中国成为全球自主创新强国的挑战与政策——基于微观数据的实证研究

本项目试图采用企业调查、案例访谈和统计分析等研究方法全方位地探讨中国创新环境的变迁。首先，项目申请人计划明年与其他学者合作完成中国200-300个（不同行业）企业的CEO、经理和董事长的访谈工作。其次，运用1984-2013年完整的中国专利数据，项目申请人将对中国专利体系的演化进行考察，包括中国专利授权类型、专利权人所属行业和区域的演化。与此同时，我们将采用一种全新的对接方法将中国专利库与谷歌专利数据库联系起来，借此获得中国全部专利的前向和后向引用信息。最后，利用中国1998-2013年全部的规模以上工业企业数据库等数据，项目申请人将进一步研究金融约束、创新完整过程和中国增值税改革之间的关系。

The proposed project attempts to study holistically the evolution of China’s innovation capabilities relying on a range of methods, including business surveys, qualitative interviews and large-scale statistical anal-yses. First, in collaboration with other researchers, the PI will help carry out the third wave of the China Innovation Survey (CIS) in 2017 aimed at interviewing between 200 and 300 CEOs, managers and direc-tors across different industries in China in order to ascertain information regarding their innovation strate-gies and the role of innovation in their going-out strategies. Second, the PI will study the evolution of China’s patent system using a database that includes the universe of Chinese patents from 1984-2013. Focus will be placed on highlighting changes in the location, industry and type of patents approved in Chi-na, as well as developing a novel approach to link Chinese patents database with the google patent data-base in order to obtain forward/backward citations for all of China’s patents. Third, the PI will examine the relationship between financial constraints, the entire process of innovation, and reforms to China’s value-added tax regime using data that includes the universe of China’s medium- and large- enterprises from 1998-2013.