【作者】 喻亚平；

【导师】 齐振宏； 李崇光；

【作者基本信息】 华中农业大学 ， 农村中小企业管理， 2014， 博士

【摘要】 上世纪90年代,为了加入WTO,履行国际条约义务的承诺,我国陆续颁布实施了植物新品种保护条例和种子法,加入植物新品种国际保护公约(UPOV),建立了较为全面的植物新品种保护制度,正式拉开了我国种业市场化改革的序幕。这种强制性制度变迁的效果如何,种业科技创新的体制机制性障碍是否被破除,西方发达国家主导的植物新品种保护制度的全球化进程我们是否适应,激励育种创新以提高育种创新能力的政策目标是否实现。面对国内外各种新形势和新问题,探讨影响我国种业科技创新与发展的这些深层次问题,科学评价我国农作物种业育种创新的效率水平,借鉴他国品种权公共政策实践的成功经验,总结我们自身运用制度方面的成功与不足,这对于进一步完善这一制度,优化配置相对有限的育种资源,提高育种创新效率都具有十分重要的理论与现实意义。本文在梳理相关理论和国内外文献的基础上,综合运用文献分析、比较分析、定性分析、定量分析等方法,首先考察了我国农作物育种创新的历史、现状及存在的问题；其次分析了我国种业创新面临的国内外环境及其变化；接下来结合所搜集的数据资料,构建我国农作物育种创新的效率评价指标体系,运用数据包络分析的Malmquist指数分析法等数理经济学和应用统计学工具,实证分析了我国农作物育种创新效率；最后针对农作物育种创新的特殊性和我国农作物育种创新现状及制度发展中存在的主要问题,在借鉴典型国家农作物育种创新的实践经验的基础上,提出了构建未来我国政府主导下的多方协作农作物育种创新模式的总体思路、机制构建以及政策体系的完善。本研究的主要结论有：1.上世纪90年代我国为加入WTO,履行国际条约义务而建立的植物新品种保护制度,总体上属于强制性制度变迁；这种强制性制度变迁不断将我国种业市场化改革引向深入,虽取得诸多成就,但育种创新的体制机制仍未理顺,基础性育种与商业育种职能混为一谈,导致育种创新存在诸多问题。一方面是对基础性育种的社会公益性和公共物品特性认识和重视不够,导致基础研究贫乏,消弱了育种创新的水平和持续发展的后劲；另一方面是以企业为主导的商业化育种体系仍未建立,企业育种积极性不高。2.当前我国农作物育种创新面临着国内外环境的发展变化。在国内,种业市场化改革不断深入,种业发展被提升为国家战略；在国际上,后TRIPS时期,西方发达国家主导了植物新品种保护制度的全球化进程,不断推高植物新品种国际保护水平。发达国家与发展中国家之间甚至发达国家之间基于各自不同的利益诉求,采取了不同的政策措施,控制与反控制,相互博弈,使得品种权国际立法日趋复杂。3.2008-2012年,我国农作物育种创新效率处于适度增长的态势,年均增长率为1.9%,但从不同时期来看,我国农作物育种创新效率呈现明显的波动特征。从农作物育种创新效率的Malmquist指数分解来看,我国农作物育种创新效率的增长主要是由技术进步引起的,而不是得益于农作物育种技术效率的改善,在2008-2012年间,我国农作物育种的技术进步年均增长率为7.1%,而农作物育种的技术效率为-4.7%；从我国农作物育种区域创新效率的分解来看,在育种创新效率的增长速度上,东、中、西部三大地区育种创新效率均实现了增长,但是存在着显著的区域差异。可能的创新点：(1)研究视角的创新。以育种创新效率为研究视角来考察我国植物新品种保护制度的整体运行状况,总结成功与不足,以期为这一制度的完善提供参考；(2)研究内容的创新。站在发展中农业大国的立场,对后TRIPS时代国际植物新品种保护制度发展的新动向进行考察,对典型国家育种创新的成功实践进行分析,为我国种业育种创新提供借鉴；(3)研究方法的创新。运用R&D效率评价模型——数据包络分析法,使用效率评价DEA P2.1软件对我国农作物种业育种创新的投入产出效率进行了实证分析。更多还原

【Abstract】 Since1990s of last century, some protection regulations of new plant varieties and laws of seeds have been issued one by one in China for joining WTO and realizing the promise towards international treaty duty. China begins to open the prelude of market-oriented reform of the seeds, when China has joined in the International Convention on the Protection of New Varieties of Plants (UPOV) and has established a full scale protection system of new plant varieties. There are many issues worth to discuss, such as how about result of the change of the compulsory systems of the New Varieties of Plants; the systematic obstacles of the seeds science and technology innovation; the China’s adaptability towards global process of the New Variety Plant protection system between the protection system dominated by the developed countries; the realization of policy targets of motivating breeding innovation to increase breeding innovation ability, the deep reasons affecting China’s innovation and development of seed science and technology under new international environments. What is more, it is theoretical and practical significance in further improving the breeding system, optimizing breeding resources and increasing breeding innovative efficiency, when this dissertation takes scientific evaluation on China’s efficiency of crop breeding and draw lessons from other countries’successful experience resulted by the public policy implementation of the variety right, summarizing the achievements and deficiencies as well.The dissertation analyzes relative theoretical literature reviews from China and other countries. Firstly, it takes comprehensive study methods including documenting, comparative, qualitative and quantitative methods to analyze our countries’innovative history of the crop breeding; secondly, it discusses the environment change our countries’ seeds face; thirdly, on the basis of collected date documents, it establishes index system of efficiency evaluation on the crop breeding innovation and takes empirical study on the issue of the agricultural breeding efficiency by mathematical economic and applied statistics tools of data envelopment analysis(DEA)’Malmquist; lastly,The dissertation has main contents and conclusions as following:1. Since the1990s of last century when China has become one member of the WTO, it has established the protection system of the New Varieties of Plants to fulfill international obligations, of which it is generally featured with compulsory system flux. The compulsory system flux constantly deepens China’s seed market reform. However, it results in many problems of failing to straighten mechanism of breeding innovation system and to specify breeding functions between foundation and business, weak breeding innovation as well, although there are some achievements. On one hand, there are no enough attentions and stresses on the social public welfare and public goods characteristics of foundation breeding. Thus, it results in deficiency on foundation research, reduces the level of breeding innovation and weaken delayed effects of breeding innovation sustainable development; on the other hands, because there is no constructing business breeding system in which the corporations dominant, the corporation’s enthusiasm is suppressed.2. This dissertation analyzes the domestic and foreign environments and its change the crop breeding innovation faces in China. At home, the seed market reform gets further improvement, becoming a national strategy; In the post-TRIPS time, the global process of the protection system of the new plant varieties the western countries dominant constantly raises international protection level of the new varieties of plant in the world. Due to different interest appeals among developing and developed countries, they take different policy measurements to control and against control. As a result, the issue of the international legislation on the Plant Variety Right becomes complex.3. The dissertation states the efficiency of China’s crop breeding innovation. From the year of2008to2012, the innovative efficiency of crop breeding is growing with annual average growth of1.9%in China. However, our countries’ innovative efficiency of crop breeding is featured with obvious fluctuating characters in different periods. From the point of Malmquist index of crop breeding innovating efficiency, it can find that the innovating efficiency growth of the crop breeding is resulted from its technology improvement rather than its technology efficiency. From the year of2008to2012, the annual average growth of our countries’crop breeding is7.1%. Compared with that, the technology efficiency of crop breeding is-4.7%. From the points of innovating efficiency of crop breeding in different districts in China, the growth rates of breeding innovation are significantly diversified, although they are totally growing among three main districts of the East, Middle and West.The possible innovating points:(1) the innovation of research view. Taking the breeding innovating efficiency as research view, the dissertation summarizes the achievement and shortcoming for providing reference to improve the protection system, when it discusses the general running of our countries ’protection system of new plant varieties;(2) the innovation of research content. In order to provide reference to breeding innovation, the dissertation explores new trend of protection system development of new international plant variety in the post-TRIPS time and analyzes the successful practices with some typical countries by the stand of big developing agricultural country;(3) the innovation of research method. Using R&D model of efficiency evaluation—DEA method, the dissertation takes empirical analysis on the innovating input and output efficiency of China’s crop breeding with DEAP2.1of efficiency evaluation software.更多还原