全球化背景下中美农业科技合作模式与机制研究
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摘要
随着全球化步伐的不断深入，能否有效地参与国际分工，扩大与其它国家的经济技术交流已成为决定一国经济发展质量的最重要因素之一。中美两国同属世界农业大国，中美农业科技合作对双方农业发展都具有重要作用。目前我国正面临着建设现代农业、转变经济发展方式的艰巨任务，学习和借鉴发达国家在农业科技方面的成功经验，特别是加强与美国的农业科技合作十分必要。本论文在全面阐述中美农业科技合作理论基础和现实背景的基础上，系统分析了中美农业科技合作发展的历史轨迹与阶段特征，深入剖析了中美农业科技合作存在的主要障碍，定量研究了影响中美农业科技合作关系的内在机理，提出了中美科技合作的模式以及进一步促进和深化合作的对策建议，旨在为推进中美两国农业科技合作提供较强的理论支撑和现实参考。主要的研究内容与结论如下：
（1）中美农业科技资源与实力现状及其互补性分析表明：中国农业科技资源与实力在于丰富的动植物新品种和种质资源、较高的农业防病减灾技术水平、良好的小型农业机械发展势头、先进的栽培管理和饲养技术等四个方面；美国农业科技资源与实力在于完善的品种选育系统、良好的病虫害与兽医疾病控制体系、高校的机械化装备水平、运行顺畅的农业科研体系等方面；中美农业科技合作的互补性有利于两国资源的互补、有助于两国教育的交流、可优化两国的农产品贸易需求结构。
（2）中美农业科技合作的变化轨迹及基本特征探析表明：19世纪40年代到20世纪40年代末，中美两国农业科技合作的主要模式为教会与传教士模式，外侨、官员、实业家模式，中国留美学生和美籍农科教师模式，政府、研究机构和学校模式。合作主要表现为以中方农业科技引进为主，多取决于美国方面的援助，以基础性研究、适用性技术为主等三个方面的主要特征。20世纪70年代末以来，中美农业科技合作的主要模式为团组交换模式，联合工作组会议推进模式，资源交换方式，大专院校、科研院所合作模式。合作演进方向主要表现为双方合作领域不断拓宽、双方合作层次不断提升、双方合作水平不断提高、双方合作模式不断增多等四个主要特征。
（3）中美农业科技合作显著促进了中美农业经济发展，中国年农业生产总值快速增长、劳动生产率显著提高、农民收入大幅增长、农业机械化程度增强；美国进出口中国农产品贸易份额增加、美国农业机械化程度进一步提高。协整检验发现，中美农产品贸易与中国人均粮食产量尽管为同阶单整序列，但是不存在线性解释关系；中美农产品贸易与中国人均猪牛羊肉产量为非同阶单整序列，且不存在协整关系。中美农产品贸易与中国农业总产值、中国家庭人均经营性纯收入、中国单位面积农业机械总动力之间具有线性解释关系，且中美农产品贸易每增长1%，中国农业总产值增长0.81%、中国家庭人均经营性纯收入增长1.41%、中国单位面积农业机械总动力增长0.09%。
（4）中美农业科技合作影响因素理论分析和统计描述表明：中美在耕地、劳动力等资源上呈现较强的互补性；双方意识形态因素在有些条件下让位与经济利益的务实和灵活的选择；2010年中国农产品出口美国受阻批次较2006年增长48.95%；1992-2006中国农产品关税平均税率降幅高达81.70%；2002-2010年中国农业研究与开发实验经费年均增长21.31%；中国农业知识产权保护市场正在逐步发展，外国在中国的科技创新需求逐步增强；中国“一五”、“三五”到“十一五”农业科技进步贡献率分别为20%、2.3%、15%、27%、35%、28%、34%、45%、46%、52%，呈现明显的上升态势。进一步计量检验发现，中国农业科技水平、农产品关税、农业科研经费投入、中美农业人口人均耕地面积比值对中美农业科技合作具有显著影响，而两国政治关系、国外在中国农业发明专利申请量则影响不显著。
（5）中美农业科技合作模式的比较分析表明：从农业科技合作模式的阶段性而言，随着经济社会及现代科技的发展，农业科技合作的模式不断创新：从合作模式的空间组织形式与结构来看，中美两国经济社会发展水平存在一定的差距，合作过程中往往会出现以其中一方为主导的科技合作模式；从农业科技合作成本来看，随其复杂程度的增加，组织、协调和管理的成本不断上升，同时在实施过程中需要的人力、物力和财力也相应越高，成本就会越大。在此基础上，提出了实现中美两国农业科技合作广度、深度、持续度、效果度的四维战略构想，以及农业生物资源合作、产业转型中的关键技术合作、前瞻性高新技术合作、应对全球挑战技术、农业科研新理念新方法的交流及综合科技能力提升等合作领域与空间选择。
本研究可能的创新之处在于：
（1）以往关于国际科技合作的研究主要侧重于从定性描述的角度来展开，本论文在定性分析的基础上，运用计量分析模型，对中美农业科技合作的影响进行了定量分析，科学准确的把握了中美农业科技合作的数量规律。
（2）全面系统地梳理了中美农业科技合作的历史轨迹，总结凝练了中美农业科技合作的基本方式，定量分析了中美农业科技合作的影响关系，系统提出了中美农业科技合作的模式选择和对策建议。
With the deepening of globalization nowadays, The ability to effectively participate in theinternational division of labor, and to expand economic and technological exchange with other countrieshas become one of the most important factors that determine the quality of a country's economicdevelopment. China and America are both big agricultural countries with important influence in theworld, the Sino-US agricultural science and technology cooperation plays an important role on bothsides of agricultural development, and actually, one of the largest and most successful areas in modernSino-US scientific and technical communication is agriculture. At present, China is faced with thearduous task of building a modern agriculture, it is necessary to learn from the successful experience ofdeveloped countries in agricultural science and technology, and to strengthen agricultural science andtechnology cooperation with advanced agricultural countries, especially the United States. On the basisof a comprehensive exposition of the theoretical basis and practical background of the Sino-USagricultural science and technology cooperation, this thesis gives an accurate analysis of the historicaltrack and stage feature of the development of Sino-US agricultural science and technology cooperation,and provides depth analysis of the main obstacles to Sino-US agricultural science and technologycooperation, and makes quantitative study of the inherent mechanism that affects Sino-US agriculturalscience and technology cooperative relations, and proposes modes of Sino-US science and technologycooperation as well as countermeasures to further promote and deepen the cooperation, the researchconclusions will provide strong theoretical support and practical reference to promote the Sino-USagricultural science and technology cooperation and exchanges.
(1) Analyzing present strength status and complementarity of Sino-US agricultural scientific andtechnical cooperation. The paper finds that China’s agricultural science and technology resources andstrengths lie in four aspects: its rich flora and fauna of new varieties and germplasm resources, thehigher level of disease prevention and disaster reduction techniques in agriculture, good growthmomentum of small type agricultural machinery, and advanced cultivation management and feedingtechniques; while America’s agricultural science and technology resources and strengths lie in other fouraspects: the perfect varieties breeding system, the fine pests and veterinary diseases control system, theefficient mechanized equipment level, and the smooth running of the agricultural research system.Furthermore, the complementarity of Sino-US agricultural science and technology cooperation can beconducive to the resource complementary of the two countries, and can contribute to the educationalexchange between the two countries, and can optimize the demand structure of agricultural trade aswell.
(2) Depth analysis on the changing track and the basic characteristics of the Sino-US agriculturalscience and technology cooperation indicates that from the1840s to the late1940s, the main modes ofSino-US agricultural science and technology cooperation contained the following ways: carrying outcooperation by the communication of church and missionary; by the aliens, government officials andindustrialists; by the Chinese overseas students and American agricultural teacher; and the mode that by the government, research institutions and school. China’s introduction of agricultural science andtechnology from America was the main mode of cooperation, and two of the three main introductivefeatures were basic research and applicative technology. While since the late1970s, the main modes ofSino-US agricultural science and technology cooperation evolved into the following four ways: by thegroup exchange; by the promoting of joint working groups’ meetings; by the exchange of resource; andthe mode that by the cooperation of universities and research institutes. The trend of the cooperativeevolution direction showed in four aspects: the area of cooperation between China and America wasbeing broad; the stage of cooperation was promoting continuously; the level of cooperation wasincreasing; and the way of cooperation increasing was growing.
(3) Sino-US agricultural science and technology cooperation has significantly promoted thedevelopment of agricultural economy both in China and the America. On the Chinese side, theagricultural GDP grew fast, the labor productivity rose significantly, the farmer income grewconsiderably, and the degree of agricultural mechanization enhanced as well; on the American side, theimport and export trade of agricultural products with China has increased, and the degree of agriculturalmechanization further improved. Cointegration test finds that Sino-US agricultural trade and China’ percapita grain yield are single whole sequence of same order, but there is no linear relationship betweenthe two; Sino-US agricultural trade and China's per capita pork, beef and lamb production are not singlewhole sequence of same order, and there is no co-integration relationship between the two. The Sino-USagricultural trade has linear relationship with China’ gross agricultural output value, China's per capitanet income of family management, and China’s total power of agricultural machinery per unit area,concretely, when Sino-US agricultural trade increases by1%, China’s gross agricultural output valueincreases by0.81%, per capita net income of family management grows by1.41%, and China’s totalpower of agricultural machinery per unit area increases by0.09%, respectively.
(4) Based on the theoretical analysis of influence of resources, politics, tariff system, intellectualproperty protection, investment in science and technology, the level of agricultural technology on theSino-US agricultural science and technology cooperation, and further description of the statisticalanalysis of each factor’s realistic characterization, the paper finds that China and America have strongcomplementarity in cultivated land and labor resources; in some conditions, both ideological factorsgive way to pragmatic and flexible options working for economic interests; compared with2006, theblocked batch of China’s agricultural products exported to the U.S. increased by48.95%in2010;during the1992-2006, the average rate of China’s farm tariff has greatly declined by81.70%; from2002to2010, the average annual growth rate of China’s agricultural research and experimental expenditureincreases by21.31%; China’s agricultural intellectual property protection markets is graduallydeveloping, and the demand for technological innovation in China of foreign countries is enhancing aswell; China’s contribution rate of agricultural scientific and technological progress in “the first fiveyears” to “the eleventh five-year” were20%,2.30%,15%,27%,35%,28%,34%,45%,46%,52%,respectively, showing a significant upward trend. The further econometric test finds that, the level ofChina's agricultural technology, China’s farm tariff, agricultural research expenditure, and the ratio of farmland areas per person between China and America have a significant effect on Sino-US agriculturalscience and technology cooperation, while the politic relationship between China and America, andforeign invention patent applications in agriculture in China have no significant effect.
(5) Though comparative analysis, and as far as the stage of agricultural science and technologycooperation modes is concerned, we find that with the development of economic society and moderntechnology, the modes of agricultural science and technology cooperation innovate gradually: as to thespace organizing form and structure of cooperation modes, there is a certain gap between China’seconomic and social development level and America’s, and a cooperation mode that is led by one partywill often appear in the process of cooperation; as to the cost of agricultural scientific and technicalcooperation, with the increasing of the complex degree, the costs of organizing, coordinating andmanaging are rising constantly, and at the same time, the more the manpower, material resources andfinancial resources are required in the implementation process, the higher the costs will be. On this basis,the paper proposes a four-dimensional strategic vision of the China-US agricultural science andtechnology cooperation, which contains the breadth, depth, persistence and effect, as well as thecooperation fields and space selections, such as the cooperation of agricultural biological resources, thekey technical cooperation in industrial restructuring, the forward-looking high-tech cooperation, thetechnology dealing with global challenge, the communication of the new ideas and new methods inagricultural research and the enhance of integrated science and technology.
This research may put forward following innovation points:
(1) In the past, the research about international science and technology cooperation primarilyfocused on the perspective of qualitative description, while based on the qualitative analysis, this paperutilizes the econometric analysis model to operate quantitative analysis on the influence of Sino-USagricultural scientific and technical cooperation, scientifically and accurately grasping the quantityregularity of Sino-US agricultural scientific and technical cooperation. Above all, the research showsnovelty of the research methods.
(2) This study comprehensively and systematically combs the historical track of Sino-USagricultural scientific and technical cooperation, briefly summarizes the basic modes of Sino-USagricultural science and technology cooperation, quantitatively analyzes the influence of Sino-USagricultural scientific and technical cooperation, and systematically proposes the mode selections andcountermeasures of Sino-US agricultural scientific and technical cooperation. All of these reflect thenovelty of research content.
（1）中美农业科技资源与实力现状及其互补性分析表明：中国农业科技资源与实力在于丰富的动植物新品种和种质资源、较高的农业防病减灾技术水平、良好的小型农业机械发展势头、先进的栽培管理和饲养技术等四个方面；美国农业科技资源与实力在于完善的品种选育系统、良好的病虫害与兽医疾病控制体系、高校的机械化装备水平、运行顺畅的农业科研体系等方面；中美农业科技合作的互补性有利于两国资源的互补、有助于两国教育的交流、可优化两国的农产品贸易需求结构。
（2）中美农业科技合作的变化轨迹及基本特征探析表明：19世纪40年代到20世纪40年代末，中美两国农业科技合作的主要模式为教会与传教士模式，外侨、官员、实业家模式，中国留美学生和美籍农科教师模式，政府、研究机构和学校模式。合作主要表现为以中方农业科技引进为主，多取决于美国方面的援助，以基础性研究、适用性技术为主等三个方面的主要特征。20世纪70年代末以来，中美农业科技合作的主要模式为团组交换模式，联合工作组会议推进模式，资源交换方式，大专院校、科研院所合作模式。合作演进方向主要表现为双方合作领域不断拓宽、双方合作层次不断提升、双方合作水平不断提高、双方合作模式不断增多等四个主要特征。
（3）中美农业科技合作显著促进了中美农业经济发展，中国年农业生产总值快速增长、劳动生产率显著提高、农民收入大幅增长、农业机械化程度增强；美国进出口中国农产品贸易份额增加、美国农业机械化程度进一步提高。协整检验发现，中美农产品贸易与中国人均粮食产量尽管为同阶单整序列，但是不存在线性解释关系；中美农产品贸易与中国人均猪牛羊肉产量为非同阶单整序列，且不存在协整关系。中美农产品贸易与中国农业总产值、中国家庭人均经营性纯收入、中国单位面积农业机械总动力之间具有线性解释关系，且中美农产品贸易每增长1%，中国农业总产值增长0.81%、中国家庭人均经营性纯收入增长1.41%、中国单位面积农业机械总动力增长0.09%。
（4）中美农业科技合作影响因素理论分析和统计描述表明：中美在耕地、劳动力等资源上呈现较强的互补性；双方意识形态因素在有些条件下让位与经济利益的务实和灵活的选择；2010年中国农产品出口美国受阻批次较2006年增长48.95%；1992-2006中国农产品关税平均税率降幅高达81.70%；2002-2010年中国农业研究与开发实验经费年均增长21.31%；中国农业知识产权保护市场正在逐步发展，外国在中国的科技创新需求逐步增强；中国“一五”、“三五”到“十一五”农业科技进步贡献率分别为20%、2.3%、15%、27%、35%、28%、34%、45%、46%、52%，呈现明显的上升态势。进一步计量检验发现，中国农业科技水平、农产品关税、农业科研经费投入、中美农业人口人均耕地面积比值对中美农业科技合作具有显著影响，而两国政治关系、国外在中国农业发明专利申请量则影响不显著。
（5）中美农业科技合作模式的比较分析表明：从农业科技合作模式的阶段性而言，随着经济社会及现代科技的发展，农业科技合作的模式不断创新：从合作模式的空间组织形式与结构来看，中美两国经济社会发展水平存在一定的差距，合作过程中往往会出现以其中一方为主导的科技合作模式；从农业科技合作成本来看，随其复杂程度的增加，组织、协调和管理的成本不断上升，同时在实施过程中需要的人力、物力和财力也相应越高，成本就会越大。在此基础上，提出了实现中美两国农业科技合作广度、深度、持续度、效果度的四维战略构想，以及农业生物资源合作、产业转型中的关键技术合作、前瞻性高新技术合作、应对全球挑战技术、农业科研新理念新方法的交流及综合科技能力提升等合作领域与空间选择。
本研究可能的创新之处在于：
（1）以往关于国际科技合作的研究主要侧重于从定性描述的角度来展开，本论文在定性分析的基础上，运用计量分析模型，对中美农业科技合作的影响进行了定量分析，科学准确的把握了中美农业科技合作的数量规律。
（2）全面系统地梳理了中美农业科技合作的历史轨迹，总结凝练了中美农业科技合作的基本方式，定量分析了中美农业科技合作的影响关系，系统提出了中美农业科技合作的模式选择和对策建议。
With the deepening of globalization nowadays, The ability to effectively participate in theinternational division of labor, and to expand economic and technological exchange with other countrieshas become one of the most important factors that determine the quality of a country's economicdevelopment. China and America are both big agricultural countries with important influence in theworld, the Sino-US agricultural science and technology cooperation plays an important role on bothsides of agricultural development, and actually, one of the largest and most successful areas in modernSino-US scientific and technical communication is agriculture. At present, China is faced with thearduous task of building a modern agriculture, it is necessary to learn from the successful experience ofdeveloped countries in agricultural science and technology, and to strengthen agricultural science andtechnology cooperation with advanced agricultural countries, especially the United States. On the basisof a comprehensive exposition of the theoretical basis and practical background of the Sino-USagricultural science and technology cooperation, this thesis gives an accurate analysis of the historicaltrack and stage feature of the development of Sino-US agricultural science and technology cooperation,and provides depth analysis of the main obstacles to Sino-US agricultural science and technologycooperation, and makes quantitative study of the inherent mechanism that affects Sino-US agriculturalscience and technology cooperative relations, and proposes modes of Sino-US science and technologycooperation as well as countermeasures to further promote and deepen the cooperation, the researchconclusions will provide strong theoretical support and practical reference to promote the Sino-USagricultural science and technology cooperation and exchanges.
(1) Analyzing present strength status and complementarity of Sino-US agricultural scientific andtechnical cooperation. The paper finds that China’s agricultural science and technology resources andstrengths lie in four aspects: its rich flora and fauna of new varieties and germplasm resources, thehigher level of disease prevention and disaster reduction techniques in agriculture, good growthmomentum of small type agricultural machinery, and advanced cultivation management and feedingtechniques; while America’s agricultural science and technology resources and strengths lie in other fouraspects: the perfect varieties breeding system, the fine pests and veterinary diseases control system, theefficient mechanized equipment level, and the smooth running of the agricultural research system.Furthermore, the complementarity of Sino-US agricultural science and technology cooperation can beconducive to the resource complementary of the two countries, and can contribute to the educationalexchange between the two countries, and can optimize the demand structure of agricultural trade aswell.
(2) Depth analysis on the changing track and the basic characteristics of the Sino-US agriculturalscience and technology cooperation indicates that from the1840s to the late1940s, the main modes ofSino-US agricultural science and technology cooperation contained the following ways: carrying outcooperation by the communication of church and missionary; by the aliens, government officials andindustrialists; by the Chinese overseas students and American agricultural teacher; and the mode that by the government, research institutions and school. China’s introduction of agricultural science andtechnology from America was the main mode of cooperation, and two of the three main introductivefeatures were basic research and applicative technology. While since the late1970s, the main modes ofSino-US agricultural science and technology cooperation evolved into the following four ways: by thegroup exchange; by the promoting of joint working groups’ meetings; by the exchange of resource; andthe mode that by the cooperation of universities and research institutes. The trend of the cooperativeevolution direction showed in four aspects: the area of cooperation between China and America wasbeing broad; the stage of cooperation was promoting continuously; the level of cooperation wasincreasing; and the way of cooperation increasing was growing.
(3) Sino-US agricultural science and technology cooperation has significantly promoted thedevelopment of agricultural economy both in China and the America. On the Chinese side, theagricultural GDP grew fast, the labor productivity rose significantly, the farmer income grewconsiderably, and the degree of agricultural mechanization enhanced as well; on the American side, theimport and export trade of agricultural products with China has increased, and the degree of agriculturalmechanization further improved. Cointegration test finds that Sino-US agricultural trade and China’ percapita grain yield are single whole sequence of same order, but there is no linear relationship betweenthe two; Sino-US agricultural trade and China's per capita pork, beef and lamb production are not singlewhole sequence of same order, and there is no co-integration relationship between the two. The Sino-USagricultural trade has linear relationship with China’ gross agricultural output value, China's per capitanet income of family management, and China’s total power of agricultural machinery per unit area,concretely, when Sino-US agricultural trade increases by1%, China’s gross agricultural output valueincreases by0.81%, per capita net income of family management grows by1.41%, and China’s totalpower of agricultural machinery per unit area increases by0.09%, respectively.
(4) Based on the theoretical analysis of influence of resources, politics, tariff system, intellectualproperty protection, investment in science and technology, the level of agricultural technology on theSino-US agricultural science and technology cooperation, and further description of the statisticalanalysis of each factor’s realistic characterization, the paper finds that China and America have strongcomplementarity in cultivated land and labor resources; in some conditions, both ideological factorsgive way to pragmatic and flexible options working for economic interests; compared with2006, theblocked batch of China’s agricultural products exported to the U.S. increased by48.95%in2010;during the1992-2006, the average rate of China’s farm tariff has greatly declined by81.70%; from2002to2010, the average annual growth rate of China’s agricultural research and experimental expenditureincreases by21.31%; China’s agricultural intellectual property protection markets is graduallydeveloping, and the demand for technological innovation in China of foreign countries is enhancing aswell; China’s contribution rate of agricultural scientific and technological progress in “the first fiveyears” to “the eleventh five-year” were20%,2.30%,15%,27%,35%,28%,34%,45%,46%,52%,respectively, showing a significant upward trend. The further econometric test finds that, the level ofChina's agricultural technology, China’s farm tariff, agricultural research expenditure, and the ratio of farmland areas per person between China and America have a significant effect on Sino-US agriculturalscience and technology cooperation, while the politic relationship between China and America, andforeign invention patent applications in agriculture in China have no significant effect.
(5) Though comparative analysis, and as far as the stage of agricultural science and technologycooperation modes is concerned, we find that with the development of economic society and moderntechnology, the modes of agricultural science and technology cooperation innovate gradually: as to thespace organizing form and structure of cooperation modes, there is a certain gap between China’seconomic and social development level and America’s, and a cooperation mode that is led by one partywill often appear in the process of cooperation; as to the cost of agricultural scientific and technicalcooperation, with the increasing of the complex degree, the costs of organizing, coordinating andmanaging are rising constantly, and at the same time, the more the manpower, material resources andfinancial resources are required in the implementation process, the higher the costs will be. On this basis,the paper proposes a four-dimensional strategic vision of the China-US agricultural science andtechnology cooperation, which contains the breadth, depth, persistence and effect, as well as thecooperation fields and space selections, such as the cooperation of agricultural biological resources, thekey technical cooperation in industrial restructuring, the forward-looking high-tech cooperation, thetechnology dealing with global challenge, the communication of the new ideas and new methods inagricultural research and the enhance of integrated science and technology.
This research may put forward following innovation points:
(1) In the past, the research about international science and technology cooperation primarilyfocused on the perspective of qualitative description, while based on the qualitative analysis, this paperutilizes the econometric analysis model to operate quantitative analysis on the influence of Sino-USagricultural scientific and technical cooperation, scientifically and accurately grasping the quantityregularity of Sino-US agricultural scientific and technical cooperation. Above all, the research showsnovelty of the research methods.
(2) This study comprehensively and systematically combs the historical track of Sino-USagricultural scientific and technical cooperation, briefly summarizes the basic modes of Sino-USagricultural science and technology cooperation, quantitatively analyzes the influence of Sino-USagricultural scientific and technical cooperation, and systematically proposes the mode selections andcountermeasures of Sino-US agricultural scientific and technical cooperation. All of these reflect thenovelty of research content.
引文
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