耕地流转胁迫下农户生计多元化选择与可持续性水平——基于重庆市合川区188户的调查数据

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蒋佳佳^1,,
张仕超^1,,,
邵景安¹,
王金亮²
1.重庆师范大学地理与旅游学院/三峡库区地表过程与环境遥感重庆市重点实验室重庆 401331
2.西南大学资源环境学院/农业部西南耕地保育重点实验室重庆 400715
基金项目: 国家自然科学基金项目41501104
重庆市科委基础与前沿研究计划项目cstc2015jcyjA80025
重庆市科委基础与前沿研究计划项目cstc2016jcyjA0393
重庆市教委高校创新团队项目CXTDX201601017

详细信息

作者简介:蒋佳佳, 主要从事土地利用与生态过程研究。E-mail:jiangjj2019@163.com

通讯作者:张仕超, 主要从事乡村发展与农户生计研究。E-mail:lintualchao@126.com

中图分类号:F061.3;F062.2

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收稿日期:2018-06-05
录用日期:2018-09-22
刊出日期:2019-02-01

Livelihood diversification of farmers and its sustainability level driven by land transfer: Based on the survey data of 188 households in Hechuan District in Chongqing

JIANG Jiajia^1,,
ZHANG Shichao^1,,,
SHAO Jing'an¹,
WANG Jinliang²
1. College of Geography and Tourism, Chongqing Normal University/Chongqing Key Laboratory of Earth Surface Process and Environment Remote Sensing in the Three Gorges Reservoir Area, Chongqing 401331, China
2. College of Resources and Environment, Southwest University/Key Laboratory of Arable Land Conservation, Ministry of Agriculture, Chongqing 400715, China
Funds: This study was supported by the National Natural Science Foundation of China41501104
the Basic and Frontier Research Projects of Chongqing Science & Technology Commissioncstc2015jcyjA80025
the Basic and Frontier Research Projects of Chongqing Science & Technology Commissioncstc2016jcyjA0393
Innovation Team of Chongqing Municipal Education CommissionCXTDX201601017

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Corresponding author:ZHANG Shichao, E-mail:lintualchao@126.com

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摘要
摘要:农户生计资源重组是在耕地流转胁迫下对经济机会的反馈响应。基于重庆市合川区川柠柠檬示范园188户耕地流转农户及其394块流转耕地地块的调查数据，分析了流转农户劳动力特征和流转耕地的数量、质量及耕作半径特征，进而剖析耕地流转后农户多元化生计选择策略，并基于可持续生计框架，从生计资本、生计策略和生计成果3方面构建农户生计可持续性评价指标体系，采用自然资本、物质资本、人力资本、金融资本、社会资本、生计多样化指数、收入多样化指数、非农化水平及家庭纯收入指标，对农户生计可持续性水平进行评价。结果表明：1）耕地流转致使农户自然资本严重减少，家庭生计结构由农业主导型向非农主导型转变，生计种类显著增加，趋于多元化。2）耕地流转后，农户生计资本总指数增加，且农户生计资本属性间及各类型农户间的增长率存在分异。耕地流转导致5大资本失调，生计资本耦合协调度降低。3）不同类型农户生计可持续水平在流转后得到不同程度的提升，提升强度从大到小表现为非农主导型农户>农业主导型农户>非农型农户>纯农型农户。总之，农户在家庭承包耕地流转的内部冲击下，生计资本得以重组，致使农户生计的分化与转型，而多元化生计有助于农户生计的可持续发展。
关键词:耕地流转/
农户生计/
多样化/
可持续性水平/
生计资本/
生计策略
Abstract:Farmers' livelihood resource reorganization is a response to economic opportunities driven by land transfer. In order to analysis changes of livelihood and its' sustainability before and after cultivated land transformation, the characteristics of both labor force of land transfer farmers and the quantity, quality and tillage radius of transferred cultivated land were analyzed based on questionnaire survey of 188 farmers and 394 cultivated land plots in Chuanning Lemon Demonstration Park, Hechuan District, Chongqing. Based on the sustainable livelihood framework, the evaluation index system of farmers' livelihood sustainability was constructed according to livelihood capital, livelihood strategy and livelihood outcome. Livelihood capital included natural capital, material capital, human capital, financial capital and social capital. Livelihood strategies referred to livelihood diversification index, income diversification index and non-agricultural level indicators. And the livelihood outcomes were replaced by farmers' net income indicators. The results showed that:1) due to the transfer of cultivated land, farmers' natural capital was seriously reduced and family livelihood structure was changed from agricultural predominance type to non-agricultural predominance type. Thus farmers' livelihoods became diversified gradually with increased strategies of farmers' livelihoods, and migrant work dominating livelihood structure. 2) The indexes of material capital, human capital, financial capital, social capital and the comprehensive index of livelihood capital increased after cultivated land transfer. But differences in growth rate among the farmer's livelihood capital attributes and farmers types existed. The human capital of pure agricultural farmer households decreased slightly (the growth rate was -0.15%), while the human capital of the other three types of farmers was increased, among which the growth rate of non-agricultural dominant farmers (4.90%) was the largest. In terms of natural capital, the reduction rate of non-agricultural farmer households (36.73%) was the highest, and that of pure agricultural farmer households (14.91%) was the smallest. On the other hand, the coupling coordination degree of livelihood capital of various types of farmers reduced to varying degrees, among which non-agricultural farmers household changed greatest. 3) Farmers' livelihood buffer capacity was improved, livelihood stability enhanced, livelihood output increased, and the sustainable level of farmers' livelihood was improved overall after cultivated land transfer. The growth rate order of sustainability of farmer's livelihood was non-agricultural predominance farmer households > agricultural predominance farmer households > non-agricultural households > pure-agricultural farmer households. The sustainable level of farmers' livelihood could be restructured, influenced by cultivated land transformation. The change of livelihood capital resulted in the diversification and transformation of farmers' livelihoods, and also contributed to the sustainable development of farmers' livelihoods.
Key words:Farmland transfer/
Farmers' livelihoods/
Diversity/
Sustainable level/
Livelihood capital/
Livelihood strategy

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图1耕地流转前后农户生计种类(Ⅰ:耕地流转前; Ⅱ:耕地流转后)
Figure1.Livelihood numbers of farmers household before and after cultivated land transformation (Ⅰ: before cultivated land transformation; Ⅱ: after cultivated land transformation)

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图2耕地流转前后农户不同类型生计资本指数
Ⅰ:耕地流转前; Ⅱ:耕地流转后。Ⅰ: before cultivated land transformation; Ⅱ: after cultivated land transformation.
Figure2.Evaluation index values of different types of livelihood capital of farmer household before and after cultivated land transformation

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图3耕地流转前后不同类型农户生计耦合协调度
Ⅰ:耕地流转前; Ⅱ:耕地流转后。PA:纯农型农户; AP:农业主导型农户; NAP:非农主导型农户; NA:非农型农户。Ⅰ: before cultivated land transformation; Ⅱ: after cultivated land transformation. PA: pure-agricultural farmer household; AP: agricultural predominance farmer household; NAP: non-agricultural predominance farmer household; NA: non-agricultural farmer household.
Figure3.Coupling coordination degree of livelihood of different farmers household types before and after cultivated land transformation

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表1调查区域流转农户基本情况特征
Table1.Basic characteristics of farmers in the survey area

	性别 Gender		年龄 Age				受教育程度 Education level
	男 Male	女 Female	< 30	30~49	5~69	> 70	小学及以下 Primary school and below	初中 Junior high school	高中 High school	大学及以上 University and above
样本量 Sample size (person)	334	266	120	194	232	54	344	138	68	50
占总样本比 Proportion (%)	55.67	44.33	20.00	32.33	38.67	9.00	57.33	23.01	11.33	8.33

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表2调查区域流转耕地距农户居住地的距离分布
Table2.Distribution of distance between transferred cultivated land and farmer' residential land in the survey area

	流转耕地距农户居住地的距离 Distance between transferred cultivated land and residential land (km)
	≤0.4	0.4~0.6	0.6~0.8	≥0.8
样本量Sample size (household)	74	46	38	30
占总样本比Proportion (%)	39.36	24.47	20.21	15.96

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表3农户生计可持续发展指标体系、权重及测算方法
Table3.Evaluation index system of livelihood sustainability of farmers household and indexes' weights and standardization methods

准则层 Criteria layer	要素层 Feature layer	指标层 Indicator layer	标准化方法 Standardization method	选取依据 Selection basis
生计资本 Livelihood capital C (0.55)C=C₁×0.45+ C₂×0.20+ C₃×0.15+ C₄×0.15+ C₅×0.05	人力资本 Human capital C₁ (0.45)C₁=C₁₁×0.50+ C₁₂×0.25+C₁₃×0.25	家庭整体劳动能力 Family’s overall labor ability C₁₁ (0.50)	家庭成员劳动能力总和/样本农户家庭人口规模的平均值 Sum of labor ability of family members / average of population size of sample households	劳动能力 Labor ability
		家庭成员受教育程度 Family members’ education level C₁₂ (0.25)	家庭成员受教育程度总和/样本农户家庭成员受教育程度的平均值 Sum of educational level of family members / average of educational level of sample households	知识储备度 Knowledge reserve
		人均医疗费用 Medical expense per capita C₁₃ (0.25)	人均医疗费用/样本农户人均医疗费用的最大值 Medical expenses per capita / maximum of medical expenses per capita of sample households	健康状况 Physical condition
	自然资本 Natural capital C₂ (0.20)C₂=C₂₁×0.55+C₂₂×0.45	人均水田面积 Paddy area per capita C₂₁ (0.55)	人均水田面积/样本农户人均水田面积的最大值 Paddy area per capita / maximum of per capita paddy area of sample households	资源丰富度 Resource richness
	自然资本 Natural capital C₂ (0.20)C₂=C₂₁×0.55+C₂₂×0.45	人均旱地面积 Dry land area per capita C₂₂ (0.45)	人均旱地面积/样本农户人均旱地面积的最大值 Dry land area per capita / maximum of per capita dry land area of sample households	资源丰富度 Resource richness
	物质资本 Material capital C₃ (0.15)C₃=C₃₁×0.65+C₃₂×0.35	牲畜数量 Number of livestock C₃₁ (0.65)	牲畜数量/样本流转农户牲畜数量的平均值 Number of livestock / average of number of livestock of sample households	物质储备度 Material reserve
	物质资本 Material capital C₃ (0.15)C₃=C₃₁×0.65+C₃₂×0.35	物质设备指数 Material equipment index C₃₂ (0.35)	农户所拥有资本的种类数占所列种类数的百分比 Number of types of capital owned by farmers as a percentage of the number of species listed	设备储备度 Equipment reserve
	金融资本 Financial capital C₄ (0.15)C₁₄=C₄₁×0.30+C₄₂×0.70	政府补贴 Government subsidies C₄₁ (0.30)	—	政策驱动力 Policy drive
	金融资本 Financial capital C₄ (0.15)C₁₄=C₄₁×0.30+C₄₂×0.70	人均现金收入 Cash income per capita C₄₂ (0.70)	人均现金收入/样本农户人均现金收入的最大值 Cash income per capita / maximum of per capita cash income of sample households	资金获取力 Capital acquisition
	社会资本 Social capital C₅ (0.05)C₅=C₅₁×0.50+C₅₂×0.50	社会网络构建能力 Building ability of social network C₅₁ (0.50)	—	信息获取力 Information acquisition
	社会资本 Social capital C₅ (0.05)C₅=C₅₁×0.50+C₅₂×0.50	政策制度获取能力 Acquisition ability of policy system C₅₂ (0.50)	—	政策认知度 Policy awareness
生计策略 Livelihood strategy S (0.25)S=S₁×0.45+ S₂×0.25+ S₃×0.30	生计多样化指数 Livelihood diversification index S₁ (0.45)	—	农户家庭从事的生计活动种类数值 Types of livelihood activities undertaken by farmer households	职业适应力 Occupational adaptability
	收入多样化指数 Income diversification index S₂(0.25)	—	—	各收入均衡度 Income balance
	生计非农化水平 Non-agricultural level S₃ (0.30)	—	样本农户非农人口比重的平均值 Average of the proportion of non-agricultural population of sample households	非农生产力 Non-agricultural productivity
生计成果 Livelihood outcomes H (0.20)	家庭纯收入 Farmers’ net income H₁	—	农户家庭纯收入/样本农户家庭纯收入的最大值 Farmers’ net income / maximum of farmers’ net income of sample households	资本累计度 Capital accumulation

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表4耕地流转前后不同类型农户家庭特征
Table4.Family characteristics of different types of farmer households before and after cultivated land transformation

特征 Characteristic	纯农型农户 Pure-agricultural farmer household			农业主导型农户 Agricultural predominance farmer household			非农主导型农户 Non-agricultural predominance farmer household			非农型农户 Non-agricultural household
特征 Characteristic	Ⅰ	Ⅱ	增长率 Growth rate (%)	Ⅰ	Ⅱ	增长率 Growth rate (%)	Ⅰ	Ⅱ	增长率 Growth rate (%)	Ⅰ	Ⅱ	增长率 Growth rate (%)
样本量 Sample size (%)	7.36	3.37	-54.21	38.71	13.48	-65.18	15.73	43.82	178.58	38.20	39.33	2.96
人均耕种面积 Cultivated area per cap. (hm²)	0.21	0.17	-19.05	0.20	0.13	-35.00	0.16	0.07	-56.25	0.11	0.05	-54.55
劳动力人数 Number of labor	2.42	2.38	-1.65	2.63	2.64	0.38	3.38	3.41	0.89	3.26	3.26	0
务工人数 Number of workers	0.45	0.62	37.78	0.72	0.98	36.11	1.71	2.51	46.78	2.40	2.70	12.50
农业收入 Agricultural income (×10⁴ ￥)	4.45	4.34	-2.47	3.81	3.45	-9.45	1.72	1.63	-5.23	0.23	0.19	-17.39
务工收入 Employment income (×10⁴ ￥)	0.02	0.08	300.00	0.90	1.88	108.89	5.03	5.77	14.71	8.56	8.64	0.93
其他收入 Other income (×10⁴ ￥)	0.01	0.03	200.00	0.38	0.45	18.42	0.26	0.29	11.54	0.55	0.61	10.91
总收入 General income (×10⁴ ￥)	4.48	4.45	-0.67	5.09	5.78	13.56	7.01	7.99	13.98	9.34	9.44	1.07
??Ⅰ:耕地流转前; Ⅱ:耕地流转后。Ⅰ: before cultivated land transformation; Ⅱ: after cultivated land transformation.

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表5耕地流转前后不同类型农户各类生计资本评价指标值
Table5.Evaluation index values of different types of livelihood capital of different farmer household types before and after cultivated land transformation

生计资源类型 Livelihood capital type	纯农型农户 Pure-agricultural farmer household			农业主导型农户 Agricultural predominance farmer household			非农主导型农户Non-agricultural predominance farmer household			非农型农户 Non-agricultural farmer household
生计资源类型 Livelihood capital type	Ⅰ	Ⅱ	增长率 Growth rate (%)	Ⅰ	Ⅱ	增长率 Growth rate (%)	Ⅰ	Ⅱ	增长率 Growth rate (%)	Ⅰ	Ⅱ	增长率 Growth rate (%)
人力资本 Human capital	0.672	0.671	-0.15	0.656	0.678	3.35	0.714	0.749	4.90	0.749	0.752	0.40
自然资本 Natural capital	0.463	0.394	-14.90	0.442	0.324	-26.70	0.403	0.255	-36.73	0.381	0.227	-40.42
物质资本 Material capital	0.204	0.203	-0.49	0.215	0.217	0.93	0.209	0.212	1.44	0.211	0.212	0.47
金融资本 Financial capital	0.263	0.315	19.77	0.442	0.544	23.08	0.383	0.514	34.20	0.298	0.331	11.07
社会资本 Social capital	0.589	0.619	5.09	0.601	0.653	8.65	0.608	0.727	19.57	0.595	0.622	4.54
生计资本 Livelihood capital	0.495	0.489	-1.21	0.512	0.517	0.98	0.521	0.533	2.30	0.519	0.496	-4.43
??Ⅰ:耕地流转前; Ⅱ:耕地流转后。Ⅰ: before cultivated land transformation; Ⅱ: after cultivated land transformation.

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表6耕地流转前后不同类型农户生计策略评价指标值
Table6.Evaluation index values of livelihood strategy of different farmers household types before and after cultivated land transformation

评价指标 Evaluation index	纯农型农户 Pure-agricultural farmer household			农业主导型农户 Agricultural predominance farmer household			非农主导型农户Non-agricultural predominance farmer household			非农型农户 Non-agricultural farmer household
评价指标 Evaluation index	Ⅰ	Ⅱ	增长率 Growth rate (%)	Ⅰ	Ⅱ	增长率 Growth rate (%)	Ⅰ	Ⅱ	增长率 Growth rate (%)	Ⅰ	Ⅱ	增长率 Growth rate (%)
生计多样化指数 Livelihood diversification index	2.445	2.496	2.09	2.725	3.143	15.34	3.101	4.140	33.51	3.413	3.671	7.56
收入多样化指数 Income diversification index	0.181	0.179	-1.11	0.201	0.219	8.96	0.258	0.336	30.23	0.314	0.336	7.01
生计非农化水平 Non-agricultural level	0.414	0.522	26.09	0.615	0.856	39.19	0.813	0.904	11.13	0.988	0.995	0.71
生计策略总指数 Total index of livelihood strategy	1.270	1.325	4.33	1.461	1.726	18.14	1.704	2.218	30.16	1.911	2.034	6.44
??Ⅰ:耕地流转前; Ⅱ:耕地流转后。Ⅰ: before cultivated land transformation; Ⅱ: after cultivated land transformation.

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表7耕地流转前后不同类型农户生计成果评价指标值
Table7.Evaluation index values of livelihood outcomes of different farmer household types before and after cultivated land transformation

	纯农型农户 Pure-agricultural farmer household			农业主导型农户 Agricultural predominance farmer household			非农主导型农户 Non-agricultural predominance farmer household			非农型农户 Non-agricultural farmer household
	Ⅰ	Ⅱ	增长率 Growth rate (%)	Ⅰ	Ⅱ	增长率 Growth rate (%)	Ⅰ	Ⅱ	增长率 Growth rate (%)	Ⅰ	Ⅱ	增长率 Growth rate (%)
家庭纯收入 Household net income	0.663	0.621	-6.34	0.698	0.723	3.58	0.701	0.731	4.28	0.699	0.709	1.43
??Ⅰ:耕地流转前; Ⅱ:耕地流转后。Ⅰ: before cultivated land transformation; Ⅱ: after cultivated land transformation.

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表8耕地流转前后不同类型农户生计可持续性评价指标值
Table8.Evaluation index values of livelihood sustainability of different farmers household types before and after cultivated land transformation

	纯农型农户 Pure-agricultural farmer household			农业主导型农户 Agricultural predominance farmer household			非农主导型农户 Non-agricultural predominance farmer household			非农型农户 Non-agricultural farmer household
	Ⅰ	Ⅱ	增长率 Growth rate (%)	Ⅰ	Ⅱ	增长率 Growth rate (%)	Ⅰ	Ⅱ	增长率 Growth rate (%)	Ⅰ	Ⅱ	增长率 Growth rate (%)
生计可持续指数 Livelihood sustainability index	0.722	0.725	0.42	0.787	0.860	9.25	0.853	0.994	16.53	0.903	0.923	2.22
??Ⅰ:耕地流转前; Ⅱ:耕地流转后。Ⅰ: before cultivated land transformation; Ⅱ: after cultivated land transformation.

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