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中文题名:

 中国农业科技体制改革对农业发展影响的实证研究    

姓名:

 周敏丹    

学科代码:

 020101    

学科专业:

 政治经济学    

学生类型:

 博士    

学位:

 经济学博士    

学位年度:

 2015    

校区:

 北京校区培养    

学院:

 经济与资源管理研究院    

研究方向:

 农业经济学;农业技术经济    

第一导师姓名:

 胡必亮    

第一导师单位:

 经济与资源管理研究院    

提交日期:

 2016-01-14    

答辩日期:

 2015-10-22    

外文题名:

 The Empirical Study on the Impact of the Reform of China's Agricultural Science and Technology System on Agricultural Development    

中文摘要:
经过30多年的高速发展,中国农村经济体制改革所释放的制度红利已接近饱和,农村的经济增长、农业的现代化和农民的致富亟需发掘新的引擎。近年来,中国政府越来越重视农业科技对于农村发展和农业现代化的支撑作用。2004年来连续12份以“三农”为主题的中央“一号文件”中,政府把农业科技创新摆到了更加突出的位置,并在十八大明确提出我国要实施创新驱动发展战略,走一条中国特色的自主创新之路。显然,用科技引领农业发展、用创新驱动农业发展的改革思路已上升为重要的国家发展战略。在创新驱动发展的顶层设计模式下,技术创新与制度创新构成促进农业发展的重要驱动力量:技术创新能够在极大程度上提升农业生产力的发展层次;以农业科技体制改革为代表的制度创新,在农村经济体制改革的制度红利释放完毕后,将构成推动我国农业发展的接力引擎。基于上述宏观背景,本文试图回答的问题是:中国农业科技体制改革通过何种渠道、以及能够在多大程度上推动中国农业的发展?本文将农业科技体制改革、农业技术变迁和农业发展置于同一逻辑链条,以农业技术变迁为中介变量,尝试在中介效应作用机制的分析框架下实证检验农业科技体制改革如何通过影响农业技术变迁进而影响农业发展。本文撷取农业科研院所转制、国家科技富民强县政策等具有代表性的农业科技体制改革实践,将农业技术变迁作为中介变量,综合采用严格的实证分析、具有代表性的案例分析,力图从特定维度剖析中国农业科技体制改革影响农业发展的全程脉络。本文主要得到了如下研究结论:第一,本文从梳理中国农业科技体制的改革历史出发,发现中国农业科技体制的改革步伐与中国科技体制的改革进度紧密相联。同时,由于农业具有其自身的特殊性,农业科技体制的改革具有更加明显的强制性制度变迁特点,改革的顺利推进更加依赖于政府高瞻远瞩的顶层设计及相应的政策支持。第二,本文以农业科研院所转制为例,从典型案例研究与计量实证分析两个维度考察了农业科研体制改革对农业技术创新的影响。案例分析表明,转制为非营利性科研机构的农业科研院所由于获得了更多的财政资金支持,在农业技术创新产出方面表现出良好的发展势头。而分类改革的主要障碍集中于农业科研院所的企业化转制方面,阻力较大的原因主要包括转企改革所需的其它配套改革没有及时跟进,以及由于一些农业科研院所的转制定位不清楚,出现了“过度企业化”的问题。计量分析表明,农业科研院所转制在整体上推动了农业专利申请量和授权量的增加,尤其体现为具有更高质量的发明专利数量的增加,这充分说明农业科研院所转制从整体上能够提高农业技术创新的质量水平。第三,本文进一步考察了农业技术创新对用农业TFP增长率衡量的农业发展的影响。首先基于Malmquist DEA方法计算了1979-2013年中国农业TFP增长率及其分解指标,发现1979-2013年我国农业TFP的(几何)平均增长率为3.3%,且农业TFP的增长主要是由技术进步所推动;而技术效率的提升是农业TFP增长的短板;本文进一步考察了农业技术创新对农业TFP增长的影响,发现以农业实用新型专利为代表的农业技术创新对农业TFP增长及农业技术效率的提升具有显著的推动作用,这在一定程度上表明农业TFP的创新驱动机制逐步凸显。第四,本文以国家科技富民强县政策为例,考察了农业技术推广政策对于以农村就业和人均农业机械动力使用量衡量的农业发展的影响。实证结果表明,以国家科技富民强县为代表的农业技术推广政策能够显著地提高人均农业机械动力的使用量,但其对农村就业没有显著的促进作用。这表明该政策是深化资本、推广技术、提高农业科技含量的一种有效途径;但由于农业科技推广政策在整体上具有节约劳动的倾向,政府在制定这类政策时,需要高度关注农村就业问题。本文在以下几个方面有所创新:第一,农业科技体制改革是诠释农业发展的一个新的视角。本文尝试建立农业科技体制改革、农业技术变迁及农业发展的内在关联,并基于强制性制度变迁的理论视角考察我国经济新常态下农业科技体制改革对农业发展的影响及其作用渠道,这将有利于解构我国农业创新驱动发展模式的制度引擎。第二,本文借用中介效应理论分析框架,以农业技术变迁为中介变量,解构农业科技体制改革影响农业发展的作用机制,这对构建该主题完整的理论分析框架具有启示意义。第三,在选取农业技术创新的衡量指标方面,本文不仅从农业专利的申请与授权量、还从专利的前向引用与后向引用维度对我国农业专利的质量进行了全面刻画,这在国内农业技术创新的微观度量文献方面具有一定开创性。第四,本文以农业科研院所转制为例,将农业科研体制的分类改革这一制度变量进行量化,并实证检验农业科研院所转制对以农业专利为代表的农业技术创新的影响及其作用机制,填补了以农业科研院所转制为主题的研究中量化研究的空白。第五,本文运用双重差分法、匹配双重差分法从因果关系的视角对国家科技富民强县这一覆盖范围广、系统性强的农业技术推广政策进行了严格的实证评估,这一研究设计在方法上对于评估具有类似性质的政策也有一定的借鉴意义。
外文摘要:
The institutional dividend of China's reform of rural economic system almostly come to an end after 30 years' reform and development. It is urgently to find a new engine to promote rural economic growth, push agricultural modernization, as well as increase farmers' income. Recently, the Chinese government pays more and more attention to the key role of agricultural science and technology on the development of agriculture and agricultural modernization. Since 2004, the annual "No. 1 documents" with the theme of "SanNong" Issues for 12 consecutive years has put agricultural science and technology on the priority position. The Eighteenth National Congress of the CPC proposed to implement the innovation driven development strategy, in the form of independent innovation with Chinese characteristics. China obviously take the innovation oriented development as national strategy. The top-down design of innovation driven, technological change as well as institutional change consitute important driving forces to promote agricultural development. Technological change can enhance the development level of agricultural productivity to a large extend. The reform of agricultural science and technology(S&T for short) system could be the new engine for agricultural development when the dividend of reform of economic system diminished.Under this context, this paper attempts to answer how and to what extend the reform of China's agricultural S&T system affects agricultural development. This paper put institutional change, technology change and agricultural development into an integrated framework, taking agricultural technological change as a mediator variable, and try to examine how the reform of S&T system affects agricultural development through agricultural technological change under the framework of mediation mechanism analysis. This paper takes transformation of agricultural scientific research institutes and Increasing Revenue and Strengthen County(IRSC for short) Policy as key examples of agricultural S&T system reform. We further takes technological change as a mediator variable and expore the channel through which S&T reform promote agricultural development. Our main findings are as follows:Firstly, through reviewing reform history of China's agricultural S&T system, I found that the reform of agricultural S&T system firmly kept pace with the reform of China's S&T system. Meanwhile, because agriculture has its own specific characteristics, the reform of agricultural S&T system show significant imposed institutional change feature, and the success of reform is more dependent on central government's guidance and policy support.Secondly, take transformation of agricultural scientific research institutes as an example, I analyzed the effects of reform of agricultural S&T system on agricultural technological innovation with both case study and empirical analysis. The case study suggests that agricultural scientific research institutes which transformed into non-profit scientific research institutions developed well in terms of agricultural innovation, since they obtained more financial support after transformation. However, obstacles of the reform mainly lies in agricultural scientific research institution aiming to be transformed into enterprises. There are two main reasons: on the one hand, complementary reform acompanying the enterprises transformation didn't follow up timely; on the other hand, over commercialization problem happens because the direction of transformation is not very clear. The results of empirical study suggests that transformation of agricultural scientific research institutions increased the application and grant number of agricultural patent, especially agricultural invention patent. It shows that the transformation of agricultural scientific research institutes can promote the quality of agricultural technological innovation in general.Thirdly, I examined the effect of agricultural technological innovation on agricultural TFP growth rate. I firstly calculated China's agricultural TFP growth rate and related sub index with the Malmquist DEA approach. It suggests that China's average (geometry) growth rate of agricultural TFP is 3.3% during 1979-2013. Meanwhile, the agricultural TFP growth is mainly driven by technical progress, instead of technical efficiency improvement. The analysis of the influence of agricultural technological innovation on agricultural TFP shows that, the innovation output (mainly represented by utility model) plays a significant role in promoting the growth of China's agricultural TFP, which shows that innovation driven mechanism gradually appears in agricultural.Fourthly, focusing on a widespread agricultural technology diffusion policy, i.e., Increase Revenue & Strengthen County policy(IRSC), I explored the effects of the IRSC policy on agricultural employment and capital deepening. The results show that IRSC policy is effective in capital deepening and technology diffusion. Meanwhile, the government should pay more attention to the employment issues in rural areas, since the S&T diffusion policy has a tendency of saving labor.This paper enriches the existing literature in the following aspects: Firstly, the reform of agricultural S&T system is a relatively new perspective of interpreting agricultural development. I attempt to build an integrated framework towhich could connect the reform of agricultural S&T system, agriculture technological change and agricultural development. We explored the impacts of reform of agricultural S&T system on agricultural development from the imposed institutional change perspective,and discussed the influence and mechanism under mediation mechanism analysis framework. It helps to understand the institutional engine that drives agricultural development. Secondly, I analyzed the influence mechanism of reform of agricultural S&T system on agricultural development with the mediation mechanism and take agricultural technological change as a mediator variable. It unified the theoretical analysis and empirical analysis, and has enlightening significance in constructing the complete framework for the related research. Thirdly, I explored the basic characteristics of agricultural technological innovation in terms of invention patent applications and grant, the quantity as well as quality, by extracting specific micro agricultural patents data. It enriches the micro measurement of agricultural technological innovation. Fourthly, the empirical analysis for the effect of transformation of agricultural scientific research institutes on agricultural technological innovation can enrich the research of reform of S&T system on innovation. Finally, this paper is possibly the first study trying to evaluate the impact of IRSC policy on agricultural development, via the Matching-DID and DID estimation. The research design provides a borrowable framework for similar policy evaluation.
参考文献总数:

 145    

馆藏地:

 图书馆学位论文阅览区(主馆南区三层BC区)    

馆藏号:

 博020101/1505    

开放日期:

 2016-01-14    

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