基于知识产权视角的中国种子企业发展战略研究
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摘要
后金融危机时代,由于知识创新和知识产权的作用日益强化,世界种业发展呈现出围绕知识产权来构建核心竞争力的重要特征。面对新的国际竞争形势,跨国种业巨头纷纷以知识产权为“武器”加强对世界种业市场的掠夺。由于起步早、规模大、资金雄厚,跨国公司拥有的各种知识产权,无论在数量上还是质量上都是其他类型企业难以企及的。目前植物新品种权拥有量居前六名的国家分别为美国、日本、荷兰、韩国、澳大利亚、法国,其中美国、荷兰、法国的种子出口额排名前三位,并且这三个国家的种子出口额之和占世界种子出口总额的一半。显而易见,在种业国际竞争中,谁拥有更多的知识产权,谁就取得了市场的主动权和发展的优先权。
尽管我国政府对外商投资种业作出了一些限制,但外资进入种业的势头仍然很猛,渠道越来越多,手段越来越灵活,严重挤压了民族种业的生存空间。最近几年,跨国公司在基本稳固和控制中国蔬菜和花卉种子市场之后,开始整合、进军大田作物种子市场。通过本土化和知识产权战略,直接与中国农业科研院所合作,低成本攫取中国政府支持多年研究形成的创新成果,有的跨国公司还通过成立合资公司或建立试验站的方式广泛搜集中国的特异种质资源,分离克隆有用的基因并申请专利,力图钳制中国种业技术发展,再将产成品投放到中国,以达到控制种业市场、攫取暴利的目的。例如,先锋公司的玉米新品种“先玉335”,在短短几年的时间里,就击败了“盘踞”在中国东北地区多年的众多国产品种。中国种业正面临着入世以来最为严峻的安全危机,具体表现为品种安全、质量安全、数量安全和行业安全四大问题。前三个问题属于创新问题,与知识产权紧密相关,而行业安全折射的是更深层次的国际知识产权竞争问题。这种竞争,表面上看是经济实力的竞争,实质上是科技创新能力与知识产权的竞争。因此,全面提升种业知识产权创造、保护、运营和管理能力已成为中国种子企业生存与发展的迫切要求。
由于历史和体制的原因,我国种业领域的科技创新主体一直是农业科研单位,种子企业自主创新仍处于初级阶段,规模小、研发能力弱,育种资源和人才不足,竞争力不强,与发达国家和跨国种业存在很大差距。为此,国务院于2011年4月发布的《关于加快推进现代农作物种业发展的意见》(以下简称《意见》)提出了今后种业发展的思路,明确指出农作物种业是国家战略性、基础性核心产业,种子企业是商业化育种的主体,是种业发展的主体。然而,我国种子企业如何才能担当商业化育种主体?如何才能在跨国种业巨头以知识产权为工具的技术胁迫和市场挤压下获取生存空间?本文研究的目的和意义,就是要在认真研究我国种子企业自主创新能力和所处的市场环境的基础上,通过技术分析与比较选择,围绕种业知识产权构建能够形成持续竞争优势的企业发展战略,从而赢得市场发展空间,迎头赶上和超越跨国种业巨头。论文分为九个部分,具体章节安排如下：
第一章,导论。介绍本文的研究背景和意义、研究目标和研究内容,对相关研究的国内外研究动态进行述评,说明本文的基本思路、研究方法和数据来源,指出本文的主要创新点和研究不足之处。
第二章,研究的理论基础。对知识产权理论、企业战略管理理论和协同理论进行概述。
第三章,种业知识产权与种子企业发展战略。介绍种业知识产权的内涵和特点,提出基于知识产权的种子企业发展战略目标,剖析知识产权提升种子企业竞争力的作用机理,提出知识产权与种子企业战略协同发展模式。
第四章,种子企业知识产权综合能力评价。运用层次分析法,从知识产权创新、管理、运营和保护四个层面构建种子企业知识产权综合能力评价指标体系及评价模型,对我国种子出口企业知识产权创新、管理、运营和保护的单项能力以及综合能力进行测评排序。
第五章,种子企业发展环境分析与备选战略测度。对国内外种业发展现状、竞争态势以及国内外种业知识产权现状和知识产权法律法规、政策进行分析,确定种子企业发展战略备选方案,并对备选战略进行评价。
第六章,种子企业发展战略选择。依据备选战略测度结果,对排名前三位的战略,即国际化战略、战略联盟和后向一体化战略,分别就动因、机制和战略模式展开分析。
第七章,知识产权与种子企业发展战略协同模式案例分析。采用单案例纵向研究方法,以一个民营种子企业作为案例研究对象,探究其战略管理的成功经验,剖析知识产权在该企业国际化战略、战略联盟以及后向一体化战略中的功效,在案例分析的基础之上提出知识产权与种子企业战略协同发展模式的理论建构。
第八章,战略实施平台构建。从知识产权管理体系、知识产权价值评估体系和知识产权信息平台三个方面构建种子企业战略实施平台。
第九章,总结与展望。说明本文的基本结论、研究的局限性和未来的研究方向。
In the post time of financial crisis, as the impacts of knowledge innovation and intellectual property grow stronger, development of the world seed industry takes on an important feature of building its core competitiveness around intellectual property. Faced with new international competitions, the giants of multinationals in seed industry are taking intellectual property as a weapon to occupy the world market. The many kinds of intellectual property that multinationals have, no matter in quantity or in quality, are difficult to gain by any other enterprises because multinationals have early starts, large scales and abundant funds. Now the world's top six countries which have the largest amount of the rights of the new plant variety are America, Japan, Holland, Korea, Australia and France. Among them, America, Holland and France rank the top three in the amount of export seeds and the total amount of these three countries' export seeds makes up almost half of the world market. Obviously, in seed industry, countries which have more intellectual properties will obtain the initiative of the market and the priority of development in international competitions.
Although our government has imposed some restrictions on foreign tradesman's investment in seed industry, there is still an upward trend of foreign capital's coming into seed industry of our country. The more investment channels and more flexible investment means have helped multinationals suppress the development of seed enterprises in our country. In recent years, after multinationals have, on the whole, controlled China flower and vegetable markets, they began to integrate and set foot on seed markets of filed crops. The new maize specie "Xianyu335" cultivated by Xianfeng Company have beat many home-made species previously occupied in China's north-east area in just a few years. Multinationals have continuously strengthened localization and strategies of protecting intellectual property, directly cooperated with China Agricultural Sciences Academy and Institute and gained many innovative achievements made by Chinese government under years' research with low costs. Some multinationals wildly collect China's germ plasm resource, separate useful genes for cloning and apply for patent on them by setting up joint venture company or building testing station, to suppress the technology development of China seed industry. Step by step, they put the final products into China market to achieve the goal of controlling the market of seed industry and getting windfall profit. China seed industry is now facing the most serious safety crisis since entry to WTO, which is represented as species safety, quality safety, quantity safety and industry safety. The first three problems involves innovation and have a close connection with intellectual property, however, industry safety reflects a deeper problem of international competitions in intellectual property. Such competitions, seen from the surface, are competitions of economic powers which in fact, are competitions of innovation ability and intellectual property. Given this, strengthening the overall ability of creating, protecting, operating and managing intellectual property of seed industry has become an urgent requirement for the surviving and development of China seed enterprises.
The dominator of technology innovation in seed industry of our country has always been the agricultural R&D institution regarding history and governmental systems. Seed enterprises themselves are often weak in scientific research, still in the primary stage of it. They are small in scale, weak in research ability, short of breeding resource and talented people, so they still have large gaps between developed countries and multinationals. Considering this, the State Council published advice on accelerating the development of modern agricultural seed industry (advice for short) in April2011, in which the State Council has illuminated how the seed industry develops in the future. For the first time it defined agricultural seed industry as the country strategic and core industry, it also defined seed enterprises as the dominator of commercial breeding and development of seed industry. However, how can the seed enterprises of our country function the main role of commercial breeding and how can they gain the surviving space under the technology threat caused by giants of multinationals in seed industry who use intellectual property as their weapons? The purpose of this paper is to lay down development strategy around intellectual property for enterprises that have sustainable competitive advantages by technical analysis and comparing alternatives on the basis of our country's seed enterprises'innovation ability and the marketing environment they are faced with in hope of catching up with and then surpass giants of multinationals in seed industry. This paper is organized around eight parts as follows:
Chapter1Introduction. First introduce the research background, purpose, target and content of the essay and make comments on related research trend within and out of the country. Then explain the logic, research method and data resources of the paper. Finally point out the main innovation of the paper has and its shortcomings.
Chapter2Theory foundation. Make brief explanations on Intellectual Property Theory, Strategic Management Theory, Synergy Theory and the analytical method in this paper.
Chapter3Intellectual property in seed industry and development strategy of seed enterprises. First introduce the connotation and features of intellectual property in seed industry, then put forward the strategic targets for the development of seed enterprises based on intellectual property. Finally analyzed the mechanism through which intellectual property strengthen the competitiveness of seed enterprises and point out the joint development mode of intellectual property and seed enterprises.
Chapter4Evaluation on the integrated ability in intellectual property of seed enterprises. First use analytic hierarchy process to build the evaluation index system and mould for seed enterprises' integrated ability in intellectual property around innovation, management, operation and protection of intellectual property. Then rank the integrated ability and the ability mentioned above of intellectual property for Chinese enterprises that export hybrid rice seeds.
Chapter5Analysis of the development environment seed enterprises face and evaluation on optional strategies. Analyzing the current development of seed industry within and out of the country, competition trend, the current situation of intellectual property, regulations and laws about intellectual property in order to confirm the optional plans of development strategy for seed enterprises and at the same time to evaluate optional strategies.
Chapter6Choice of seed enterprises' development strategy. Respectively make motivation, mechanism and strategy mould analysis of the top three strategies, namely internationalization strategy, strategic alliance and backward integration strategy and do empirical study on each strategy according to the evaluation result of optional strategies.
Chapter7Case study of joint model of intellectual property and development strategy of seed enterprises. Using the approach of longitudinal research on single case, targeting at one private seed company, probing into the successful experience of strategic management, analyzing the effects of intellectual property on the internationalization, strategic coalition and backward integration of one company, bringing forward an theoretical foundation of joint model of intellectual property and development strategy of seed enterprises on the basis of case study.
Chapter8Strategy implementation. Build a platform of strategy implementing for seed enterprises through management system, value assessment system and informational platform of intellectual property.
Chapter9Conclusion and prospect. Explain the general conclusion and limitations of this paper, giving directions for future research.
尽管我国政府对外商投资种业作出了一些限制,但外资进入种业的势头仍然很猛,渠道越来越多,手段越来越灵活,严重挤压了民族种业的生存空间。最近几年,跨国公司在基本稳固和控制中国蔬菜和花卉种子市场之后,开始整合、进军大田作物种子市场。通过本土化和知识产权战略,直接与中国农业科研院所合作,低成本攫取中国政府支持多年研究形成的创新成果,有的跨国公司还通过成立合资公司或建立试验站的方式广泛搜集中国的特异种质资源,分离克隆有用的基因并申请专利,力图钳制中国种业技术发展,再将产成品投放到中国,以达到控制种业市场、攫取暴利的目的。例如,先锋公司的玉米新品种“先玉335”,在短短几年的时间里,就击败了“盘踞”在中国东北地区多年的众多国产品种。中国种业正面临着入世以来最为严峻的安全危机,具体表现为品种安全、质量安全、数量安全和行业安全四大问题。前三个问题属于创新问题,与知识产权紧密相关,而行业安全折射的是更深层次的国际知识产权竞争问题。这种竞争,表面上看是经济实力的竞争,实质上是科技创新能力与知识产权的竞争。因此,全面提升种业知识产权创造、保护、运营和管理能力已成为中国种子企业生存与发展的迫切要求。
由于历史和体制的原因,我国种业领域的科技创新主体一直是农业科研单位,种子企业自主创新仍处于初级阶段,规模小、研发能力弱,育种资源和人才不足,竞争力不强,与发达国家和跨国种业存在很大差距。为此,国务院于2011年4月发布的《关于加快推进现代农作物种业发展的意见》(以下简称《意见》)提出了今后种业发展的思路,明确指出农作物种业是国家战略性、基础性核心产业,种子企业是商业化育种的主体,是种业发展的主体。然而,我国种子企业如何才能担当商业化育种主体?如何才能在跨国种业巨头以知识产权为工具的技术胁迫和市场挤压下获取生存空间?本文研究的目的和意义,就是要在认真研究我国种子企业自主创新能力和所处的市场环境的基础上,通过技术分析与比较选择,围绕种业知识产权构建能够形成持续竞争优势的企业发展战略,从而赢得市场发展空间,迎头赶上和超越跨国种业巨头。论文分为九个部分,具体章节安排如下：
第一章,导论。介绍本文的研究背景和意义、研究目标和研究内容,对相关研究的国内外研究动态进行述评,说明本文的基本思路、研究方法和数据来源,指出本文的主要创新点和研究不足之处。
第二章,研究的理论基础。对知识产权理论、企业战略管理理论和协同理论进行概述。
第三章,种业知识产权与种子企业发展战略。介绍种业知识产权的内涵和特点,提出基于知识产权的种子企业发展战略目标,剖析知识产权提升种子企业竞争力的作用机理,提出知识产权与种子企业战略协同发展模式。
第四章,种子企业知识产权综合能力评价。运用层次分析法,从知识产权创新、管理、运营和保护四个层面构建种子企业知识产权综合能力评价指标体系及评价模型,对我国种子出口企业知识产权创新、管理、运营和保护的单项能力以及综合能力进行测评排序。
第五章,种子企业发展环境分析与备选战略测度。对国内外种业发展现状、竞争态势以及国内外种业知识产权现状和知识产权法律法规、政策进行分析,确定种子企业发展战略备选方案,并对备选战略进行评价。
第六章,种子企业发展战略选择。依据备选战略测度结果,对排名前三位的战略,即国际化战略、战略联盟和后向一体化战略,分别就动因、机制和战略模式展开分析。
第七章,知识产权与种子企业发展战略协同模式案例分析。采用单案例纵向研究方法,以一个民营种子企业作为案例研究对象,探究其战略管理的成功经验,剖析知识产权在该企业国际化战略、战略联盟以及后向一体化战略中的功效,在案例分析的基础之上提出知识产权与种子企业战略协同发展模式的理论建构。
第八章,战略实施平台构建。从知识产权管理体系、知识产权价值评估体系和知识产权信息平台三个方面构建种子企业战略实施平台。
第九章,总结与展望。说明本文的基本结论、研究的局限性和未来的研究方向。
In the post time of financial crisis, as the impacts of knowledge innovation and intellectual property grow stronger, development of the world seed industry takes on an important feature of building its core competitiveness around intellectual property. Faced with new international competitions, the giants of multinationals in seed industry are taking intellectual property as a weapon to occupy the world market. The many kinds of intellectual property that multinationals have, no matter in quantity or in quality, are difficult to gain by any other enterprises because multinationals have early starts, large scales and abundant funds. Now the world's top six countries which have the largest amount of the rights of the new plant variety are America, Japan, Holland, Korea, Australia and France. Among them, America, Holland and France rank the top three in the amount of export seeds and the total amount of these three countries' export seeds makes up almost half of the world market. Obviously, in seed industry, countries which have more intellectual properties will obtain the initiative of the market and the priority of development in international competitions.
Although our government has imposed some restrictions on foreign tradesman's investment in seed industry, there is still an upward trend of foreign capital's coming into seed industry of our country. The more investment channels and more flexible investment means have helped multinationals suppress the development of seed enterprises in our country. In recent years, after multinationals have, on the whole, controlled China flower and vegetable markets, they began to integrate and set foot on seed markets of filed crops. The new maize specie "Xianyu335" cultivated by Xianfeng Company have beat many home-made species previously occupied in China's north-east area in just a few years. Multinationals have continuously strengthened localization and strategies of protecting intellectual property, directly cooperated with China Agricultural Sciences Academy and Institute and gained many innovative achievements made by Chinese government under years' research with low costs. Some multinationals wildly collect China's germ plasm resource, separate useful genes for cloning and apply for patent on them by setting up joint venture company or building testing station, to suppress the technology development of China seed industry. Step by step, they put the final products into China market to achieve the goal of controlling the market of seed industry and getting windfall profit. China seed industry is now facing the most serious safety crisis since entry to WTO, which is represented as species safety, quality safety, quantity safety and industry safety. The first three problems involves innovation and have a close connection with intellectual property, however, industry safety reflects a deeper problem of international competitions in intellectual property. Such competitions, seen from the surface, are competitions of economic powers which in fact, are competitions of innovation ability and intellectual property. Given this, strengthening the overall ability of creating, protecting, operating and managing intellectual property of seed industry has become an urgent requirement for the surviving and development of China seed enterprises.
The dominator of technology innovation in seed industry of our country has always been the agricultural R&D institution regarding history and governmental systems. Seed enterprises themselves are often weak in scientific research, still in the primary stage of it. They are small in scale, weak in research ability, short of breeding resource and talented people, so they still have large gaps between developed countries and multinationals. Considering this, the State Council published advice on accelerating the development of modern agricultural seed industry (advice for short) in April2011, in which the State Council has illuminated how the seed industry develops in the future. For the first time it defined agricultural seed industry as the country strategic and core industry, it also defined seed enterprises as the dominator of commercial breeding and development of seed industry. However, how can the seed enterprises of our country function the main role of commercial breeding and how can they gain the surviving space under the technology threat caused by giants of multinationals in seed industry who use intellectual property as their weapons? The purpose of this paper is to lay down development strategy around intellectual property for enterprises that have sustainable competitive advantages by technical analysis and comparing alternatives on the basis of our country's seed enterprises'innovation ability and the marketing environment they are faced with in hope of catching up with and then surpass giants of multinationals in seed industry. This paper is organized around eight parts as follows:
Chapter1Introduction. First introduce the research background, purpose, target and content of the essay and make comments on related research trend within and out of the country. Then explain the logic, research method and data resources of the paper. Finally point out the main innovation of the paper has and its shortcomings.
Chapter2Theory foundation. Make brief explanations on Intellectual Property Theory, Strategic Management Theory, Synergy Theory and the analytical method in this paper.
Chapter3Intellectual property in seed industry and development strategy of seed enterprises. First introduce the connotation and features of intellectual property in seed industry, then put forward the strategic targets for the development of seed enterprises based on intellectual property. Finally analyzed the mechanism through which intellectual property strengthen the competitiveness of seed enterprises and point out the joint development mode of intellectual property and seed enterprises.
Chapter4Evaluation on the integrated ability in intellectual property of seed enterprises. First use analytic hierarchy process to build the evaluation index system and mould for seed enterprises' integrated ability in intellectual property around innovation, management, operation and protection of intellectual property. Then rank the integrated ability and the ability mentioned above of intellectual property for Chinese enterprises that export hybrid rice seeds.
Chapter5Analysis of the development environment seed enterprises face and evaluation on optional strategies. Analyzing the current development of seed industry within and out of the country, competition trend, the current situation of intellectual property, regulations and laws about intellectual property in order to confirm the optional plans of development strategy for seed enterprises and at the same time to evaluate optional strategies.
Chapter6Choice of seed enterprises' development strategy. Respectively make motivation, mechanism and strategy mould analysis of the top three strategies, namely internationalization strategy, strategic alliance and backward integration strategy and do empirical study on each strategy according to the evaluation result of optional strategies.
Chapter7Case study of joint model of intellectual property and development strategy of seed enterprises. Using the approach of longitudinal research on single case, targeting at one private seed company, probing into the successful experience of strategic management, analyzing the effects of intellectual property on the internationalization, strategic coalition and backward integration of one company, bringing forward an theoretical foundation of joint model of intellectual property and development strategy of seed enterprises on the basis of case study.
Chapter8Strategy implementation. Build a platform of strategy implementing for seed enterprises through management system, value assessment system and informational platform of intellectual property.
Chapter9Conclusion and prospect. Explain the general conclusion and limitations of this paper, giving directions for future research.
引文
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