Innovation, Technology, Transfer, and Institutional Change in Chinese Industry

中国工业的创新、技术、转移和制度变迁

• 批准号: 9905259
• 负责人: Gary Jefferson
• 金额: $ 18.11万
• 依托单位: Brandeis University
• 依托单位国家: 美国
• 项目类别: Continuing Grant
• 财政年份: 1999
• 资助国家: 美国
• 起止时间: 1999-08-01 至 2004-06-30
• 项目状态: 已结题
• 来源: https://www.nsf.gov/awardsearch/showAward?AWD_ID=9905259&HistoricalAwards=false
• 关键词: Innovation; Technology; Transfer; Institutional; Change

Chinese industry is at a critical stage - it is on the threshold of a second transition. Following a generally successful initial transition that has largely occurred within the envelope of transitional technologies and institutional forms, China's industrial economy is now marked by a productivity slowdown and excess capacity. With easy gains achieved, the Chinese are looking at the need for a vast restructuring that might involve millions of enterprises.In order to sustain high rates of industrial output and productivity growth, China's industrial enterprises will have to learn to innovate and adapt new technologies that are closer to the international frontier. The incentive and institutional capabilities required to achieve technological catch-up will require accelerated reform of both systems of governance and China's emerging property rights market. The central idea of this proposal is that, with the support of a strikingly rich database, we can examine the determinants of innovation and technology transfer across a wide range of institutional settings within China. The relevant institutions include industrial enterprises of various ownership types, universities and research institutes, markets, and government policies and programs that shape incentives and capabilities.Consisting of 3 U.S. scholars, 5 Chinese scholars, and recent and current doctoral candidates, our research team proposes to pool its experience in the areas of U. S. and Chinese industrial organization and technical change. We expect our collaboration to enlarge the scope and quality of research at the intersection of innovation, technology transfer, and institutional change in Chinese industry.Our research program can be summarized by a 5-equation model that explains R&D effort, technology acquisition, R&D output, technology transfer, and firm performance. The variables that drive these outcomes include a wide range of enterprise characteristics, market and industry characteristics, institutional characteristics, and government policy and programs. The body of industrial organization theory and empirical results largely based on the experience of advanced industrial countries guides our investigation of these relationships. The empirical work builds on seven data sets, of which 6 are enterprise level surveys. At least one of these provides the data required to estimate the 5-equation model as a system. The other data sets allow for estimating one or more of the equations with varying degrees of emphasis on forms of non-state ownership, international technology transfer, and the impact of managerial property rights, objectives, and attitudes on the innovation process.A central purpose of our research is to combine the complementary training of the U.S. researchers with the capabilities of the Chinese researchers to publish collaborative research in mainstream U. S. journals. Introducing this work into the U. S. academic literature will at once subject it to scholarly review and also suggest for both U.S. and Chinese scholars and policy-makers new avenues of research on the role of institutions and policy in motivating innovation and technology transfer.

中国工业正处于一个关键阶段--它正处于第二次转型的门槛上。在基本上成功的初步转型（主要发生在转型技术和体制形式的范围内）之后，中国工业经济目前的特点是生产率放缓和产能过剩。在轻而易举取得成果的同时，中国正考虑进行可能涉及数百万企业的大规模重组。为了保持工业产出和生产率的高增长率，中国的工业企业必须学会创新，适应更接近国际前沿的新技术。实现技术赶超所需的激励和制度能力将需要加快治理体系和中国新兴产权市场的改革。该提案的中心思想是，在极其丰富的数据库的支持下，我们可以在中国的各种制度环境中考察创新和技术转让的决定因素。相关机构包括各种所有制类型的工业企业、大学和研究机构、市场以及塑造激励和能力的政府政策和计划。我们的研究团队由3名美国学者、5名中国学者以及最近和正在攻读博士学位的候选人组成，建议将其在美国经济领域的经验集中在一起。S.中国的产业组织和技术变革。我们希望通过合作，在创新、技术转移和中国产业制度变迁的交叉点上扩大研究范围和提高研究质量。我们的研究计划可以用一个5方程模型来概括，该模型解释了研发努力、技术获取、研发产出、技术转移和企业绩效。驱动这些结果的变量包括广泛的企业特征、市场和行业特征、制度特征以及政府政策和计划。产业组织理论的主体和主要基于先进工业国家经验的实证结果指导我们对这些关系的研究。实证工作建立在7个数据集的基础上，其中6个是企业一级的调查。其中至少有一个提供了将5方程模型作为一个系统进行估计所需的数据。其他数据集允许估计一个或多个方程，不同程度地强调非国家所有制形式、国际技术转让和管理产权的影响、目标、我们研究的一个中心目的是将美国研究人员的补充培训与中国研究人员的能力相结合，以发表合作研究成果。主流美国S.期刊将这项工作引入美国。S.学术文献将立即对其进行学术审查，并为美国和中国的学者和政策制定者提出新的研究途径，研究机构和政策在激励创新和技术转让中的作用。