原区为例

The low adoption rate of soil and water conservation technology is the bottleneck restricting the sustainable development of Loess Plateau. Collective action is introduced into soil and water conservation technology adoption research, because it is not only expanding traditional technology adoption theory paradigm, but also the key to understand farmers' technology adoption behavior in soil and water conservation.This project recruits rural household survey data, case study and experimental data to explore the mechanism of collective action on farmers’ correlated technology adoption behavior based on elaborating the concept of collective action and its measures of multidimensional characteristics. Firstly, The two-stage Probit model is employed to empirically analyze farmers’ adoption willingness, decision making on correlated technology adoption and continuing adoption behavior, to examine farmers’ collective action participation mechanism and the effect of technology choice behavior on different technology adoption stages (cognitive phase, probation phase and continuous phase). Secondly, DEA-MSM model is used to measure soil and water conservation technical efficiency, and to compare and analyze efficiency difference between with and without farmers collective action scenarios, the objective is to explore the causality relationship between collective action and soil and water conservation technology adoption behavior; then Structural Equation Model (SEM) is employed to study the interaction effects between collective action and compensation policy on farmers’ correlated technology adoption behavior, which is for revealing the collective action and compensation policy interaction mechanism and its interactive effects. Finally, innovative ideas and policy implications put forward to promote collective action and improve the soil and water conservation technology adoption system.

水土保持技术采用率低一直是制约黄土高原区农村可持续发展的瓶颈。将集体行动引入农户水土保持技术采用问题的研究，既是对传统技术采用理论研究范式的拓展，也是理解农户技术采用行为机制的关键。本项目运用农户调查资料、典型案列和实验数据，在阐释集体行动多维特征和测度指标的基础上，探讨集体行动对农户水土保持关联技术采用的作用机理，试图解决技术采用中的“关联技术决策”、 “集体行动效应”、 “集体行动与补偿政策交互影响”等关键问题。拟采用两阶段Probit模型对潜在需求、关联技术决策和持续采用行为进行实证分析，探究集体行动对不同采用阶段农户技术选择行为的影响机制；利用DEA-MSM模型测度水土保持技术效率，探寻集体行动与技术效率的因果关系；利用结构方程模型（SEM）探讨集体行动和补偿政策交互作用对农户采用行为的影响机制及其互动效应；提出促进集体行动，提高水土保持技术采用的制度创新思路和政策建议。

水土保持措施具有防止土壤侵蚀、提高土地生产率、减少贫困和实现农业转型的功能。在黄土高原区推广水土保持措施，对保障该区域饮水安全、防洪安全和土地质量安全，实现我国生态安全和粮食安全，推动现代农业和农村经济可持续发展，具有重要战略意义。从行为结果看，水土保持措施采用活动所实现的产出不仅包含农产品，也包含生态产品，农产品是可以在市场上出售的有价商品，而生态产品却是不能自动实现市场价值的公共产品。因此，水土保持措施的采用常以集体行动的方式实现。本项目基于集体行动视角，在系统地综述国内外相关研究成果的基础上，依据公共产品理论、集体行动理论、农户行为理论和农业技术扩散理论等多维理论体系的指导，利用陕西、甘肃、宁夏三省区农户调查数据资料，对样本区域农户采用水土保持措施的现状和存在的问题进行归纳与总结，选择合适代理变量，构建农户集体行动参与程度测度指标体系，运用多种数理模型及实证分析方法，考察了集体行动对农户水土保持措施采用意愿、采用等待时间、采用行为和采用效果的内在作用机制和影响效应，以及资本禀赋与政府支持在农户水土保持措施采用过程中的作用，并在此基础上提出了促进农户采用水土保持措施的对策建议，以期为中国水土流失治理的制度创新和政策优化提供理论与实证支持。