【作者】 黄钢；

【导师】 徐玖平；

【作者基本信息】 四川大学 ， 企业管理， 2006， 博士

【摘要】 本文研究提出的农业企业科技价值链创新管理理论,源于对我国农业技术创新的历史、现状和未来的深度思考。中国农业技术创新面临着许多突出的矛盾,不断涌现的新品种、新技术与缓慢的粮食产量增长,先进的科技成果与落后的技术转化,强大的技术创新源与弱小的企业技术创新,开放的农业市场与没有硝烟的基因战争,这些都是制约中国农业技术创新的瓶颈。从我国农业科技资源布局的实际出发,借鉴发达国家农业科技发展的成功经验,遵循农业技术创新的客观规律,发挥多元化创新主体的协同创新作用,实施农业企业科技价值链创新管理战略,构建以企业为主体、产学研府民相结合的农业技术创新体系,走中国特色自主创新之路,这是中国农业现代化的必然选择,也是本研究的目的。本文按照“发现问题→提出假设→实证分析→完善理论”的研究范式,针对中国农业企业技术创新面临的矛盾提出了上述问题,构建了“科技价值链创新管理是提升农业企业技术创新能力的关键路径”为核心主题的研究假设树,以684家农业企业和大量统计资料为基础,围绕农业企业科技价值链创新管理开展了实证研究。基于技术创新主体多元论的企业科技价值链创新管理是本文立论的基础。技术创新对社会和企业既有正向作用也有负向作用。面对不同类型的技术创新组合,政府和企业的选择有所不同。被企业选中并最终获得商业化成功的技术创新仅仅是对人类社会有益的技术创新组合中的一小部分,大量的技术创新仍需要大学、科研机构或政府出资的科技项目来完成。科技价值链(STVC)是指从技术创新源到技术市场化开发的全过程中,由一系列相互独立、相互联系的创新主体链接起来的、使科技开发价值不断增值的创新链条集合体。这一创新链条集合体是一个复杂网络系统,包括创新来源(S)、原创构想(O)、技术设计(D)、实验原型(E)、技术孵化(I)、技术商品(C)、标准产品(P)和市场开发(M)等8类功能节点,企业、科研机构、大学、投资机构、政府、中介机构、推广机构等多元化创新主体是科技价值链系统中的组织成员,分别承担着不同的创新功能。企业科技价值链创新管理的最大特点,就是把从技术创新源到技术市场化开发的全过程视为多元化创新主体以企业为核心、以利益为纽带链接而成的链条集合体,通过企业科技价值链上中下游所有组织成员的紧密合作,降低交易成本,提高专业化水平,加强协同创新,促进科技成果沿着企业科技价值链网络系统迅速而高效地转化为企业的核心竞争力,从而达到所有组织成员运作效率最优化、利益最大化的目的。企业STVC创新管理的内部驱动因素主要源于提升企业核心能力、实现资源互补共享、加强协同创新效应和降低创新风险成本等需要。而外部驱动因素则主要源于新技术革命的推动、市场全球化的拉动以及它们之间的交互作用。技术创新阶段发育理论和三环模式构成了企业STVC创新管理的理论基础。技术创新的阶段发育理论认为:技术是生命有机体;从技术创新源到技术市场化的全过程,有序地经过技术孕育期、婴儿期和成长期,最后进入成熟期和衰老期;技术生命有机体有其阶段发育规律,遵循人工遗传进化规则;影响技术创新的多层次多要素构成了技术生命有机体发育成长的技术生态环境。在技术创新阶段发育理论的基础上,提出了技术创新三环模式。在企业技术创新过程中,技术生命有机体在其发育成长的三个阶段形成了由相关功能节点链接而成的三个关键创新环,即研发创新环、孵化创新环和市场创新环。三环模式中三个关键创新环的上半圆链接起来,构成了从O→D→E→I→C→P→M的技术创新价值链。三环模式中的三个关键创新环的下半圆链接起来,构成了从M→C→E→S→O的技术创新信息链。三环模式中关键创新环不断进行着非线性多重循环创新。多重循环创新由创新微循环、创新小循环和创新大循环构成。非线性多重循环创新观点是对企业技术创新过程的非线性、动态性和系统性的客观描述。企业STVC有单链式、双链式、多链式等三种运行方式及多种变化类型。在企业STVC双链式三环模式中,有并列、整合、分岔等链接模型。多链式三环模型有核心技术基因分化、远缘杂交基因聚合和多链式多基因融合等链接模型。与企业STVC发生联系和相互作用的环境因素构成了企业STVC的生态系统。从企业STVC生态系统的视角看,任何企业STVC在其生态系统中总是具有相应的生态位,企业STVC对多种环境因子的适应性构成了其多维超几何空间,企业STVC存在着生态位竞争、生态位分异及生态位重叠等现象。影响企业STVC发育成长的内外因素综合作用决定了企业STVC的生态位。在企业STVC技术创新的三环模式中,各功能节点之间的链接按照一定的规则有序进行,链接组合和方式不同,链接效果也不同。企业STVC功能节点之间的链接表现出定向有序性、无限多样性、互利共生性和价值递增性等特性。在企业STVC三环模式中,功能节点之间的链接类型是多种多样的,按链接功能可分为顺序链接单元、平行链接单元、信息链接单元、错误链接单元及活性链接结点等不同类型。在不同链接单元中,按其链接强度,又可分为一体型、协同型和松散型三种链接类型。本文将三环模式中可能产生的64种链接单元汇总构建了企业STVC链接矩阵。企业STVC链接矩阵中的“两线四区”布局,即顺序链接增值线、平行链接增值线、错误链接三角区、危险链接三角区、信息反馈链接三角区和信息流动区,为企业STVC创新管理提供了有效的分析工具。企业STVC的主要链接模式有4种,即单环式链接模式(SCL)、双环式链接模式(DCL)、三环式链接模式(THCL)和网环式链接模式(NCL),这4种模式各有3种子模式。这12种链接子模式,在链接结构、关键创新环构成、创新功能、创新成果及网络组织类型等多方面均有区别。有多种决策要素影响企业STVC技术创新链接子模式的选择。企业科技价值链的演变趋势是沿着从单环式链接→双环式链接→三环式链接→网环式链接的路径进化。在对684家农业企业实证研究的基础上,指出了关键点链接管理在企业STVC创新管理的核心作用,并归纳出农业企业STVC的四大关键点链接管理:即保护知识产权、确定企业STVC生态位、强化企业内部STVC网络和外部STVC关键链接。实证研究表明,发达国家种子跨国公司具有完整、强大的ESTVC网络系统,已成为全球经营类农业技术创新的主导力量。中国种子企业尚未形成较完整的ESTVC,自主技术创新能力弱。中国农业科技企业往往具有较强的研发和孵化创新能力,但在市场创新方面严重不足。中国农业产业化龙头企业市场创新能力较强,但在研发和孵化方面创新能力有待提高,技术创新供需错位、多元化创新主体协同度差等问题突出,根源在于体制性障碍。因而,实施ESTVC创新管理创新战略是提升中国农业企业技术创新能力的关键。本文针对我国农业企业技术创新面临的突出矛盾,以农业企业为实证研究对象,围绕农业企业科技价值链创新管理开展了系统研究,在企业创新管理方面做出了有一定理论和实践意义的创新。主要创新点如下:(1)研究提出了科技价值链的原创性概念:在阐释技术创新主体多元论的基础上,提出了科技价值链(STVC)这一原创性概念。以农业技术创新为切入点,论证了技术创新主体多元化的客观性和必然性,剖析了由多元化创新主体链接而成的科技价值链创新链条集合体的结构、分类、功能节点和数学模型等,并指出了促使企业科技价值链生成和发展的内外部驱动因素,阐明了企业科技价值链创新管理的重要意义。(2)构建了企业科技价值链创新管理理论:提出了技术创新的阶段发育理论和三环模式,将技术创新源到技术市场化的全过程描述为有序链接、循环互动的三个关键创新环链接而成的STVC创新链条集合体。三环模式吸纳了前人技术创新动力模式和决策模式的合理内核,形成了独具特色的技术创新发育成长模式。将三环模式中可能产生的64种链接单元汇总构建了企业STVC链接矩阵。论述了企业STVC链接矩阵中的“两线四区”结构,为企业STVC创新管理提供了有效的分析工具。(3)归纳出ESTVC创新管理主要链接模式:以国内外农业企业为主要实证研究对象,凝练出企业科技价值链创新管理的4种主要链接模式及12种链接子模式。指出了各主要链接模式的特点,揭示了企业科技价值链路径进化演变的趋势。(4)提练出ESTVC管理的关键点链接理论:在对684家农业企业实证研究的基础上,指出了关键点链接管理在企业STVC创新管理的核心作用,并归纳出农业企业STVC创新管理的四大关键点链接管理。更多还原

【Abstract】 The theories of the management of the science-technology value chain innovation was originated from the considerations of the history, current situation and future development of the agricultural science and technology innovation in China. The contracdictions between the continuously developed new varieties, technologies and delayed increase in food yield, advanced research achievement and lagged transforming efficiency, predominant innovators and weak enterprises, open agricultural market and protected intelligence properties of genes were the bottle necks constraining Chinese agricultural science and technology innovation and had intimidated numerous small agricultural enterprises. Starting from Chinese practical distribution patterns of agricultural science and technology innovation resources, benefiting form the developping experiences of other countries, following the rules of agricultural science and technology innovation and transformation, constructing the new agricultural science and technology innovation systems cored by enterprises in combination with other institutions in governmental and private sectors could lead to the synergic effects between various innovators, implementing the new management strategies of innovation in the agricultural enterprises and the exploration of Chinese way of self-determined innovation. These were the only choices for the modernization of Chinese agriculture and also the goals of this research.In this research, the steps of "problem discovery-hypothesis proposal- case analysis-theory integration" were followed. The above contradictions and problems were proposed after investigating the prevailing difficulties confronting Chinese agricultural enterprises in their activities of science and technology innovation. Then the hypothesis tree was constructed to put the management of the science-technology value chain (STVC) as the core for modern agricultural enterprises to survive in market competition. Case studies of a series of hypothesis about the management of STVC innovation of agricultural enterprises were made on the basis of the data from 684 agricultural enterprises and statistical information and led to the conclusions in the followed texts.The management of the STVC innovation on the basis of the multiplity of the innovator was the foundation of the conlusion of this thesis. Technological innovation was the method for the enterprises to maximise their intrests and had both positive and negative effects to the enterprises and hunman societies. Governments and enterprises made different choices between different combinations of technological inovation. The innovations selected by the enterprises and sucessfully commercialised were only a small part of innovation combinations which were beneficial to whole human society. Lots of technological innovations had still to be complished by universities, research institutions and funded by the governments.Science-technology value chain (STVC) was an assemble of the links between a series of independent innovators to increase the value of science and technology development in the process from innovation sources to technology commercialization. Such link assemble formed a complicate net consisted of eight types of nodes including the source of innovation(S), original idea(O), technological design(D), experimental prototype(E), incubation of technology(I), technology commercialization(C), product standards(P) and market exploration(M). Universities, research institutions, enterprises, public and private investors, governments, intermediary and extension organs and various other agencies played different roles in constructions of STVC.STVC innovation management was characterized by the assemble of the chains linking the various innovators from the originality to the scaled market development by respective interest and the synergic effects to decrease exchange cost, promote specialization, enhance proficiency and maximize through the close cooperation between all the nodes in the chains, which enabled the proficient transformation of research achievements into the core competivities of the enterprises. The interior factors of STVC innovation management of the enterprises were mainly originated from the demands for the strengthening their core competitiveness, the complementation of the innovation resources to realize the synergic innovation effects. The exterior driving factors included new technology revolution, market globalization and their interactions.The theory about the developmental phases of technological innovations and three circle models constituted the foundations for the STVC innovation management. It considered technologies as life organisms with the same process of pregnancy, development, growth, maturity, and senescence as life during the process from innovation sources to scaled commercialization. The development of the such technology organism also followed the rules of artifical genetics and evolution whereas the multiple factors affecting the technological innovation constituted the artificial ecological environments.On the basis of the phased development of technological innovations, it was consequently proposed that phases of R&D, incubating, and technology innovation respectively formed three innovation circles composed of the involved nodes and the logical linking chains, i.e., R&D, incubation and market innovation circles.The value chain of technological innovation from O→D→E→I→C→P→M could be obtained by linking the upper semi-circles of the three circle in the innovation modes. The lower semi-circles of the three circle mode composed the value chain of technological information from M→C→E→S→O of technology innovation. The three circle mode put an emphasis on the multiple circles between the key nodes that dynamically described the non-linear, dynamic and systematic process of technology innovation in details and provided the basis of the technology innovation management for enterprises to enhance the minor or small circulations and reduce large circulations in order to elevate the innovation proficiency.The author also investigated the varied STVC forms with single, double or multiple chains of different enterprises and found that three circle modes of multiple chains were the main modes of the technology innovation. In the three circle modes of enterprise STVC, paralleling, merging, branching, integrating, crossing were possible dynamic status between the two related enterprise STVCs. Such thhree circle modes could be further typed as core gene differentiation, distant hybridization and multiple gene pyramiding modes for core technology innovation.The enterprise STVC developed in the interaction with the environment. The environmental factors linked and interacted with enterprise STVC constituted its eco-system. In the thesis, the author investigated the ecological system, niche, multi-dimensional ultra-geometrical space of adaptations and the phenomenon of niche competition, differentiation and overlap of enterprise STVC. The intergated effects of various factors determined the status of the enterprise STVC niche.In the three circle modes of enterprise STVC, the linkages between developmental nodes could be in variuous forms such as ordered linkage units, pararell linkage units, information linkage units, mistake linkage units and active linkage units, which were classified according to their linkage functions. The linkages could also be typed into the forms of integrated, cooperative and lax linkages.The total of the 64 possible linking combinations composed the linkage array of the enterprise STVCs. The pattern of ordered linked value increase line, paralell linked value increase line, mistake linkage triangles, risk linkage triangles provided the efficient analysis tools for the management of enterprise STVC innovation.There were four main modes of linkages in enterprise STVC: single-circled linkage ( SCL) , double-circled linkage (DCL), three-circled linkage (THCL) as well as networked-circle linkage (NCL) which, in turn, can be respectively divided into three sub-modes of the linkages. These 12 types of linking modes were different in the basic linking units, composition of key innovative circle, the division of innovation tasks, innovation achievements and linkage forms between different organizations. The selection of the STVC linking modes made by the enterprises were mainly affected by the factors of their innovative strategy, strength, technological developmental levels of the industries, market prediction, cost-profit analysis, efficiency and velocity. The transformation of enterprise STVC had witted the evolution in the direction of SCL→DCL→THCL→NCL in accordance to the development of the economic and technological strength of the enterprises.Based on the data from 684 agricultural scientific and technological enterprises, the author concluded four emphasis of the STVC innovation management of agricultural enterprises: protection of intellectual property, strategy position of niche of STVC, interior networks of STVC and six major exterior linkage of STVC. The case studies showed that the multinational seed companies from the west had formed integrated and strong enterprise STVC networks and become the leading forces in the innovations of the marketing agricultural technologies. Chinese seed companies had not formed their own enterprise STVC networks and their self-determined innovation abilities were relatively weak. Frequently, Chinese agricultural scientific and technological enterprises had relatively strong R& D and incubation innovative abilities but were severely weak at the marketting innovation, but on the other hand, Chinese dragon enterprises of agriculture production could be good at marketing innovation but their innovation abilities in the respects of R & D and incubatiuon had yet to be enhanced. The mistakes in the provision and demands of technology inovation as well as the poor cooperation between multiple innovators were caused by the systematic obstacles in China and the management of the enterprise STVC innovation was consequently of great importance.The theoretical originality of this thesis could be concluded from the proposal and explaination of the conception of the enterprise STVC and the construction of the structural and mathematical models of STVC from the source of science and technology innovation to the industrialization of the achievements. The proposal of theory of the phased development, non-liner multiple three circle modes of STVC innovation as well as the analysis of the eight types of developmental nodes were also from the original thoughts of the author. The analysis of the linkage mechanism in enterprise STVC including the order of "point-unit-chain-net", the linear and triangle linkage patterns, the construction of linkage arrays, the proposal of 4 modes and 12 sub-modes for STVC linkages, the analysis of the formation mechanisms of such modes as well as the theory of the enterprise STVC ecology niche were also helpful to the management of the enterprise STVC innovation. The combination of enterprise STVC theory and the case studies have constructed the foundation of the principal of the agricultural technology innovation management and could function as the guides for the management practice of China agricultural enterprises.更多还原