【作者】 沈宇丹；

【导师】 王雅鹏；

【作者基本信息】 华中农业大学 ， 农业经济管理， 2009， 博士

【副题名】基于创新系统理论的视角

【摘要】 科学技术是第一生产力。加速和推动环境友好农业技术创新是实现农业可持续发展、农业现代化和构建“两型”社会(资源节约型和环境友好型)的重要内容。创新系统理论由国家创新系统理论和区域创新系统理论构成。它以知识和信息经济为背景,把创新看作一个系统工程而非线性的过程,强调国家和区域政府政策在激励创新中的重要作用。目前,创新系统理论成为创新研究的前沿。当前,我国农业技术创新研究主要集中在农业技术研发、推广和政府农业技术创新供给政策激励上,对于农业技术创新的需求激励政策和创新环境激励政策研究不足。对环境友好农业技术创新的研究主要关注微观主体的采纳行为研究,而对环境友好农业技术创新由于把环境和生态变量纳入农业技术创新函数而引起的农业技术创新本质、内涵改变,以及因此而产生的新的“市场失灵”和“系统失灵”问题研究不足。针对这种现状,文章结合知识和信息经济这一时代背景,基于创新系统理论的演化和系统的观点和视角,分析环境友好农业技术创新的政策激励体系,以弥补目前相应研究的不足。本文以环境友好农业技术创新是什么(内涵界定)→怎么样(经济学分析)→如何做(国外借鉴)→应该如何做(现状和改进措施或对策)的研究思路,通过系统分析方法、定性分析方法、数理经济学分析方法与模型构建、历史和对比方法、实证分析方法对环境友好农业技术创新激励政策进行研究。全文分三大部分、共八章。第一部分为环境友好农业技术创新政策激励的基本理论框架构建部分。由导言、创新系统理论综述、环境友好农业技术创新的内涵和特征、环境友好农业技术创新与制度激励三个章节构成,解释了“是什么”和“怎么样”的问题,通过重点对环境友好农业技术创新的内涵界定、环境友好农业技术创新与传统农业技术创新的相异性分析,指出了环境友好农业技术创新的主要特征。进而对技术创新与制度创新的理论渊源和最新进展进行了探讨,通过对农业技术创新中激励政策的演变机理和对我国1949—2005年之间的农业技术供需状况阶段变化分析,说明需求激励政策对于农业技术创新的重要作用。在此基础上通过对环境友好农业技术创新带来的“市场失灵”和“系统失灵”问题分析,提出环境友好农业技术创新激励政策所要重点解决的问题:资源和环境外部性问题、知识和信息不对称问题、传统技术路径依赖问题、创新体制障碍问题和能力不对称问题。第二部分为欧美国家经验、比较和借鉴部分,回答了“如何做”的问题,就欧盟和美国对环境友好农业技术创新由于环境和生态变量引入而引起的以上五个问题采取那些对应的政策和制度进行了分析,并对两区域的政策经验进行对比,提出当前制约我国环境友好农业技术需求的主要政策:化肥产业政策、农业环境保护政策、绿色农业产业政策和农业产业组织政策。第三部分由四个章节构成,解释了“应该如何做”的问题。第五章首先对我国化肥当前供需状况新的变动和特征以及化肥产业政策研究的最新进展进行介绍。进而通过对我国当前的化肥限价、政府补贴和优惠政策对于农业生产者的技术采纳行为,化肥替代和环境友好农业技术研发机构的技术创新行为、化肥企业自身的创新行为和化肥替代品的创新作用机理进行经济学分析和模型构建。提出制定和实施以农业发展和环境保护相协调为目标的化肥产业政策,通过取消化肥限价和优惠政策来激励化肥替代和环境友好农业技术研发机构、化肥企业的技术研发;明确化肥企业定位,构建化肥产业创新系统;发挥WTO“黄箱”和“绿箱”政策的作用,通过向农户直补,激励农户技术需求的政策建议。第六章主要通过对“波特假说”的理论解释和证明阐明严格的环境管制与经济增长之间的关系,分析了农业环境管制对环境友好农业技术创新的作用机理。在对我国目前农业环境保护政策和国情分析的基础上,提出我国具有实现“波特假说”的跳跃式发展,实现“创新补偿”和获取“先动优势”潜在机会,提出了构建农业环境政策、农业发展政策与农业技术政策整合的区域创新机制和农业环境管制的建议。第七章在对绿色农业产业政策概念界定的基础上提出建立绿色农业产业政策的理论依据,通过分析绿色农业产业政策对环境友好农业技术创新的作用机理以及我国绿色农业产业发展和产业政策现状,提出依据波特的国家竞争优势理论构建以创新导向的绿色农业产业政策体系,根据区域绿色农业产业发展阶段和目标市场细分,采取不同的政策策略,构建绿色农业产业补偿机制,发挥声誉模型的内在约束功能,教育和培训对绿色农业产业生产者的甄别功能。第八章以新制度经济学和创新系统理论为基础,分析了农业产业组织创新演变的机理和农业组织化对环境友好农业技术创新的功能。对我国目前在农业产业组织化发展和研究的争议问题:组织化发展缓慢问题,产权问题、“一股”和“数股”独大问题等进行了分析。借鉴发达国家经验,文章指出农业产业组织化是一把双刃剑,即可能成为农业可持续发展的动力也可能成为阻力,因此所有争议问题都应置于农业可持续发展的框架下进行考虑。同时强调了把大学、科研院所、农业协会等合作构建的松散型农业生产合作组织向紧密型、实体化发展。本文以创新系统理论作为理论支撑,从创新系统理论的视角对环境友好农业技术创新的本质、内涵和特征进行界定,在研究视角上具有创新性。本文对技术创新与制度创新理论进展进行疏理,构建了环境友好农业技术创新激励政策的基本理论框架或政策体系。对欧美国家的经验进行了经验对比和借鉴。在一定程度上弥补了国内对于环境友好农业技术创新激励政策研究的不足,在研究的内容和相关问题的认识上获得一定的突破。对我国的化肥产业政策、农业环境保护政策、绿色农业产业政策和农业产业组织创新与环境友好农业技术创新的作用机理进行分析,并结合我国相应政策的现状和问题分析,提出了有借鉴意义的对策建议,达到了一定的研究目标。本文的不足主要表现在由于研究课题比较新,相关的可借鉴的国内的资料相对较少,探索性和尝试性分析较多,更多注重了理论和数理经济学方法的分析,和国内问题的整合分析,缺乏实证案例和数据配合。在分析中强调需求激励和环境激励,因此在相关问题上回避了农业技术创新系统的供给激励政策的分析。在未来的研究中将致力于创新系统的整个系统的激励政策研究和我国区域农业技术创新系统构建问题。更多还原

【Abstract】 Science and technology are primary productive forces. The acceleration and promotion of environment-friendly agro-technical innovation is an important aspect of the realization of sustainable development of agriculture, agro-modernization and construction of "two types of society (resource-saving and environment-friendly). Innovation system theory consists of national and regional innovation systems theories. Knowledge and information economy based, innovation system theory considers innovation as a systems engineering. It emphasizes the important role of the policy of national and regional government in encouraging innovation. At present, the innovation system theory has become the frontier of innovation theory.The researches on China’s agro-technical innovation mainly focus on the R & D of agro-technology, the promotion of technology and the policy incentives from the supply of government agro-technical innovation. However, the research on the incentives policy from the demand of agro-technical innovation and the incentive policy from innovation environment is still insufficient. Moreover, the studies of environment-friendly agro-technical innovation are paid much attention to the adoption behavior of agriculture micro principal, therefore, there is another insufficient research on the change of the nature of agro-technical innovation and its connotation as well as the new "market failure" and "system failure" resulted from environmental and ecological elements caused by environment-friendly agro-technical innovation. In view of this status, the thesis analyzes the policy incentives of environment-friendly agro-technical innovation system based on the evolution of innovation system theory from the perspective of knowledge and information economy. Accordingly, the thesis is devoted to make up for the inadequacy of the present study.The thesis is dedicated to study the incentive policy of environment-friendly agro-technical innovation by methods of systematic analysis, qualitative analysis, mathematical economics analysis, and the model building as well as empirical analysis, historical and comparative method. What is environment-friendly agro-technical innovation (as defined in connotation), how to (economic analysis), do (from abroad) and what should we do (the status quo and countermeasures) is logical thinking in this thesis. The thesis can be divided into three parts involving eight chapters. The first part introduces the basic theory of environment-friendly agro-technical innovation policy incentives. This part includes introduction, the overview of innovation system theory, the definition and characteristics of environment-friendly agro-technical innovation, and system incentives. These four chapters in this part explain the question of "what" and "how to". This part defines the environment-friendly agro-technical innovation, discriminates environment-friendly agro-technical innovation and the traditional agro-technical innovation, and proposes the feature of environment-friendly agro-technical innovation. This part also probes into the evolution mechanism, incentive policy, and the latest researches of agro-technical innovation. The change of the supply and demand of agro-technology from 1949 to 2005 in China is analyzed in order to clarify the significance of demand-incentive policies to agro-technical innovation. Furthermore, this part analyzes the issue of "market failure" and "system failure" triggered by environment-friendly agro-technical innovation. It is shown in this part that the incentive policy of environment-friendly agro-technical innovation is facing the important problem (hereinafter referred to "five problems"): externalities of resource and environment, asymmetries of information and knowledge, path dependence of traditional technology, institutional barriers to innovation and asymmetric innovation capability.The second part introduces the experience of agro-technical innovation in Europe and the United States, and compares the difference of environment-friendly agro-technical innovation between Europe and the United States. The corresponding policy and system adopted by Europe and the United States to deal with "five problems" is analyzed, and the comparison of regional policy and experience is proposed. Moreover, this part puts forward the current constraints of China’s demand for environment-friendly agro-technology: fertilizer industry policy ,agro-environmental protection policy, green agro-industry policy and agro-industrial organization policies.The third part consists of four chapters to explain the "how to do we should".ChapterⅤgives the economic explanations of the behaviors of technology adoption of agro-producers, the technological innovation activities of agrochemical substituting and eco-friendly agro-technical R & D institutions, the technological innovation behaviors of enterprises of chemical fertilizers and the innovation mechanism of fertilizer alternatives through mathematical mode analysis. Meanwhile, this chapter proposes some policy recommendations including not only the abolition of fertilizer prices fixing and preferential policies aimed to encourage the fertilizer alternatives and eco-friendly agro-technical R & D of fertilizer enterprise and research institutions, but also playing the role of WTO "amber box" and "Green Box "and subsidies to farmers in order to encourage famers ’ demand of technology.ChapterⅥmainly analyzes the effect mechanism of the agro-environmental control acting on environment-friendly agro-technical innovation, and illuminates the relationship between economic growth and strict environmental control in virtue of the theoretical explanation of the "Porter Hypothesis" theory. The chapter points out there are some potential opportunities of the leaping development of achieving "Porter Hypothesis" and" innovation offsets" as well as obtaining "early mover’s advantage" in China. Furthermore, the chapter puts forward some suggestions for the establishment of agro-environmental policy, agro-environmental control policy as well as the regional innovation policy of the integration of agriculture development policy and agro-technical policy.ChapterⅦproposes theoretical foundation of achieving green agro-industrial policy based on the definition of green agro-industrial policy. The chapter also analyzes the effect mechanism of green agro-industrial policy on environment-friendly agro-technical innovation as well as the present situation of China’s green agro-industry and industrial policy. On this basis, the chapter advocates constructing the innovation-oriented industrial policy system of green agriculture according to Porter’s national competitive advantage theory. Meanwhile, the chapter proposes building a compensation mechanism for green agro-industry with different policy strategies, exerting the inherent constraints of reputation models, and also educating and training the discrimination ability of green agro-producers in accordance with regional green agro-industry development stage and goals of market segmentation.Based on new institutional economics and innovation systems theory, ChapterⅧanalyzes the evolution of organizational innovation of agro-industrialization and the effect of agricultural organization acting on agro-technical innovation. Simultaneity, this chapter analyzes the controversial issues in the development of agro-industrial organization that include the slow development of industrial organization, property rights, predominant of "one shareholder" and "shareholders". Drawing on the experience of developed countries, the chapter points out agro-industrial organization is a double-edged sword that may be either the driving force or the resistance for sustainable development of agriculture. Therefore, the chapter advocates that all the controversial issues should be under consideration in the framework of sustainable agricultural development, At the same time, the chapter suggests that agricultural production cooperation organization constituted by universities, research institutes together with agricultural cooperative associations should be transformed from the loose type to close co-operation-based organizations and entity organizations. The necessity of such transformation also is emphasized in the chapter.The study has made progress in the following aspects. Firstly, the integration of the dynamics of innovation systems theory and its evolution from systemic point of view is the innovation of research method. Secondly, the primary study focus on the innovative nature and the necessity of policy and incentive system triggered by resources and environmental elements integrated into environment-friendly agro-technical innovation. This is a certain extent supplement of the research on domestic environment-friendly agro-technical innovation. Thus, it may be a breakthrough in research content and cognitive angle of view for related research. Thirdly, this thesis achieves a certain research goal. For instance, the thesis not only analyzes the mechanism of the related policies (China’s fertilizer industrial policy, agro-environmental policy, green agro-industrial policy and agro-industrial organization) acting on environment-friendly agro-technical innovation, but also advances some corresponding countermeasures and suggestions in accordance with our current situation of corresponding policies.Inevitably, the thesis also shows some deficiency. On the one hand the thesis pay attention on theoretical and mathematical analysis rather than either case analysis or empirical data with the case study because of the relatively new research topics and relatively small number of domestic relevant references, but on the other hand the thesis emphasizes demand motivation and ambient excitation among environment-friendly agro-technical innovation, avoiding the analysis of supply motivation policies. Therefore, the research in the future should devote to studying incentive policy throughout the system of environment-friendly agro-technical innovation in systematic way as well as establishing China’s regional system of environment-friendly agro-technical innovation.更多还原