农业技术创新过程研究

【作者】 刘剑飞；

【导师】 戴思锐；

【作者基本信息】 西南大学 ， 农业经济管理， 2012， 博士

【摘要】 农业资源的不足、要素约束的增强、自然灾害的频发,使中国的农业发展面临重大挑战,依靠农业技术创新推进农业新发展已成为人们的共识。农业技术创新是一个多主体参与的复杂过程,对这一过程发生、发展、演进的规律和机制进行研究,对参与这一过程相关主体行为进行分析,对这一过程的条件塑造和管理调控进行探索,既具有重要理论意义,又具有重大实用价值。1.主要研究内容(1)农业技术创新内涵和特征的研究。对农业技术创新与其它技术创新的区别和联系进行了对比,对农业技术的领域进行了界定,对其类型进行了划分,对其特点和功能进行了总结,对单项农业农业技术和农业技术体系的关联关系进行了研究。对农业技术创新的目标、思路、领域行了分析论证,对创新类型、发生规律、诱导机制和实现条件进行了研究。(2)单项农业技术和农业技术体系演进研究。以农业技术的发生、发展、演进为主线,从单项农业技术和农业技术体系两个层面研究农业技术创新的过程。重点研究了单项农业技术研发、传播、推广和更新的发生与演进,农业技术体系的生成、完善、运行与更新以及农业技术体系演进的过程、类型及特点。(3)农业技术创新过程的主体行为分析。对农业技术创新过程中的主体进行了确认并提出了确认的标准,对各类农业技术创新主体的行为目标、行为准则、行为方式和行为内容进行了深入研究,对农业技术创新过程中不同主体之间的行为关联及行为协调的内容、方式等进行了分析论证,对农业技术创新主体的行为、创新过程、创新绩效的影响进行了研究。(4)农业技术创新过程持续进行的支持条件研究。本文从资金配置、条件塑造、研发团队和过程管理四个方面对农业技术创新支持条件展开了研究。研究了研发、推广和应用环节的资金需求、资金配置和资金有效使用及循环。研究了创新过程中实验室研发基地、试验示范基地、研究开发队伍和技术应用条件的建设与配套等。(5)农业技术创新过程的实证研究。本文以水稻品种技术创新为例,并具体结合长江上游地区第一个优质稻品种Q优系列水稻新品种的技术创新过程,对农业技术创新过程进行了实证分析。回顾了Q优水稻品种技术创新需求提出的背景,阐述了技术创新目标的设定和创新任务的选择,研究了技术研发过程和区域试验设计,论证了Q优系列水稻新品种技术体系的形成过程、传播过程和应用普及过程,验证了水稻新品种更新过程的内在机理。论文还以Q优系列水稻新品种技术创新为例,论证了水稻新品种技术创新对农户、企业的收入效应,以及宏观收益,在科学估计水稻生产函数的基础上,测算了水稻品种技术投资产生的投资总收益、边际收益、长期边际收益以及内部收益率。(6)农业技术创新制度建设和政策支持的研究。研究了创新规划、创新过程、创新成果的管理。研究了契合农业技术创新过程属性和过程规律的规划立项制度、过程管理制度,探讨了农业科技管理体制的创新,探寻了创新主体激励机制的构建及可持续创新机制的生成,论证了政府农业科技投入的主体地位及创新主体行为关联与协调的重大作用,提出了农业科技创新过程管理的新思路。2.主要研究结论(1)农业技术具有独特的内涵与特征。农业技术泛指服务于整个农业产业链各环节的技术的总称,既包括各种自然科学技术,也包括现代管理科学技术,是由众多既相互联系又相互区别的单项技术组成的技术体系。它呈现出研究对象复杂、研究过程长期连续、技术使用受区域性限制、技术成果准公共品属性、技术应用的系统整体性等固有特点。农业技术具有增加农业有效产出、改进农产品品质、提高农业生产效率、拓展农业发展领域,以及节约成本、增加效益等多种功能。(2)农业技术创新是复杂的过程体系。农业技术创新是由多个相对独立且功能各异的主体参与,由多阶段构成、多层次发展、多门类综合的复杂过程,受自然生态、科学技术、经济社会发展等多因素影响。狭义的农业技术创新主要是指农业技术研究和开发过程,而广义的农业技术创新是指从农业技术研究开发到农业技术推广应用再到农业技术更新的全过程。基础理论和相关技术的重大突破、研究方法与手段的重大改进、市场对农业技术的需求是农业技术创新发生的内因；有利的社会人文条件和制度条件、高水平的研发团队、持续稳定的资金投入、必备的研究基地是农业技术创新的客观条件；市场诱导、政府引导和创新主体的自主探索机制是农业技术创新的动力。(3)主体行为在农业技术创新过程中发挥关键的作用。农业技术创新主体包括政府、农业技术研究机构和人员、农业技术推广机构和人员、农业生产者。政府对技术创新行使管理决策和提供资金、物资支持,农业技术研究机构和人员主要承担研究工作、创造和提供农业技术成果,农业技术推广机构和人员主要承担农业技术的宣传、传授及应用指导,农业生产者接受、选择和应用农业新技术并反馈相关信息。各创新主体彼此之间的行为协同,才能顺利完成技术创新的全过程。(4)必要的创新要素条件是农业技术创新的社会基础。高水平的研发团队建设是农业技术创新的人力资本基础；研发基地建设、研发团队建设、试验示范基地建设和成果应用条件建设是农业技术创新的必备基础条件,有效的资金及物质支持是农业技术创新的基本保证,及时准确的创新信息是维系农业技术创新过程的血液系统。(5)过程管理和协调是确保农业技术创新过程持续进行的重要手段。科学的规划管理可以为农业技术创新指明正确的方向,准确的立项管理可以为农业技术创新确定准确的范围与具体目标,有效的过程管理可以协调相关主体行为、合理配置科技资源、推进创新工作的有序开展,保证创新环节的衔接,严格的成果管理有利于保护农业知识产权、正确评估农业技术成果的贡献、促进农业技术成果的应用。(6)体制与制度是农业技术创新的根本保障。落实政府农业科技投入主体的法律责任、建立农业科技的财政定量投入机制和稳定增长机制是农业技术的财力保障。理顺农业科技管理体制、将分散农业科技管理职能集中到农业行政主管部门可以消除创新工作监管混乱。深化农业科技体系改革、对省级农业科研与技术推广机构整合可以实现研发与推广的无缝链接。完善政府投资科技成果的国有资产管理、明晰国有产权有利实现成果的社会共享。完善公共科研及推广机构的内部管理运行机制、推行全员聘用制可以调动科技人员积极性。3.论文创新点(1)农业技术创新属性决定了需要对其实施特殊支持和特别管理。农业技术创新的复杂性、长周期性特征,对某些领域必须实行稳定持续、数量充分的财政支持制度,以确保农业技术创新过程层次性、持续性的顺利实现。建立农业基因资源、农业科学数据、农业生产技术等公共品管理制度,促进农业技术创新的发生,降低社会成本。(2)有必要对政府农业科技投入方式进行分类改革。政府应在长期内担当农业科技投入的主体责任,当前应加大农业科技投入。待时机成熟后政府才能从非公益性农业科技领域逐步退出,并让企业成为非公益性农业科技领域的投资主体。(3)农业技术创新主体的有效合作是完成创新过程和提升创新绩效的重要因素。农业技术创新主体间在合作上达成共识,在职能发挥上相互配合、互为补充,在工作进程上相互衔接、递次推进,在工作质量上符合创新内在要求,可以加快创新进程、提高创新绩效和节约创新成本。建立技术需求者参与政府农业技术创新项目决策的机制,实施用户主导的农业技术创新考核评价制度,可以防范、杜绝创新主体的道德风险,净化创新社会氛围。4.需要进一步研究的问题(1)农业技术创新过程中,中央与地方、地方与地方间的分工协作议题至关重要,当前因为分工不明,职责不分,常常导致重复创新,协作松散,不利于提升创新绩效,需要进一步研究；(2)环境响应问题。农业生产条件如资源、社会和其他条件发生变化,农业技术研发如何与之相适应的问题,或者环境变化对技术创新提出了哪些新的要求,需要进一步研究；(3)技术应用的条件需要进一步研究。本文对技术应用的相关条件有所涉及,但由于篇幅限制,只是对这个问题进行提出,没有深入研究,为此要对技术应用条件包括生产组织培育、技术应用的条件限制等进行更为深入的研究。更多还原

【Abstract】 China’s agricultural development is facing big challenges due to lack of agricultural resources, increasing restrictions imposed by key elements and frequent natural disasters. However, there is a clear consensus as to achieving the agricultural development through promotion of agro-technological innovation, a complex process which multi organizations are usually engaged in. Therefore, theoretically and pragmatically, it would be of great importance and value to study the rules and mechanisms on how the process takes place, develops and evolves, how the organizations involved would behave as well as to explore what conditions are required and how to manage and regulate the process.1. Main Research Topics(1) The conception and features of Agro Tech innovationClarify the differences and connections in innovations between Agro Tech and other technologiesDefine the scope and hierarchical system of Agro Tech plus its features and functionsExplore the connections between an individual agro-technology and the agro-technique systemPresent Agro Tech innovation objectives, strategy and realms, based on the comprehensive analysis on innovation types, occurrence rule, innovation-induced and realizing mechanism.(2) Research in individual agro-tech and the evolution of agro-technical systemThreading through the line along which the agro tech is invented, developed and evolves, a research in agro-technology innovation was conducted with focus on the individual agro-tech and agro-technical system. Great efforts were put to the research on the evolutionary process whereby an individual agro-tech takes place, develops, spreads and improves. Another equally important study was also carried out on how the agro-technical system is formed, refined, conducted and reformed plus an analysis on its evolutionary process, types and characteristics.(3) Analyzing the behavior of Agro tech innovation carriersAgents engaged in the agro tech innovation are defined and a new standard for agro tech innovation carriers is put forward. An in-depth study was conducted to interpret the targets, codes, patterns and meanings of innovation carriers’behaviors. Issues such as how these agents interact and co-ordinate, and what effects are caused by their innovation activities and performance are explored and analyzed.(4) What factors contribute to the sustainable innovation of Agro TechFour factors that would contribute to the sustainable innovation of Agro Tech are discussed in this paper, namely the capital allocation, condition creating and process managing, with further probing into fund demand, capital allocating and cyclical using of fund in a cost-effective way. The R&D labs and teams, experimental showcase bases and the facilities and amenities for technological application were visited and studied.(5) Empirical research in agro-technology innovationBased on the observation of Tech innovation in hybrid rice varieties, especially that in hybrid rice variety of Q series-the1st superb rice variety ever cultivated along the upper reaches of the Yangtze River, this paper records and analyzes the process of agro-tech innovation, from the background for the technical reformation to take place in Q hybrid rice varieties to the sampling of rice variety for a technical innovation. After studying the R&D process and regional test plans, this paper demonstrates the constructing process of technology system for Q hybrid rice varieties as well as the spreading and application of this system. The internal mechanism for variety innovation in rice was found and proved. What’s more, the case of Q hybrid rice varieties proves that tech innovation in rice variety would have income effect and bring macro profits to farmers and enterprises. In this paper, income statistics are calculated to estimate the investment return in variety innovation in hybrid rice, inclusive of the total ROI (return on investment), marginal revenue, long-term marginal revenue and IRR (internal rate of return), using rice production function.(6) The construction of agro-technology innovation system and policy supportThis paper studies the innovation planning, innovation process and the achievement management, including the regulations of project planning and proposal, the process management systems which conform to the essence and laws of agro-technology innovation. Discussions are made on reforming of the agro-tech management system, establishing motivation system for innovative organizations and individuals, and designing of sustainable innovation mechanism. The government is proved to have played a domineering role in the agro-tech innovation input and new management concepts are put forth to promote the agricultural science and technology innovation.2. Main Findings of the Research(1) The agro-technology demonstrates "a mind of its own"The agro-technology refers to the methods and technologies needed for efficient production along the chain of agricultural industry, including all different types of science technology and technology of modern management, which, interacting as much as they are, combine to form a technical compound, taking into account of its complex research objects, long-term course of studying, technology utilizing subject to regional restrictions and technical achievements carrying attributes of quasi-public goods. The agro-technology is widely used to increase effective output, improve the quality of agricultural products, elevate production efficiency, expand the fields of agriculture, as well as to reduce cost and gain more profits. (2) Agro-technology innovation is a complex processThe agro-technology innovation is achieved by the engagement of a number of relatively independent organizations or individuals, each conducting its own function. The innovation, usually rolled out in multi stages, is a complex process affected by many other factors such as the eco-environment, scientific technology and the eeconomic and social development. Agro-technological innovation in a narrow sense mainly refers to the research and development of agricultural technology while that, in a broad sense, goes further to the promotion of agro-technology and consequently leads to the reforming of itself. A major breakthrough in basic theory and related technologies, a significant improvement of research methods and means, or the market demand for agricultural technology would lead to the changeover of an agricultural technology; favorable social and cultural conditions and systems, veteran R&D team, sustainable financing support and well-equipped research base would help create an agreeable environment for agro-technology innovating; while the synergy gained from the markets, the guiding government and proactive explorations undertaken by organizations stimulate the technological innovation in agriculture.(3) Key innovation carriers play a major role in agro-tech innovationThe agro-tech innovation carriers can be the governments, an institution or individual engaged in agricultural technology research, a promoter for agricultural technology or a farmer. In the process of agro-tech innovation, governments are policy makers, administrators, funds and resource providers while the agricultural research institutions and personnel undertake the research work, produce and provide agro-technological achievements. Promoters are supposed to introduce and promote agro technologies as well as provide technical support while farmers should learn and apply new technology to production and give feedback. Only good coordination and collaboration among all participating agents could guarantee a successful implementation of the technological innovation.(4) Necessary hardware and favorable social environment make agro-tech innovation possibleAn R&D base and team, an experimental showcase base and the environment for utilizing agricultural achievements make up for the essential elements to initiate an agro-tech innovation. Effective financial and material support ensures the technological innovation to be carried out. Prompt and accurate information delivery plus good teamwork between related agents would speed up the technology innovation in agriculture, boost the innovation performance and reduce the cost of innovation.(5) Process management and coordination enables a sustainable development of the agro-tech innovation Scientific planning and management sets up the tone for agro-tech innovation; accurate project management defines the scope and targets; thanks to effective process management, actions of participating agents are regulated, scientific resources being reasonably distributed, innovations being carried out steadily and all tasks along the chain being connected; strict achievements management works in favor of the protection of agricultural intellectual property rights, proper evaluation of the contribution of agricultural technological achievements, and promoting the application of the achievements.(5) The system and regulations provide fundamental assurance of support for achieving agro-tech innovationTo urge the government to fully take up the legal responsibility for investing in agricultural science and technology as well as establish a mechanism of steady financial input and healthy growth of agricultural science and technology will provide fundamental assurance of financial support for achieving agro-tech innovation. To eliminate the administrative chaos in innovation implementation. the agricultural science and technology management system should be refined. Loose management should be tightened by returning the decentralized responsibilities to the administrative department in charge of agriculture. Deepen the reform of agricultural technology system. Integrating provincial agricultural R&D institutions and technology promotion agencies will allow these two centers to be seamlessly linked together. Meanwhile, efforts extended to improve management on state-owned asset invested by the government in scientific and technological achievements and to clarify the state-owned property would benefit the society, enabling it to share the achievements. Optimizing the management system that operates in the public research and promotion institutions, and introducing the full-time contract employment system would largely increase the enthusiasm of the R&D personnel.3. New Inspirations(1) Special support and management should be given to the agro-tech innovationThe process of agro-tech innovation is complicated and takes a long period. Therefore, a steady and continuous financial support is deadly required to ensure that the agro-tech innovation be accomplished smoothly. At the same time, systems for managing public goods should be established with regard to the agricultural genetic resources, agricultural scientific data and agricultural production technology, as a way to promote the agricultural technology innovation and reduce the social costs.(2) The ways that governments invest in agro-tech innovation should be reformedGovernment should prepare to act as the principal investor in agricultural science and technology development in a long run and increase input on agricultural science and technology right now. Only when time is ready could the government retreat gradually from the agro-technological fields of non-public service, allowing enterprises to become the principal investors in this field.(3) Effective cooperation among key innovation carriers will lead to the fulfillment of agro-tech innovation and round off innovation performanceOnce the major innovation carriers achieve agreement on how they would work together and how they complement each other, innovation tasks will be carried out efficiently one after another and quality performance will be delivered, hence, an accelerating innovation process marked by improved innovation performance and a lower cost.4. Issues for Further Study(1) Apart from collaboration, the central government and the local government play different roles in the carry-out of agro-technology innovation, which currently are not explicit. Unclear division of duties and mixed responsibilities often result in a loose cooperation and repeated innovation, bringing about a poor performance. Therefore, this issue needs more attention.(2) Environment’s ResponseWhen changes occur to some agricultural production elements, such as resources, social and other conditions, how will the agro-technology R&D reacts? What new challenges would arise to the technique innovation if the environment changes? These issues should be further discussed.(3) Conditions for technology application need more researchThis paper discusses some conditions to be required, yet just with a light touch due to words limit. More research should be done on the technology application conditions such as the cultivation of operating organization, restrictive conditions in technology application, and so on so forth.更多还原