【作者】 王晓军；

【导师】 刘纯彬；

【作者基本信息】 南开大学 ， 产业经济学， 2012， 博士

【摘要】 中国的农业，对于中国整体经济和社会发展的重要性，怎样强调都不会过份。解决中国农业在改革和发展中存在的问题，对于中国乃至全球的重要性，怎样评价都不会过高。中国的农业发展取得了举世瞩目的成就，但技术的贡献率依然较低，农业技术创新不能适应农业发展的需要。在新的历史时期，突破发展中的土地资源硬约束，技术创新是根本。发展现代农业，技术创新是最有力的支撑。增加农民收入，技术创新是必要条件。满足农产品市场需求，技术创新是保障。实现农业技术创新活动的有效运行，激励问题是核心。我国农业技术创新中出现的问题，源于各经济主体的创新激励不足或扭曲。本文的研究对象为我国农业技术创新中的激励问题。遵循经济研究“本体论”的基本要求，根据农业技术创新中的不同经济活动主体，围绕主体经济行为的激励问题，解释我国农业技术创新中的因果关系，阐发因果发生机制。将我国农业技术创新中出现的问题解释为各主体创新激励方面存在的障碍。本文综合运用历史分析、比较借鉴、均衡分析和博弈论等方法，分析了政府、农业公共科研机构、农业私人科研机构、农业技术推广各主体、涉农企业和农业生产者等主体的创新行为。中国农业科研的主要问题之一是财政资金投入少，公共科研投入的主体应是政府。本文认为，公共科研投资是一个内生变量。公共科研投入的不足可以归结为政府激励的不足。这是由于对政府的经济增长目标而言，投入农业科研形成较低的比较利益，农业对政府的较低比较利益由农业GDP份额的变化这一外生条件所决定。政府的粮食生产目标、科研活动的结果、农业生产中的劳动力流动、农业生产者素质、农业生产条件、农业技术溢出等是影响公共农业科研投资的重要变量。中国农业技术创新中科研成果的低质低效是又一重要问题。公共农业科研活动的主体是科研管理机构与科研人员。本文分析了农业科研管理者和科研人员之间的委托-代理关系。不确定性和风险规避性决定了农业科研活动的最优激励安排。农业科研中的问题部分归因于偏离最优激励安排。表现在对农业科研项目基金制的过度依赖、改革过程中的盲目企业化和科研事业费的减少。中国私人农业科研投资同样呈现不足局面。私人投资活动的实现，需要满足一定的条件且其投资具有选择性。私人投资的不足由公共科研投资不足所产生的激励不足引起。同时，私人创新收益的可得性也是一个重要的影响因素。中国农业技术推广中的问题主要是由公共农业技术推广投资的激励不足、人员配置的激励缺失、人员和资金结合配置激励不足、人才能力培养激励不足以及公共农业技术推广运行自身的激励缺失所引起的。特别是农业技术推广活动结果评价的复杂性产造成了公共农业技术推广运行自身的激励缺失。涉农企业是农业技术创新中的一个重要主体。然而，市场自发行为会导致技术创新的激励不足。在完全竞争市场中，技术的特征和固定资产的可逆性是决定企业采用新技术的重要激励因素。在不完全市场竞争中企业之间的博弈行为造成了新技术采用的滞后，构成新技术采用中的负激励。旧技术退出过程中企业之间的博弈行为造成旧技术退出的滞后，贴现率、固定成本及其可逆性、退出成本和垄断利润均影响企业的退出激励。农户的新技术采用是农业生产者技术创新的主要形式，从而构成我国农业技术创新中的最重要主体。主流经济学关于农户新技术采用行为研究的基本前提在我国的实用性需要拓展。劳动力流动构成我国农业生产的一个重要特征。劳动力的选择性流动扩大了农户的选择集，造成新技术采用的激励不足。本文主要的创新在于：1.遵循经济研究“本体论”的基本要求，研究了我国农业技术创新中公共科研投资的内生决定问题，把对问题的理解引向深入。2.跳出就农业论农业，就农业技术论农业技术的思维模式，将劳动力流动纳入农户技术创新的框架之中，分析其对农业技术创新的影响。3.运用委托-代理理论研究我国公共农业科研活动，将风险和信息不对称引入分析框架之中，使对问题的理解由表象研究向深度解释过渡。4.将涉农企业的技术创新行为纳入研究之中。同时，引入博弈论分析方法，丰富了研究内容，拓展了研究方法。由于农业技术创新过程的复杂性、微观数据的收集困难和鉴别问题，本文对涉农企业技术创新的研究需要进一步深入。同时，在农户的新技术采用行为中，关注农户内部因素对技术创新的影响还嫌不够。更多还原

【Abstract】 We can never emphasize too much about the importance of China’s agriculturefor the overall economic and social development in China, and the importance of theproblem’s solving in China’s agriculture for China and even the world.The agricultural development in China has made remarkable achievements, butthe contribution of technology is still low, agricultural technology innovation can’tsatisfy the needs of agricultural development. The technology innovation is essentialfor breaking constraint of land resources, a powerful support for developing modernagriculture, a necessary condition to increase the income of peasants, a powerfulguarantee to meet the agricultural product market demand in new period. Incentiveproblem is the core in realizing the agricultural technology innovation.The problemsfrom agricultural technology innovation in China lies in insufficient incentives.This paper takes the incentive as the object of study in agricultural technologyinnovation. Following the basic requirements of the ontology of economic research,and according to different economic activist in agriculture technology innovation,focusing on the incentive problems of different economic behavior, it explains thecausality in agriculture technology innovation and expounds causal happeningmechanism. It explains the existing problems of agriculture technology innovation asinnovation incentives problems of every subject. It studies the innovation behaviorsof the government, public research institutions, private research institutions, eachsubject of agricultural technology extension, agro-linked enterprises, agriculturalproducers applying the methods of historical analysis, comparison and reference,game theory, equilibrium analysis synthetically.The lack of investment in agricultural research is the main problem. Thegovernment is the main body for agricultural research investment. This paper pointsout that public research investment is an endogenous variable. The lack of investmentin public scientific research can be attributed to the shortage of government incentives.It is formed by the government’s economic growth targets and the lower comparative profit deriving from the investment into agricultural scientific research, the latter isdecided by the change of agriculture GDP share which is exogenous. The variablesaffecting publicly financed agricultural research investment are as follows: thegovernment’s food production target, the nature of the results of scientific researchactivities, the labor flow in agricultural production, the quality of agriculturalproducers, production conditions in agriculture and technology spillover effects.The inferior quality and inefficiency is another important question in ourcountry’s agricultural technology innovation. The main body of public agriculturalresearch activities is the scientific research management institution and scientificresearch personnel. The paper studies the principal-agent relationship betweenagricultural scientific research manager and scientific research personnel. Uncertaintyand risk–aversion decides the optimal incentive arrangements in agricultural scientificresearch management. The problem deriving from the reform of agricultural scientificresearch lies in the deviating from the optimal incentive arrangements, such asexcessive dependence on competitive research fund system, operating the researchinstitute enterprising blindly, the decreasing of the research expense.The private investment in agricultural scientific research is also lack. Therealization of the private investment activities needs some certain conditions, and itsinvestment is selective. The shortage of private investment is caused by inadequateincentive deriving from the shortage of public research investment. Private innovationearnings accessibility is also an important factor.The main problem in agricultural technology extension are caused by thefollowings, the insufficient incentive in public investment, the insufficient anddistorted incentive in the arrangement between personnel and investment, insufficientincentive in talent ability training, and insufficient incentive from the publicagricultural technology extension itself. In particular, the latter is cased by thecomplexity of evaluation for activity of agricultural technology extension.Agro-linked enterprise is another important main body in agricultural technologyinnovation.Market voluntary behavior will produce negative incentives for innovationIn completely competed market, technology characteristics and assets reversibility arethe important incentive factors deciding the new technology adoption for firms. In incompletely competed market, the game behavior between enterprises can cause thelag adoption for new technology. The game behavior between enterprises can causethe lag exiting for old technology. The discount rate, fixed cost and its reversibility,exiting cost, monopoly profits affect the incentive for exiting.The new technology adoption of the farmer is the main form of technologyinnovation for agricultural producers, and thus is the most important body inagricultural technology innovation. It is needed to expand the basic premiseconcerning the technology adoption behavioral research from the mainstreameconomics for practical using in our country. Labor flow selectively expands farmer’schoice sets, and causes insufficient incentive to new technology adoption.The main innovation of this paper lies in four aspects. First, studies problemwhich is decided endogenously for the public investment in agricultural science andtechnology research, leads the research further more. Second, Jumping out of thinkingpattern discussing agriculture with respect to agriculture, and agriculture technology,it brings the labor flow into the framework and studies effects on agriculturaltechnology innovation. Third, applying the principal-agent theory studies the publicagricultural scientific research activities, brings risk and asymmetric information intothe analysis framework, leads understanding for the problems from the representationto explain the transition. Fourth, brings the behavior of agro-linked enterprise intoanalysis framework. And brings the game theory method into the paper, enriches theresearch methods, expands the research content.Because of the complexity of the process of agricultural technology innovation,micro data collection difficulties and identifying problems, study on agriculturalenterprise technology innovation research need to be further and the attention tointernal factors influencing the new technology adoption for farmers is less.更多还原