小农户衔接现代农业有助于提升农户韧性吗？

——基于中国乡村振兴综合调查数据

邓 晗¹　苏岚岚²　孙同全^1,2

（1. 中国社会科学院大学；2. 中国社会科学院）

内容提要：着力提升农户韧性、增强农户可持续发展能力对于加快实现农民农村共同富裕具有重要意义。本文以缓冲能力、适应能力和学习能力测度农户韧性，采用2020年中国乡村振兴综合调查数据，实证探究小农户衔接现代农业对农户韧性的影响效果、作用机制及异质性。研究结果表明，小农户衔接现代农业能够提升农户韧性，尤其是改善了小农户的缓冲能力与学习能力；以采用电商与社会化服务表征的市场化衔接对农户韧性的提升作用大于以嵌入农业龙头企业或参与合作社表征的组织化衔接的影响。机制分析发现，缓解融资约束、改善市场交易与促进治理参与是衔接现代农业提升小农户韧性的重要路径。异质性分析结果显示，衔接现代农业对位于不同粮食功能区小农户韧性的影响无显著差异，对只种植粮食作物和兼种粮食与经济作物小农户的韧性有提升作用，且对于文化建设投入多、宜居水平高的村庄以及信息化条件好的家庭，衔接现代农业提升小农户韧性的效应更大。基于研究结论，本文提出探索构建农户韧性培育体系、完善小农户融入现代农业的财政金融支持政策、健全农村要素市场及交易机制等政策建议。

关键词：小农户；衔接现代农业；农户韧性；可持续发展能力；组织化衔接；市场化衔接

作者简介：邓晗，中国社会科学院大学应用经济学院博士研究生，北京，102488；苏岚岚，中国社会科学院农村发展研究所助理研究员，北京，100732；孙同全，中国社会科学院农村发展研究所研究员，中国社会科学院大学教授、博士生导师，通信作者。

基金项目：中国社会科学院重大经济社会调查项目“乡村振兴综合调查及中国农村调查数据库项目建设”（GQDC2020017）；中国社会科学院创新工程项目“农村金融服务体系建设及优化路径研究”（2023NFSA02）；国家自然科学基金青年科学基金项目“农民有序参与经济数字化驱动乡村数字治理效能提升的机制与政策研究”（72303238）

引用格式：邓晗,苏岚岚,孙同全.小农户衔接现代农业有助于提升农户韧性吗?——基于中国乡村振兴综合调查数据[J].经济与管理研究,2024,45(9):78-99.DOI:10.13502/j.cnki.issn1000-7636.2024.09.005.

Does Smallholders' Engagement in Modern Agriculture Help Improve Farmer Resilience?

—Based on the China Rural Revitalization Survey

DENG Han¹, SU Lanlan², SUN Tongquan^1,2

(1. University of Chinese Academy of Social Sciences, Beijing 102488;

2. Chinese Academy of Social Sciences, Beijing 100732)

Abstract: Enhancing the resilience and sustained development capacity of farmers is not just a theoretical concept, but a practical necessity for accelerating the realization of common prosperity for rural areas and farmers. This paper measures the resilience of smallholders in terms of buffering capacity, adaptive capacity, and learning capacity using the 2020 China Rural Revitalization Survey (CRRS) database and the instrument variable method. It then empirically examines the effect of smallholders’ engagement in modern agriculture on farmer resilience and the underlying mechanism. The research also compares the impact of organized and market-based engagement on farmer resilience and the heterogeneous effect across regions and among groups, underscoring the practical implications of the findings.

The main findings are as follows. First, smallholders’ engagement in modern agriculture improves farmer resilience, especially their buffering and learning capacity. Second, market-based engagement, characterized by the usage of e-commerce and social services, has a more prominent impact on smallholders’ resilience than organized engagement, characterized by smallholders’ embeddedness in leading agricultural enterprises or participation in cooperatives. Third, alleviating financing constraints, expanding market transactions, and promoting governance participation are the main ways smallholders’ engagement in modern agriculture improves farmer resilience. Fourth, there is no significant difference in the impact of smallholders’ engagement in modern agriculture on their resilience located in different food functional areas. In contrast, that impact occurs for those who only grow food crops and those who grow both food and cash crops. Moreover, the impact is more significant for villages with more investment in cultural construction and a higher livability level and for families equipped with better information technology infrastructure. These findings suggest that enhancing smallholders’ resilience needs systematical resilience cultivation programs, more financial support, and the improvement of market transactions in rural areas.

The marginal contributions are threefold. First, using nationally representative micro-survey data, this paper identifies and classifies how smallholders are engaged in modern agriculture. Second, it constructs a theoretical analytical framework and empirically tests the effect from the perspective of alleviating financing constraints, improving market transactions, and facilitating governance participation based on the theory of synergy. Third, it empirically examines the differences in the impacts of organized and market-based engagement on farmer resilience and reveals the heterogeneous effect across regions and among groups, providing a comprehensive understanding of the topic.

Keywords: smallholder; engagement in modern agriculture; farmer resilience; sustained development capacity; organized engagement; market-based engagement

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