China's Path to Innovation PDF
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’ China s Path to Innovation Overthepastthreedecades,Chinahasexperiencedrapideconomicgrowth and a fascinating transformation of its industry. However, much of this success is the result of industrial imitationand China’s continuing success now relies heavily on its ability to strengthen its indigenous innovation capability.Inthisbook,XiaolanFuinvestigateshowChinacandevelopa strategy of compressed development to emerge as a leading innovative nation. The book draws on quantitative and qualitative research that includes cross-country, cross-province and cross-firm analysis. Large multi-level panel datasets, unique survey databases, and in-depth industry casestudiesareexplored.Differenttheoreticalapproachesarealsousedto examinethemotivations,obstaclesandconsequencesofChina’sinnovation withawiderdiscussionaroundwhatothercountriescanlearnfromChina’s experience.Thisbookwillappealtoscholarsandpolicy-makersworkingin fieldssuchasinnovationpolicy,technologymanagement,developmentand internationaleconomicsandChinastudies. xiaolan fu isProfessorofTechnologyandInternationalDevelopment and Founding Director of the Technology and Management Centre for DevelopmentattheUniversityofOxford.Herresearchinterestsinclude innovation,technologyandindustrialisation;trade,foreigndirectinvest- ment and economic development; emerging Asian economies; and inno- vation and productivity in the UK and US. She also has first-hand experienceworkinginthebusinessandacademicsectorsinChinabefore comingtotheUK. ‘ProfessorFuhasintegratedavarietyofscholarlyarticlesfromthefirmlevelto theindustryleveltothenationalpolicylevel,toproducethefirstcomprehensive treatmentofChineseinnovationactivitiesfromanopeninnovationperspective. Her masterful book points the way towards ‘open innovation with Chinese characteristics’.’ Henry Chesbrough, Professor at UC Berkeley’s Haas School of Business and authorofOpenInnovation ‘ThatChinaistheworkshopoftheworldisnowa‘given’.ProfessorFuhasinvested yearsinthesearchforcluestohowthegoodsintheChinaworkshophavemoved from being ‘assembled in China’ through ‘invented in China’ to ‘invented and commercialisedinacomplexopenengagementwiththeworld’scapitalandskilled labour’.Thisbookistheauthoritativeresultandisessentialreading.’ Barbara Harriss-White, Emeritus Professor of Development Studies, Oxford University and co-editor of China-India: Pathways of Economic and Social Development ‘ThisfascinatingbookbyaleadingChinesescholarishugelyinformativeofthe challengesChinafacesinitsquesttobecomeamajorglobalinnovativeeconomy.It populates a knowledge gap, challenges our conventional wisdom and provides importantinsightsforcorporateandgovernmentpolicymakersalike.’ RaphaelKaplinsky,ProfessorofInternationalDevelopment,TheOpenUniversity ‘China achieved an average annual growth rate of 9.8% for 35 years, made possibleonlybycontinuoustechnologicalinnovations,afterthetransitionfroma planning economy to a market economy in 1979. Such a long period of extra- ordinarygrowthwasunprecedentedinhumanhistory.Thisbookcarefullystudies China’sopennationalinnovationsystematnational,regionalandfirmlevels.It deciphershowChinawasabletoachievesucharemarkablesuccessinthepast, examineshowChinamaysustaindynamicgrowthinthefutureandsuggestswhat othercountriescanlearnfromChina’ssuccess.Thebookisamust-readforanyone whowantstounderstandChineseeconomicdevelopment.’ JustinYifuLin,Professor,PekingUniversityandFormerChiefEconomist,The WorldBank ‘Finally,wehaveananalyticalvolumethatcombineseconomictheory,interna- tional experience, and China’s socio-economic conditions to formulate a most crediblestrategytogreatlystrengthenChina’scapacitytoinnovate.XiaolanFu’s ‘Open National Innovation System’ approach deserves careful study by other developingcountriesbecauseitisalsoapplicabletothem.’ WingWoo,Professor,UniversityofCaliforniaatDavisandPresident,Jeffrey CheahInstituteonSoutheastAsia,Malaysia ’ China s Path to Innovation xiaolan fu UniversityofOxford UniversityPrintingHouse,CambridgeCB28BS,UnitedKingdom CambridgeUniversityPressispartoftheUniversityofCambridge. ItfurtherstheUniversity’smissionbydisseminatingknowledgeinthepursuitof education,learningandresearchatthehighestinternationallevelsofexcellence. www.cambridge.org Informationonthistitle:www.cambridge.org/9781107046993 ©XiaolanFu2015 Thispublicationisincopyright.Subjecttostatutoryexception andtotheprovisionsofrelevantcollectivelicensingagreements, noreproductionofanypartmaytakeplacewithoutthewritten permissionofCambridgeUniversityPress. Firstpublished2015 PrintedintheUnitedKingdombyClays,StIvesplc AcataloguerecordforthispublicationisavailablefromtheBritishLibrary. LibraryofCongressCataloguinginPublicationdata Fu,Xiaolan,1967– China’spathtoinnovation/XiaolanFu. pages cm ISBN978-1-107-04699-3(hardback) 1. Economicdevelopment–China. 2. Industrialpolicy–China. 3. Informationtechnology–Management–China. I. Title. HC427.95.F798 2015 3380.0640951–dc23 2014048687 ISBN978-1-107-04699-3Hardback CambridgeUniversityPresshasnoresponsibilityforthepersistenceoraccuracyof URLsforexternalorthird-partyinternetwebsitesreferredtointhispublication, anddoesnotguaranteethatanycontentonsuchwebsitesis,orwillremain, accurateorappropriate. Contents Listoffigures pagevii Listoftables x Preface xiii Listofabbrevations xvii Introduction 1 1 Introduction 3 2 InnovationinChinasincethereforms:Anoverview 15 PartI Internationalknowledgetransferandtechnological takeoff 45 3 Foreigndirectinvestment,absorptivecapacityandregional innovativecapabilities:EvidencefromChina 47 4 Processingtrade,FDIandinternationalcompetitivenessof theChinesehigh-technologyindustries 74 5 Indigenousandforeigninnovationeffortsand technologicalupgradinginChina 108 PartII Developmentofindigenousinnovationcapacity andcatch-up 139 6 Theroleofstatepolicyinshapinginnovationpractices:The caseofopeninnovationinChina 141 7 Openinnovationasaresponsetoconstraintsandrisks 170 8 Thedualroleofuniversitiesinindustrialinnovation: comparingChinaandtheUK 201 v vi Contents 9 Technologicallearning,tacitknowledgeacquisitionand industrialupgrading:TheChineseopticalfibreandcable industry 236 10 Leapfroggingingreentechnology:Thesolar-PVindustry inChinaandIndia 256 PartIII Towardsaglobalinnovationleader 277 11 Internationalisation,reverselearningandcapabilities upgrading:ThecaseofHuaweiandZTE 279 12 Internationalcollaborationandradicalinnovation 314 13 Innovationefficiencyandthecross-countrygapin innovation 325 14 Capabilities,incentives,institutionsandnational innovationperformance 358 Conclusions 379 15 Conclusions:OpennationalinnovationsystemandChina’s pathtoinnovation 381 References 396 Index 430 Figures 2.1 China’sR&Dexpenditure,1995–2012 page17 2.2 R&DexpenditureinChinaandothereconomies, 1995–2012 18 2.3 CompositionofR&Dbytypesofactivities:basic research,appliedresearchandexperimental development 19 2.4 R&Dcompositionbyfundingsources,2003–2011 20 2.5a TotalnumberofR&Dpersonnel 21 2.5b R&Dpersonnelbyexecutiveentity,2009 21 2.6 ComparisonofR&Dpersonnelperthousandemployees inChinaandOECDeconomies,2000–2011 22 2.7a Expenditureforacquisitionofforeigntechnologyin China,2000–2012 23 2.7b ForeigntechnologyimportsinChina,percentages,2012 24 2.8 Numberofpatentapplicationsvsnumberofgranted patents,1995–2012 25 2.9 TriadicpatentfamiliesacrossBRICS,1999–2011 26 2.10 NumberoftriadicpatentfamiliesinChinaandother OECDeconomies,1999–2011 27 2.11 OutputofR&D:indexarticlespublishedininternational journals 28 2.12 Citationsofscientificpaperspublished,2000–2010 28 2.13 Innovationperformance:internationalcomparison, 2012 29 2.14 R&Dexpendituresandintensityofenterprisesinthe above-scalemanufacturingindustries,2012 30 2.15 NumberofR&Dpersonnelacrosssectors,2009 31 2.16 Innovationoutputacrossindustries:numberofpatent applications,2010 32 2.17 Innovationoutputsacrossindustries:newproductsales andnewproductexportvalues,2012 33 vii viii Listoffigures 2.18 Exportandimportvolumeofhigh-techproducts, 1995–2012 34 2.19 Innovationoutputsbyownershipoffirms:newproduct salesandnewproductexportvalues,2012 35 2.20 R&Dexpendituresacrossdifferentownershipstructures inindustrialenterprisesabovedesignatedsize, 2006–2012 36 2.21 R&Dexpendituresacrossdifferentownershipstructures inindustrialenterprisesabovedesignatedsize,2006and 2012 36 2.22 R&Dpersonnelacrossdifferentownershipstructuresin industrialenterprisesabovedesignatedsize,2006–2012 37 2.23 Patentapplicationsacrossdifferentownershipstructures inindustrialenterprisesabovedesignatedsize, 2009–2012 38 2.24 Newproductsalesandnewproductexportsacross differentownershipstructuresinindustrialenterprises abovedesignatedsize,2009–2012 39 2.25 R&DexpendituresandR&D/GDPratiosacrossChina, 2012 40 2.26 R&DexpendituresacrossChina,2000and2012 40 2.27 RatioofR&DexpendituresinGDPacrossChina,2000 and2012 41 2.28 MeanpatentapplicationnumbersacrossChina,2000 and2012 42 2.29 R&DfundingsourcesacrossChina,2009 42 3.1 TradeandFDIinChina,1985–2004 53 3.2 RegionaldistributionofFDIstockinChina,2005 53 3.3 Regionaldistributionofnumberofinvention applications,2004 56 3.4 Regionaldistributionofsalesofnewproducts,2004 56 3.5 RegionaldistributionofindustrialR&D,2004 58 3.6 Innovationactivities:foreignandindigenousenterprises inChina,2004 60 3.7 Regionalinnovationefficiency,China 67 4.1 ShareofprocessingexportsinChina’stotal high-technologyexports 81 4.2 Percentageofprocessingexportsintotalexports, electronicindustryofChina,2006 92
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