【作者】 马春艳；

【导师】 冯中朝；

【作者基本信息】 华中农业大学 ， 农业贸易与农村金融管理， 2008， 博士

【摘要】 现代分子生物学的一连串突破性进展,特别是转基因技术和克隆技术的一系列突破,不仅使农业成为现代生物技术应用最广、最具商业前景、竞争最激烈的领域之一,还把农业生物技术推到了解决各国经济发展所面临的资源、环境等问题的“浪尖”。为此,世界各国都纷纷加大了技术创新的力度,以抢占农业生物技术的制高点与产业主导权。我国也非常重视农业生物产业的技术创新,然而,采取何种路径实现技术创新,又如何实现这种创新道路是摆在我们面前的重要课题。鉴于此,本文的研究从我国的国情出发,探索具有中国特色的农业生物产业技术创新路径及相应支撑,无疑具有非常重要的意义。论文对我国农业生物产业技术创新路径和政策进行了系统的研究。首先,论文在对技术创新和产业技术创新理论进行梳理的基础上,展开了对中国农业生物产业技术创新现状的全面分析与考察,并通过构建农业生物产业技术创新能力评价模型对现阶段我国的创新能力做出了客观评价;然后,论文考察了国外典型国家在农业生物产业技术创新过程中所选择的道路与具体模式,通过借鉴国外经验、结合现实国情,从技术创新途径及途径的实现模式两个方面研究了我国农业生物产业技术创新的路径,并运用典型案例分析法对这种路径的运作进行了实证考察;最后,以理论为指导、以现实为依据,论文从技术创新系统和制度的角度分别探索了推进中国农业生物产业技术创新的体系保障和政策保障。全文共分为八章,主要内容与结论如下:第1章是论文导论部分,也是全文的一个鸟瞰。本章首先对论文的研究背景、研究目的和研究意义做出了说明;其次,是文献综述部分,不仅对论文所涉及到的相关理论及演变进行了阐述,还对相关领域的国内外研究动态进行了述评;此外,本章还详细交代了论文的组织布局,包括研究思路、结构框架、技术路线与研究方法;最后,是对论文的总结性述评,除了总结在前人工作基础上可能取得的创新以外,还包括所存在的不足之处。第2章提供了一个关于我国农业生物产业技术创新方面的总体印象,即对农业生物产业技术创新的成就、现状和能力进行了分析总结。这是全文进行研究的现实基础和逻辑起点。本章首先对农业生物产业的概念及创新特点进行了界定和分析,然后对20多年来我国在该领域技术方面、产业方面和人力资本方面的进展进行了总结分析;在此基础上,本文着眼于产业技术创新的全过程,分别从创新资源配置、技术研发、科技成果转化、产业发展四个方面分析了我国农业生物产业技术创新的现状;最后,也是本章的重点之一,文中构建了农业生物产业技术创新能力评价模型,并运用此模型对我国在该领域的创新能力进行了实证分析,结果表明,我国的总体创新能力较强,与美国处于能力最强的第一梯队中,但与美国还存在着18%的差距,这种差距主要是由研发投入低、研究成果不足、劳动生产率低及产业化水平低等原因造成的。第3章考察了世界典型国家农业生物产业技术创新的路径,旨在为我国农业生物产业技术创新路径的选择提供参考和借鉴。本章分别对美国、欧盟及典型发展中国家的农业生物产业创新历程、创新途径及实现模式进行了考察与比较。研究发现,尽管这些国家的情况不尽相同,但它们都纷纷通过自主创新分享世界生物经济的盛宴。美国拥有雄厚的技术经济实力,通过企业自主创新、产学研合作创新、跨国公司等多种模式共同实现自主创新;欧盟鉴于严格的生物安全管理制度,选择了企业自主创新+跨国公司模式进行自主创新;而发展中国家由于企业实力不强,普遍采用产学研合作创新和国际合作模式提高自身自主创新能力。第4章探寻了我国农业生物产业技术创新的途径。本章首先在对产业技术创新途径进行划分的基础上,对自主创新与模仿创新两大途径进行了比较,然后采用博弈分析方法基于寡头模型下技术扩散与不扩散、产业实力等方面对产业创新途径选择进行了理论分析,并总结出了规律性的结论。接着,本章从我国农业生物产业的创新实力、创新环境、产品生命周期等方面对我国农业生物产业技术创新途径的选择进行了实证博弈分析。通过理论与实证博弈,本章发现,自主创新是当前我国的最优选择。最后,本章从世界行情、我国国情、产业产情等方面了进一步验证了我国走自主创新道路的正确性。第5章探寻了我国农业生物产业实现自主创新道路的具体模式。本章在对产业自主创新模式进行界定和分类的基础上,利用二元最优模型分析总结出了我国农业生物产业自主创新的总体模式,并根据我国国情,在借鉴国外经验的基础上,选择了我国农业生物产业自主创新的具体模式。分析认为,目前,实现我国自主创新道路的总体模式应该是原始创新与集成创新的有效结合。在原始创新过程中,我国可以选择专家办企业、共建模式、战略技术联盟等具体模式,在集成创新过程中,我国可以尝试国际合作研发、能力移植型模式及技术交叉许可等模式。当然,具体模式的选择不是固定不变的,不同的创新主体应该根据自身情况酌情选择或组合。第6章对我国农业生物产业技术创新模式进行了实证分析。本章通过对典型农业生物企业进行实地调查等方式,剖析了其技术创新的实现模式、运作方式和实践效果,并总结了创新模式选择及应用的相关经验。第7章构建了我国农业生物产业自主创新道路实现的体系保障。本章首先考察了我国农业生物产业技术创新面临的系统失灵和政策失灵问题,在此基础上,根据国家创新体系与产业创新体系的理论框架,结合农业生物产业的知识领域、技术体系和我国国情,从总体上构建了“一体多翼双力”的农业生物产业自主创新体系,并根据各创新要素在创新中的功能与作用的不同,具体构建了技术创新、知识传播、制度保障、创新服务等四个子体系。第8章是从制度层面探讨了促进我国农业生物产业技术创新的政策保障。本章首先从理论层面分析了农业生物产业技术创新政策实施的必要性与作用机理,然后在考察国外典型国家生物产业技术创新政策的基础上,比较了我国与国外典型国家的政策实施情况,发现我国在组织管理、政府投入、融资渠道、法律规范、税收优惠、人才培养及促进中小企业创新等政策方面较欧美等发达国家存在着一定的差距,鉴于此,本章探讨了促进我国农业生物产业技术创新的政策机制,并从制度层面上对以上不足提出了相应的措施及建议。更多还原

【Abstract】 With the series of breakthroughs in molecular biology, particularly in genetically modified technology and Cloning technology, agricultural biotechnology is not only becoming the one of the fields which are most widely used, most of commercial prospects and most competitive, but also playing a key role in settling the resources and environment issues which all of the countries are facing to with economic development. As a result, countries of the World have carried out a series of technological innovation in order to be a lead of agricultural biotechnology and industry. The Chinese government also attaches great importance to technological innovation of agricultural bio-industry. However, it is an important subject China facing to that which way we should select to achieve technological innovation and how to achieve this way. Therefore, the paper explores technological innovation path of agricultural bio-industry and corresponding support based on China’s national conditions, which is of great significance.In this paper, issues of China’s innovation path of agricultural bio-industry and relevant policies have been systematically and deeply studied. First of all, basing on expounding the theory of technological innovation and industrial technological innovation, the paper comprehensively analyzes the present situation of technological innovation of agricultural bio-industry in China, and makes China’s ability an objective evaluation after constructing evaluation model of bio-industry technological innovation capability. Then, the paper studies technological innovative way of agricultural bio-industry and models to achieve it in typical foreign countries. And then, on the basis of these, the paper discusses China’s innovative path of agricultural bio-industry from two aspects, that is innovative ways and models. At last, using the theory as the guide and reality as the basis, the paper researches technological innovation system and innovation policies to promote China’s agricultural bio-industry. This paper consists of eight chapters, the main contents and conclusions as follows.The first chapter is the introduction, which is a bird view of the whole dissertation. Firstly, this chapter explains research background, the goals and research significance. Secondly, it is the literature review. Apart from the explanation to the relevant theory, it focuses on the commentary on the trends of studies on the relevant fields from home and abroad. Thirdly, it details the layout of the dissertation, including research ideas, structural framework, technical route, research methods. Finally, it summarizes review of this dissertation, including possible innovations based on the predecessors’ efforts and those shortcomings exist in the dissertation.The second chapter provides China’s overall impressions on technological innovation of agricultural bio-industry, namely, to discuss the achievements, the status quo and capacity, which provides a reality-base and logical starting point for the entire research. First of all, it defines the concept of agricultural bio-industry and elaborates its innovative characteristics. After that, it summarizes achievements in the field of agricultural biotechnology, bio-industry and relevant human capital for last 20 years. On this basis, in view of full process of industrial technology innovation, this chapter goes a deep analysis about China’s innovation status quo of agricultural bio-industry from the perspective of allocation of resources, technology R&D, technical transformation and industrial development. At last, this chapter focuses on empirical analysis of china’s capability after constructing evaluation model of bio-industry technological innovation capability. The conclusions of the chapter believes that although china situates the first same rank as United States in agricultural bio-industrial innovation capacity, there is still a gap about 18%, which are caused from low investment, the lack of research results, low labor productivity and low level of industrialization.The third chapter studies the technological innovation path of agricultural bio-industry in typical foreign countries aimed at acquiring experience and reference for China. This chapter visits United States, the European Union and the typical developing countries from the perspective of innovation history, innovation ways and models to achieve ways of agricultural bio-industry. Through study, this chapter founds that despite their different circumstances, these countries actively participate in international competition by means of independent innovation. The United States accomplishes independent innovation through multi-models such as enterprise innovation, collaborative innovation and establishment of transnational corporation due to its strong economic strength. In view of strict bio-safety management system, the EU chooses both enterprise innovation and establishment of transnational corporation models to achieve independent innovation. Whereas, owing to weak strength of enterprises, developing countries commonly select models of collaborative innovation and international cooperation to enhance their capability of independent innovation.The fourth chapter looks out china’s technological innovation ways of agricultural bio-industry. At first, basing on classification of industrial technology innovation ways, this chapter compares independent innovation with imitate innovation. Then, by carrying out theoretical game analysis from technological diffusion, technology non-diffusion and industrial strength aspects and so on, the chapter draws the general conclusions. And then, the chapter makes the empirical game analysis on china’s technological innovation ways of agricultural bio-industry from the perspective of industrial strength, innovative environment, product life cycle and so forth. Through theoretical and empirical game analysis, the chapter concludes that independent innovation is the best choice. At last, it further verifies that the way of independent innovation is correct from the situation in the world, China’s national conditions and industrial development and so on.The fifth chapter seeks china’s models to achieve independent innovation of agricultural bio-industry. Basing on definition and classification of industrial technology innovation models, this chapter arrives at the china’s general model by means of dual optimal model. And according to China’s national conditions and learning from foreign experience, it frames China’s own specific models. The conclusion of this chapter is that the general model to achieve China’s ways of independent innovation is the effective combination of original innovation and integrated innovation. In the course of the original innovation, China should choose some specific models such as experts setting up enterprises, establishing common institutions and strategic technology alliance. In the process of integrated innovation, China should try international cooperation in R&D, ability to transplant model and technology cross-licensing model. Of course, the choice of specific models is not fixed. Different innovation subjects should select appropriate models according to their own circumstances.The sixth chapter empirically analyzes technological innovation models of China’s agricultural bio-industry. Through typical investigation to agricultural biotechnology companies, this chapter makes a survey of their models to achieve technological innovation, operation and practical effects, and summarizes experiences on selection and application of innovation models.The seventh chapter frames China’s independent innovation system of agricultural bio-industry to guarantee the realization of the road of independent innovation. Basing on reviewing system failure and policy failures in the process of china’s technological innovation of agricultural bio-industry, this chapter using the theory of the National System of Innovation and Industrial System of Innovation as its theory framework, and combining with the knowledge domain and technology regime of agricultural bio-industry, constructs an overall independent innovation system, named "one subject, more wings, double force". After that, according to the function of innovative elements, the chapter frames the four sub-systems, including knowledge and technological innovation system, knowledge dissemination system, security system and innovative services system. The eighth chapter offers the policies to promote China’s technological innovation of agricultural bio-industry from the institutional level. First of all, this chapter theoretically analyzes necessity and mechanism of innovation policy of agricultural bio-industry. After Studying the policies of typical foreign countries, the chapter Comparing China with foreign countries in innovation policies of agricultural bio-industry, founds that there is a certain gap in organization and management, government investment, financing, laws, tax incentives, personnel training and SME innovation policies and so on. Therefore, the chapter probes into China’s policy mechanism of agricultural bio- industry innovation, and makes corresponding measures and suggestions.更多还原