Outsourcing Technology Innovation to Foreign Technology Centers: An Eipircal Investigation of the Rare Earth Industry

尽管美国过去在许多技术发展领域享有全球领导地位，但最近的证据表明，与二三十年前相比，这个国家在许多领域不再是领导者。许多公司已经改变了他们的业务，减少了在美国境内进行的研发工作，一些公司已经将他们的研发工作完全转移到其他国家。有几个因素会影响这些公司在美国以外开展业务的决定，其中包括美国和国外的社会经济变化、法规以及地理障碍影响的变化。尽管这些因素很重要，但只有有限数量的研究试图了解这些因素。这在稀土元素（REE）行业尤为明显，许多公司将开发外包给亚洲，但其潜在原因和后果尚不清楚。在这个提议的项目中，我们将研究企业如何做出将业务转移到国外的决策，并以稀土产业为一个值得注意的例子。有三个具体目标。首先，将确定四家独立的稀土公司，并对其迁往亚洲的原因、过程和结果进行详细的案例研究，在亚洲，稀土活动的核心不断增长。有关公司员工在美国或外国机构接受教育的信息也将得到。其次，对1960-2001年稀土技术专利进行定量分析。这将提供稀土产业随时间演变的信息，特别是分析亚洲日益增长的优势所产生的影响。专利数据还将提供有关美国和国外公司在REE创新方面的领导地位的信息。最后，将开发一个范例，以告知决策者政策如何影响该国高科技产业的创新环境。实现这些目标的方法包括采访公司代表，对美国专利和商标局的数据库进行计算机检索，并分析从访谈中获得的定性信息和从专利检索中获得的定量信息。建议活动的智力价值：该项目将评估研发外包和向发展中地区搬迁的决定，重点是技术创新的管理，同时考虑公司的结构、产品的原材料和市场，以及国内外的文化。此外，该项目将揭示稀土元素在美国和国外的流动，考虑它们的来源、产品用途和最终处置。拟议活动产生的更广泛影响：该项目将增强我们对加强和削弱美国在高科技行业领导地位的因素的理解，重点关注更多外包的趋势。研究结果也将被纳入卡内基梅隆大学的课程。总的来说，该项目将帮助美国在新的全球市场上保持竞争优势。

Although the United States has enjoyed global leadership in many fields of technological development in the past, recent evidence suggests that this country is no longer a leader in as many fields as compared with 20-30 years ago. Many companies have changed their operations to perform less research and development within U.S. borders, and some firms have moved their development work entirely to other countries. Several factors influence the decisions of these companies to work outside of the U.S., among them socioeconomic changes in the U.S. and abroad, regulations, and a change in the influence of geographic barriers. Despite their importance, only a limited number of studies have tried to understand these factors. This is particularly apparent in the rare earth element (REE) industry, where many firms have been outsourcing development to Asia, yet the underlying reasons and consequences are not well understood. In this proposed project, we will study how firms make their decisions to move operations abroad, using the REE industry as a noteworthy example. There are three specific objectives. First, four individual REE firms will be identified, and detailed case studies will be performed on the reasons, processes, and outcomes associated with their movement to Asia, where there is a growing nucleus of REE activity. Information on where company employees were educated, in the U.S. or at foreign institutions, will also be obtained. Second, a quantitative analysis of REE technology patents from 1960-2001 will be conducted. This will provide information on the evolution of the REE industry over time, analyzing in particular the effect of a growing Asian preeminence. Patent data will also yield information on company leadership in REE innovation, both in the US and abroad. Finally, a paradigm will be developed to inform decision makers on how policies impact the environment for innovation in high technology industries in this country. The methods to achieve these objectives will include interviewing company representatives, conducting computer searches of the U.S. Patent and Trademark Office database, and analyzing the qualitative information obtained from the interviews and the quantitative information obtained from the patent searches.Intellectual Merit of the Proposed Activity: This project will assess R&D outsourcing and relocation decisions to developing regions, focusing on the management of technological innovation, while considering the structure of companies, the raw materials and markets for their products, and cultures here and abroad. Furthermore, the project will shed light on the flows of rare earth elements in the U.S. and abroad, considering their sources, uses in products, and ultimate disposal. Broader Impacts Resulting from the Proposed Activity: This project will enhance our understanding of the factors that strengthen and weaken the leadership position of the U.S. in high technology industries, focusing on the trend toward more outsourcing. The results of the research will also be incorporated into coursework at Carnegie Mellon. Overall, the project will help the U.S. maintain a competitive advantage in new global markets.