【作者】 陈建伟；

【导师】 孙世芳； 许月明；

【作者基本信息】 河北农业大学 ， 农业经济管理， 2010， 博士

【摘要】 科技是转变农业发展方式,应对市场竞争,缓解资源压力,实现农业可持续发展的关键因素和主要动力。要促进农业科技进步,一方面依赖于科技投入,另一方面取决于创新效率。与投入相比,创新效率问题更复杂,解决难度也更大,而且效率是农业科技投入决策的重要依据之一。因此,农业科技创新效率是建立我国农业科技创新良性运行机制的重大理论问题,也是我国农业科技创新决策面临的重大现实问题。本论文按照“发现问题—理论解析—构建模型—实证分析—解决问题”的逻辑框架,以创新理论和效率理论为基础,采用要素、结构、环境共同决定系统功能的方法论体系,借助计量经济、数学规划、文献分析、灰色关联分析等具体分析方法,对我国农业科技创新效率问题进行了系统研究。一是厘清了农业科技创新效率的概念。农业科技创新效率的本质是衡量农业科技创新投入、产出关系,而投入与产出关系可分为两个层面：一个是实际层面,即农业科技创新过程中实际有效产出与投入之比,本论文称之为实际效率；一个是可能层面,即基于农业科技创新生产前沿面估计基础上的投入、产出关系,本论文称之为前沿效率。前者,可以反映研究对象将农业科技资源转化为有效产出的实际状况；后者,则可以反映研究对象将农业科技资源转化为最大有效产出的可能状况。农业科技创新效率包括上述两个层面。二是建立了农业科技创新投入产出指标体系和创新效率测算模型,利用1990～2009年的相关数据,对我国1990～2006年间的农业科技创新效率进行了测算分析。结果表明：我国农业科技资金的实际效率呈波动变化特点,农业科技人员的实际效率呈稳步提高趋势,农业科技创新综合实际效率整体上也呈逐步提高趋势,农业科技创新前沿效率呈波动提高趋势。但是,2002年以后,不论是实际效率,还是前沿效率,都呈现提高趋势。三是分析了影响农业科技创新效率的微观结构。结果表明：1990～2007年,在农业科技创新供给主体层次上,研究与开发机构、企业和高等学校的农业科技活动经费投入整体上都呈增加态势,但结构发生了明显变化,由研究与开发机构占绝对优势转变为研究与开发机构和企业不相上下的格局；在农林牧渔业层次上,行业间结构变化较小,仍以种植业为主,农林牧渔业科技活动经费配置结构与其对农业GDP的贡献存在偏差,但是,对农业科技创新效率测算分析结果却表明,农业科技经费向林牧渔业配置并不能提高农业科技创新的整体效率；在农业产中产后层面上,全社会农业科技活动经费投入并没有表现出“轻产后、重产中”的特点,而政府资金却表现出“轻产后、重产中”的问题。农业科技创新是机构、资金、人员等系统配置过程,要优化农业科技创新资源配置需要从整体上系统设计。四是从供、需两个角度对影响农业科技创新效率的关键制度安排进行了分析。结果表明：我国政府主导型农业科技供给制度和难以形成有效技术需求的需求制度安排,造成了科技与农业生产实际的脱节,影响了农业科技创新效率。以职能重组为核心建立面向产业的科技供给制度和以产权组合创新为核心重塑农业规模经营组织是实现农业科技创新供需对接,提高创新效率的制度创新路径。五是分析了科技政策对农业科技创新的影响作用。结果表明：科技政策可以通过优化资源配置、引导资源集聚、激发创新主体活力等方式来提高农业科技创新的配置效率、规模效率和行为效率。我国国家层面上促进农业科技创新的基本政策已经到位。但是,在科技政策执行过程中,还存在政府职能部门不协调、执行力度弱、可操作性差等问题,农业企业实际享受到的科技政策优惠十分有限。因此,完善科技政策形成机制、执行机制和监督机制是发挥政策作用的主要路径。总之,本论文建立了农业科技创新投入产出指标体系和创新效率测算模型,实证性地回答了我国农业科技创新效率变化,影响农业科技创新效率的关键因素,微观结构、关键制度安排及科技政策对农业科技创新效率的作用机制及影响等问题,提出了提高我国农业科技创新效率的对策措施。本论文在以下方面有所创新：一是从现代农业产业体系建设和农业科技管理需要视角,系统分析研究了我国农业科技创新效率问题。二是建立了农业科技创新效率测算模型,测算了我国农业科技创新的实际效率和前沿效率。三是从供、需两个角度对农业科技创新的制度安排进行了分析,提出了提高我国农业科技创新效率的制度创新路径。更多还原

【Abstract】 Technology is the key factors and main power to change the way of agriculture development, to cope with competition, to alleviate the resources pressure and to realize the sustainable development of agriculture. To promote agricultural science and technology progress, we must dependent on both investment and the innovation efficiency. Compared with investment, the innovation efficiency is more complex. Otherwise the innovation efficiency is an important basis for science and technology investment decision-making. Therefore, the innovation efficiency of agricultural science and technology not only is a major theoretical issue to establish a favorable operating mechanism of agricultural science and technology innovation, but also is a major practical problem to decision-making of agricultural technology innovations.According to the logical framework of "discovery issues-theoretical analysis-construction of model-empirical analysis-solve the problem", basis on the innovation theory and efficiency theory, adoption the methodology system that elements, structure, environment decided system functions jointly, using the analysis method of econometric, mathematical programming, document analysis and concrete analysis of gray relational, this paper studied the innovation efficiency of agricultural science and technology systematically.First, the concept of innovation efficiency in agricultural science and technology was illustrated. The nature of agricultural science and technology innovation efficiency is to measure the relationship between the input and output of agricultural technology innovation. The input-output relationship can be divided into two levels:one is the actual level. It was called as the actual efficiency which is the actual ratio of output and inputs in the process of agricultural technology innovation and effective. Other is possible levels. It was called as a frontal efficiency which is the estimated input-output relationship based on the frontier of agricultural science and technology innovation. The former can reflect the actual situation that the object translated the agricultural science and technology into effective output. Other hand, the latter can reflect the possible situation that the object translated the agricultural science and technology into effective output. The efficiency of agricultural technological innovation included the above two levels.Second, the input and output indicators system of agricultural technology innovation and measure model of the innovation efficiency were established. This mode was used to measure and analyze the innovation efficiency of Chinese agricultural Science and technology between 1990 and 2006. The results showed that the actual efficiency of Chinese agricultural science and technology funds observed fluctuation trend. The actual efficiency of agricultural sic-tech staff was increased steadily. The actual efficiency of an integrated agricultural technological innovation was gradually increased trend. The frontal efficiency of the innovation efficiency of agricultural science and technology was improved in fluctuating trend. However, both the actual efficiency and frontal efficiency of agricultural science and technology innovation were increased since 2002.Third, micro configuration structure that impact the efficiency of agricultural science and technology innovation was analyzed. The results showed that the funds invested in agricultural technology of research and development Institutions, large and medium enterprises and universities increased totally between 1990 and 2007. However, the structure of invest was changed significantly. The structure pattern changed from research and development Institutions were absolute advantage into research and development institutions and large and medium enterprises were the same important. At the agriculture level, the structure changed slightly among different industries. There are discrepancies between technology funds allocation structure and its contribution to agriculture GDP in different agriculture industries. However, the results of empirical analysis on the innovation efficiency of agricultural technology showed that the agricultural technology funds invest on forestry, animal husbandry and fishery could not improved the innovation efficiency of agricultural technology. Agricultural science and technology innovation was the system allocation process of institutional, financial, personnel. If wanting to optimize the innovation resources of agricultural science and technology, we must design systematically as a whole.Fourth, the key institutional arrangements that impact the efficiency of agricultural technology innovation were analyzed from both supply and demand perspective. The results showed that the institutional arrangements could change the transaction costs, opportunism and the acts of innovation subject in the innovation course of agricultural technology. Thereby, the efficiency of agricultural science and technology innovation were affected. The performance of Chinese agricultural science and technology could be divided into the government-led decentralized supply system and the difficult to expression decentralized supply system. This kind of institutional arrangement led to the gap between science and technology and the actual agricultural production. So the efficiency of agricultural science and technology innovation was affected too. Establishing the supply system faced industrial and rebuilding agricultural scale management organization by property rights innovation were the path to achieve docking of supply and demand of agricultural technology and improve innovation efficiency.Fifth, the effect of technology policy on agricultural science and technology innovation was analyzed. The research showed that the allocation efficiency, scale efficiency and action efficiency of agricultural science and technology innovation could be improved by technology policy. The policy for promotion agricultural science and technology innovation at national level was enough. However, the function of science and technology incentive policy were constrained by the management degree of enterprise system and the cognitive degree of science and technology policy by the TOBIT model analysis for 100 agricultural enterprises in Hebei province. In implementation process of science and technology policy, because the lack of coordination among governmental departments, the inadequate enforcement and the problem of poor operational, the agriculture enterprises could enjoy the preferential policies very limited. Therefore, improve the formation mechanism of science and technology policy, implementation and monitoring mechanisms were the main path for policy incentive function’s play.All in all, the evaluation model of agricultural science and technology innovation efficiency was established in this paper. The empirical answer was given on the change of agricultural science and technology innovation efficiency.The factors that affect the efficiency of agricultural technology innovation were analyzed. The affected mechanisms of resource allocation, systems and policies on the efficiency of agricultural science and technology innovation were discussed. Through this analysis, the micro-configuration method of agriculture science and technology, the system innovation path and the main way of policy incentive were proposed. This paper has the following innovations:First, the problem of sci-tech innovation was studied systemic from the view of the modern industrial system of agriculture and the needs of agricultural science and technology management. Second, the actual efficiency and frontal efficiency of Chinese agricultural technology innovation were measurement. Third, the developing system of agricultural science and technology innovation was analyzed from both supply and demand perspective. The innovation efficiency of agricultural science and technology was impacted by the supply system of government-led and the ineffective demand institutional arrangements of household seriously. The path of institutional innovation for improving the innovation efficiency were the establishment of sci-tech supply facing industrial and the rebuilt of the scale management organization of agriculture.更多还原