 | Theory of science and technology transfer and applications / Sifeng Liu et al. - Boca Raton: CRC Press/Taylor & Francis, 2010. - XXV, 296 p.: ill., tab. - (Systems evaluation, prediction, and decision-making series). - Bibliogr.: p. 279-289. - Ind.: p. 291-296.
- ISBN 978-1-4200-8741-3
Шифр: (И/У9(5)-Т44) 02
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Preface ...................................................... xvii
Acknowledgments ............................................... xix
Abstract ...................................................... xxi
Authors ..................................................... xxiii
1 Summary of Technology Transfer ............................. 1
1.1 Definition of Technology Transfer .......................... 1
1.1.1 Basic Meaning of Technology ......................... 1
1.1.2 Establishment and Evolution in the Definition
of Technology ....................................... 2
1.1.3 Discriminate Correlative Definition of Technology
Transfer ............................................ 5
1.1.3.1 Technology Innovation ........................... 5
1.1.3.2 Technology Diffusion ............................ 6
1.1.3.3 Technology Spillover ............................ 8
1.1.3.4 Inherent Relationship of Correlated Concept .... 10
1.2 Manner and Effect Factors of Technology Transfer .......... 12
1.2.1 Basic Form of Technology Transfer—Technology Flow .. 12
1.2.1.1 Components of Technology Flow .................. 13
1.2.1.2 Features of Technology Flow .................... 13
1.2.1.3 Channels of Technology Flow .................... 14
1.2.2 Ways of Technology Transfer ........................ 14
1.2.2.1 FDI ............................................ 14
1.2.2.2 Sale of Technology ............................. 15
1.2.2.3 License Transaction ............................ 15
1.2.2.4 Coproduction and Cooperative Research .......... 15
1.2.2.5 Technology Assistance .......................... 16
1.2.2.6 Turnkey ........................................ 16
1.2.3 Influencing Factors of Technology Transfer ......... 16
1.2.3.1 Law and Policy Factors ......................... 16
1.2.3.2 Market Factors ................................. 17
1.2.3.3 Technology Basis ............................... 17
1.2.3.4 Infrastructure Status .......................... 18
1.3 Main Features of Technology Transfer ...................... 18
1.3.1 Characteristics of Contemporary International
Technology Transfer ................................ 18
1.3.1.1 Structure Upgrade of International Transfer
Technology ..................................... 18
1.3.1.2 Multipolarization of International Technology
Transfer Supply ................................ 19
1.3.1.3 Development of Technology Transfer from
Monodirection to Bidirection ................... 19
1.3.1.4 Transfer Technology, an Important Dynamic
Move to Promote Economic Development ........... 20
1.3.2 Features of Technology Transfer in China
in Different Periods ................................ 21
1.3.2.1 Period of Imitation (1949-1959) ................ 21
1.3.2.2 Fumbling Period (1959-1978) .................... 22
1.3.2.3 Stage of Internalization of Development
(1978-1992) .................................... 23
1.3.2.4 Opening-Round Stage (1992-) .................... 24
2 Technology Transfer and Its Mechanism, Characteristics,
Effects, and Models ....................................... 27
2.1 Mechanism of Technology Transfer .......................... 27
2.1.1 Local Potential Difference Determines the
Direction of Technology Transfer ................... 28
2.1.2 Determination of Feature in Technology Transfer
Elements by Margin of Interest ..................... 28
2.1.3 Technology Elements Are the Carriers of
Technology Transfer ................................ 29
2.1.4 Principle of Energy Increase in Technology
Transfer ........................................... 29
2.1.5 Technology Transfer Has a Two-Way Network Trend .... 31
2.1.6 Technology Transfer Shows a Positive Link
to Technology Level ................................ 32
2.1.7 Technology Transfer Is Influenced and
Constrained by Many Factors ........................ 32
2.2 Technology Transfer Properties ............................ 36
2.2.1 Direction in Transfer .............................. 36
2.2.2 Stages in Transfer ................................. 36
2.2.3 Difficulties in Transfer ........................... 37
2.2.4 "Space Division" in Transfer ....................... 37
2.2.5 Regional Agglomeration of Transfer ................. 38
2.3 Effects of Technology Transfer ............................ 38
2.3.1 Associated Effect .................................. 38
2.3.2 Multiplier Effect .................................. 40
2.3.3 Coupling Effect .................................... 40
2.3.4 Integration Effect ................................. 41
2.3.5 Polarization Effect ................................ 41
2.3.6 Equilibrium Effect ................................. 42
2.3.7 Spillover Effect ................................... 42
2.4 Model of Technology Transfer .............................. 43
2.4.1 Divided by the Actionable Mechanism ................ 43
2.4.1.1 Market-Guided Control Transfer ................. 43
2.4.1.2 Plan-Guided Control Transfer ................... 44
2.4.2 Divided by the Span of Transfer .................... 44
2.4.2.1 Vertical Transfer .............................. 45
2.4.2.2 Horizontal Transfer ............................ 45
2.4.3 Division by the Vector of Transfer ................. 45
2.4.3.1 Transfer of Physical Elements .................. 45
2.4.3.2 Transfer of Information ........................ 46
2.4.3.3 Transfer of Capability ......................... 46
2.4.4 Division by Absorption and Processing .............. 46
2.4.4.1 Simple Transfer ................................ 46
2.4.4.2 Absorption Transfer ............................ 46
2.4.5 Spatial Model of Technology Transfer ............... 47
2.4.5.1 Types of Spatial Transfer and Its Disciplines .. 47
2.4.5.2 Case Study: Spatial Pattern of Technology
Transfer in Zhujiang Delta Region .............. 48
3 Dynamic Mechanism and Measurement of Technology Transfer .. 49
3.1 Constituents of the Technology Transfer System ............ 49
3.1.1 Hierarchical Structure of the Technology
Transfer System .................................... 49
3.1.2 Basic Composition of the Technology Transfer
System ............................................. 51
3.1.2.1 Source of Technology Transfer .................. 51
3.1.2.2 Object of Transfer ............................. 51
3.1.2.3 Sink of Transfer ............................... 52
3.1.2.4 Information Channel ............................ 52
3.1.2.5 Auxiliary System ............................... 52
3.1.2.6 Incentive Mechanism ............................ 53
3.1.2.7 Internal Environment of Technology
Transfer ....................................... 53
3.2 Dynamic Mechanism of Technology Transfer System ........... 54
3.2.1 Analysis of the Technology Transfer Affecting
Factors ............................................ 54
3.2.1.1 Technology Potential ........................... 54
3.2.1.2 Space Distance ................................. 55
3.2.1.3 Transfer Channel ............................... 55
3.2.2 Constituents of the Dynamic Mechanism of
Technology Transfer ................................ 56
3.2.3 Force of Technology Transfer System ................ 57
3.2.3.1 Attraction of Transfer Sink for Technology ..... 57
3.2.3.2 Impetus for Technology Transfer of the Sink .... 59
3.2.3.3 Resistance of Technical Transfer Field ......... 59
3.2.3.4 Gravitation of Technical Transfer Field ........ 60
3.3 Imitation of Technical Innovation and Transfer Model
in Two Regions ............................................ 61
3.3.1 Assumptions ........................................ 62
3.3.2 Imitation Model of Technical Innovation in Two
Regions ............................................ 62
3.3.2.1 Market Clearing Conditions in Two Regions ...... 62
3.3.2.2 Relation between the Imitation Rate and
Innovation Rate ................................ 63
3.4 Measurement of Technology Transfer ........................ 65
3.4.1 Model of Technology Transfer ....................... 65
3.4.2 Empirical Study on Technology Transfer in China .... 66
3.4.2.1 Data Specification ............................. 67
3.4.2.2 Results of Calculations ........................ 73
3.4.2.3 Analysis of Results ............................ 73
4 Cost and Benefit of Technology Transfer ................... 77
4.1 Cost of Technology Transfer ............................... 77
4.1.1 Connotation of Cost ................................ 77
4.1.2 Factors That Affect the Cost of Technology
Transfer ........................................... 78
4.1.2.1 Asymmetric Information ......................... 78
4.1.2.2 Financial Benefit .............................. 79
4.1.2.3 Supply and Demand .............................. 80
4.1.3 Classification of Technology Transfer Cost ......... 80
4.1.3.1 Direction of Technology Transfer ............... 80
4.1.3.2 Factors of Technology Transfer ................. 81
4.1.3.3 Willingness in Technology Transfer ............. 81
4.1.3.4 Nature of Technology Transfer .................. 82
4.1.3.5 Participants of Technology Transfer ............ 82
4.1.4 Nature of Technology Transfer ........................... 83
4.1.4.1 Typical Irreversible Investments Partly
Belonging to Capital Cost ...................... 83
4.1.4.2 Cost Variation in Different Domains and
Aspects ........................................ 83
4.1.4.3 Technology Transfer Cost and Nonlinear
Variation of Benefit ........................... 83
4.1.4.4 Nature of Shift in Technology Transfer Cost .... 83
4.2 Benefits of Technology Transfer ........................... 84
4.2.1 Connotation of Benefit ............................. 84
4.2.2 Technology Transfer Benefit ........................ 84
4.2.3 Relation between Technology Transfer Cost
and Its Benefit .................................... 85
4.3 Measurement of Technology Transfer Cost and Benefit ....... 86
4.3.1 Measurement of Technology Talent Transfer .......... 87
4.3.1.1 Cost Evaluation Model of Technology Talents .... 88
4.3.1.2 Enterprise-Based Cost Measurement Model ........ 89
4.3.1.3 Example Study .................................. 90
4.3.2 Measurement of the Cost of Production Technology
Transfer ........................................... 92
4.3.2.1 Factors That Affect the Transfer Cost .......... 92
4.3.2.2 Transfer Cost Estimation Model for
Transferors .................................... 94
4.3.2.3 Measurement Model of the Transfer Cost for
the Transferees ................................ 95
4.3.2.4 Case Study ..................................... 96
4.3.3 Measurement of Benefit in Technology Talent
Transfer ........................................... 96
4.3.3.1 Benefit of Technology Talent Transfer .......... 96
4.3.3.2 Measurement Model of the Benefit in
Technology Talent Transfer ..................... 97
4.3.4 Measurement of Benefit in Production Technology
Transfer ........................................... 98
4.3.4.1 Benefit of Production Technology Transfer ...... 98
4.3.4.2 Measurement of Production Technology Transfer .. 99
5 Technology Transfer Analysis Based on Technical
Diffusion Field Theory ................................... 101
5.1 Technical Diffusion Field Statement ...................... 101
5.1.1 Technical Diffusion Field ......................... 101
5.1.2 Technical Diffusion Process ....................... 102
5.1.2.1 Plan and Choice ............................... 102
5.1.2.2 Digestion and Absorption ...................... 103
5.1.2.3 Diffusion ..................................... 105
5.1.3 Technical Diffusion Mechanism ..................... 106
5.1.3.1 Form and Implementation of Technical
Diffusion Mechanism ........................... 106
5.1.3.2 Choice of Technical Diffusion Mechanism ....... 106
5.2 Analysis of the Influence Factors of Technology
Transfer in the Technical Diffusion Field ................ 107
5.2.1 Social Environment Factors ........................ 107
5.2.1.1 National Policy ............................... 107
5.2.1.2 Nature of the Guide-into Region ............... 108
5.2.1.3 Legal Environment ............................. 109
5.2.1.4 Institutional Environment ..................... 109
5.2.1.5 Location Environment and Local Industrial
Structure ..................................... 109
5.2.1.6 Industrial Environment and Structure .......... 109
5.2.1.7 Financial Environment ......................... 110
5.2.1.8 Information Exchange System ................... 110
5.2.2 Resource Environment of Technical Diffusion
Field ............................................. 111
5.2.2.1 Personnel Quality ............................. 112
5.2.2.2 Raw Materials ................................. 113
5.2.2.3 Energy ........................................ 113
5.2.2.4 Funds ......................................... 113
5.2.2.5 Transportation and Communications ............. 113
5.2.3 Technology Transfer Rate in the Technical
Diffusion Field ................................... 114
5.2.3.1 Technical Relevance ........................... 114
5.2.3.2 Applicability of Technology ................... 114
5.2.3.3 Technology Gap ................................ 115
5.2.3.4 Investment per Unit Product ................... 115
5.2.3.5 Investment Recovery Period .................... 115
5.2.3.6 Investment Risk ............................... 116
5.2.4 Power of Technical Diffusion ...................... 116
5.2.4.1 Foreign Scholars' Opinions on the Power of
Technical Diffusion ........................... 116
5.2.4.2 Domestic Scholars' Opinions of the Power of
Technical Diffusion ........................... 118
5.3 Technical Diffusion Analysis of the Technical
Diffusion Field .......................................... 118
5.3.1 Building of the Technical Diffusion Field ......... 119
5.3.2 Law of Technical Diffusion in the Technical
Diffusion Field ................................... 119
6 Quantitative Study of the Technology Diffusion Field
and Technology Dynamics .................................. 121
6.1 Quantitative Model of the Environment of
the Technology Diffusion Field ........................... 121
6.1.1 Environment of the Technology Diffusion Field ..... 121
6.1.2 Quantitative Model of the Environment
of the Technology Diffusion Field ................. 122
6.1.3 Weight Calculation ................................ 123
6.1.3.1 1-6 Scale Method .............................. 123
6.1.3.2 Pairwise Comparison Matrix .................... 124
6.1.4 Fuzzy Evaluation Model of the Technology
Diffusion Field ................................... 124
6.2 Quantization of the Social Environment of the
Technology Diffusion Field ............................... 126
6.2.1 Quantitative Analysis of the Social Environment
of the Technology Diffusion Field ................. 126
6.2.2 Establishment of Axis x of the Technology
Diffusion Field ................................... 126
6.2.3 Simulation of Quantitative Calculation of the
Social Environment of Technology Diffusion ........ 128
6.3 Quantization of the Resource Environment of the
Technology Diffusion Field ............................... 133
6.3.1 Quantitative Analysis of the Resource Environment
of the Technology Diffusion Field ................. 133
6.3.2 Establishment of Axis у of the Technology
Diffusion Field ................................... 135
6.3.3 Simulation Calculation of the Resource
Environment Quantization of the Technology
Diffusion Field ................................... 135
6.4 Technology Transfer Rate of the Technology Diffusion
Field .................................................... 138
6.4.1 Technology Transfer Rate .......................... 138
6.4.2 Quantitative Analysis of the Technology Transfer
Rate of the Technology Diffusion Field ............ 140
6.4.3 Establishment of Axis z of the Technology
Diffusion Field ................................... 141
6.4.4 Simulation of the Quantization of the Technology
Transfer Rate ..................................... 141
6.5 Quantitative Analysis of the Diffusion Dynamic of the
Technology Diffusion Field ............................... 143
6.5.1 Diffusion Dynamic of the Technology Diffusion
Source and Technology Absorber .................... 143
6.5.2 Quantization of the Dynamic of Technology
Diffusion Field ................................... 146
6.5.3 Simulation of the Diffusion Dynamic of
Technology Diffusion Field ........................ 148
7 Technology Transfer Optimization and Disposition ......... 149
7.1 Linear Programming Model of Technology Transfer
of Unipolar City Based on the Perfect Mechanism .......... 149
7.1.1 Several Important Concepts ........................ 150
7.1.1.1 Technology Transfer and Technology Elements
Transfer ...................................... 150
7.1.1.2 Perfect Mechanism of Technology Elements
Transfer ...................................... 151
7.1.1.3 Competitive and Noncompetitive Technology
Elements ...................................... 151
7.1.1.4 Technology Transfer in a Unipolar City ........ 152
7.1.2 Linear Programming Model of Technology Transfer
of a Unipolar City Based on the Perfect
Mechanism ......................................... 152
7.1.2.1 Objective Analysis ............................ 152
7.1.2.2 Identification of Constraints ................. 153
7.1.3 Study of the Properties of the Linear
Programming Model of Technology Transfer of
a Unipolar City Based on Perfect Mechanism ........ 155
7.1.4 Case Study ........................................ 159
7.1.4.1 Linear Programming Model for Noncompetitive
Resource ...................................... 159
7.1.4.2 Linear Programming Model for Competitive
Resource ...................................... 161
7.2 Linear Programming Model of Technology Transfer
of Unipolar City Based on the Perfect Mechanism .......... 161
7.2.1 Linear Programming Model of Technology Transfer
of Multipolar City Based on the Perfect
Mechanism ......................................... 161
7.2.1.1 Objective Analysis ............................ 161
7.2.1.2 Constraint Conditions ......................... 163
7.2.2 Study of the Properties of the Model of
Multiobjective Programming of Technology
Transfer Based on the Perfect Mechanism ........... 164
7.2.3 Case Study ........................................ 168
7.2.3.1 Interpretation of Data ........................ 168
7.2.3.2 Calculation Results ........................... 168
7.2.3.3 Analysis of the Results ....................... 170
7.3 Measurement Model of Government Matching Funds Based
on Maximum Social Benefits ............................... 171
7.3.1 Government Investment and Planning Model
in Technology Introduction ........................ 171
7.3.1.1 Regional Production Function Model ............ 171
7.3.1.2 Target Analysis ............................... 172
7.3.1.3 Constraint Conditions Recognition ............. 173
7.3.1.4 Optimization Model of the Government
Investment in Technology Introduction ......... 174
7.3.2 Study of the Properties of the Optimization
Model of Government Investment in Technology
Introduction ...................................... 175
7.3.3 Break-Even Analysis of the Government Investment
Model in Technology Introduction .................. 178
7.3.3.1 Production Function ........................... 179
7.3.3.2 Break-Even Analysis with Consideration
of Production Function ........................ 180
7.3.4 Case Study ........................................ 183
7.3.4.1 Government Investment and Planning Model in
Technology Introduction ....................... 183
7.3.4.2 Result Analysis ............................... 185
8 Game Strategy Analysis on Technology Transfer and
Technology Innovation .................................... 187
8.1 Game Model and Strategy Analysis of Technology
Innovation ............................................... 187
8.1.1 Static Game Analysis with Complete Information
on Duopoly Enterprise's Technology Innovation ..... 188
8.1.1.1 Construction of the Game Model ................ 188
8.1.1.2 Solution and Analysis of Game Model ........... 189
8.1.1.3 Numerical Analysis ............................ 195
8.1.2 Dynamic Game Analysis of Complete Information
Theory of Technology Innovation ................... 197
8.1.2.1 Game Model of Enterprises 1 and 2 with Equal
Technical Content after Innovation ............ 197
8.1.2.2 Game Model of Enterprises 1 and 2 with
Different Technical Content after Innovation .. 202
8.2 Game Model of Technology Transfer and Stable Strategy .... 207
8.2.1 Game Model and Stable Strategy of Technical
Innovation of Fixed Payment Model ................. 207
8.2.1.1 Construction of Game Model .................... 207
8.2.1.2 Solution and Analysis of Game Model ........... 207
8.2.1.3 Best Technical Content Analysis of
Enterprise Production After Independent
Technology Innovation ......................... 210
8.2.1.4 Numerical Analysis ............................ 211
8.2.2 Game Model and Stable Strategy of Technology
Innovation while Paying according to a Certain
Percentage of Total Profit ........................ 213
8.2.2.1 Modeling and Analysis ......................... 213
8.2.2.2 Numerical Analysis ............................ 216
8.3 Game Model of Technical Diffusion and Its Stable
Strategy Analysis ........................................ 217
8.3.1 Single Monopoly of Innovator ...................... 218
8.3.2 Another Company Entering the Market ............... 219
8.3.3 N Enterprises Entering the Market ................. 224
8.3.4 Numerical Analysis ................................ 225
8.3.4.1 Comparison of Profits in Different Stages
of Enterprise 1 ............................... 225
8.3.4.2 Analysis on Gross Profit ...................... 227
8.4 Game Model of Technical Spillover and Its Stable
Strategy Analysis ........................................ 228
8.4.1 Construction and Analysis of the Model ............ 228
8.4.2 Numerical Analysis ................................ 230
8.5 Evolutionary Game Model of Technical Innovation
and Its Strategy Analysis ................................ 232
8.5.1 Construction of the Model ......................... 233
8.5.2 Case Study ........................................ 235
8.5.3 Results Analysis .................................. 236
9 Comprehensive Measurement of Technology Transfer
and the Analysis of Its Impact on Economic Growth ........ 237
9.1 Comprehensive Measure of Technology Transfer ............. 238
9.1.1 International Technology Transfer Measurement ..... 238
9.1.2 Technology Transfer Indicators of Measurement
in China .......................................... 240
9.1.3 Indicators Analysis of Measurement in Technology
Transfer .......................................... 240
9.1.3.1 FDI Technology Spillover ...................... 240
9.1.3.2 Introduction of Foreign Technology (JSYJ) ..... 241
9.1.3.3 High-Tech Product Imports (GJSJK) ............. 243
9.1.3.4 Foreign Economic Cooperation (DWJJHZ) ......... 244
9.1.3.5 High-Tech Exports (GJSCK) ..................... 246
9.1.3.6 Technology Market Turnover .................... 247
9.1.3.7 Soft Technology Spillover in the Knowledge-
based Service Sector (Z) ...................... 249
9.1.4 Chinese Technology Transfer Degrees ............... 254
9.2 Empirical Analyses in Technology Transfer and Economic
Growth in China .......................................... 256
9.2.1 Technology Transfer and Economic Growth Theory .... 256
9.2.2 Demonstration Test ................................ 259
9.3 Technology Spillover Effects of FDI and Its
Relationship with the Growth of Chinese Economy .......... 262
9.3.1 Characteristics of FDI Introduced by China ........ 262
9.3.2 Analysis of the Technology Spillover Effects in
FDI ............................................... 263
9.3.3 Empirical Test of FDI Technology Spillover
Effects ........................................... 266
9.3.4 FDI and Its Technology Spillover Effects and
China's Economic Growth ........................... 274
References ............................................... 279
Index ......................................................... 291
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