A Research on Transformation Mechanism of Scientific and Technological Achievements and the Countermeasures: In Case of Zhejiang Province in China

Transcription

1 A Research on Transformation Mechanism of Scientific and Technological Achievements and the Countermeasures: In Case of Zhejiang Province in China Jing Hu, Yueyi Zhang China Jiliang University, College of Economics and Management, Hangzhou, P.R.China Abstract--During the Eleventh Five-year Plan, Zhejiang Province had taken the lead in economic and social development in China. Especially, scientific and technological development is ranking top among all provinces and municipalities directly under the Central Government in China. A great number of research fields are domestically or even globally leading. Scientific and technological achievements transformation plays a crucial role in the regional economic development. However, the proportion of scientific and technological development transformed into practical productive forces is quite low. The rate of scientific and technological contribution on economics is far lower than that in developed countries and areas. Therefore, it is a topic worthy of investigation how to promote the transformation of scientific and technological achievements of social and economic values into economic benefits in a timely and all-round manner so as to serve the society and finally boost the scientific development of China's economics. The current situation of scientific and technological development transformation of Zhejiang is described comprehensively in this paper from four aspects, which respectively are personnel investment, capital investment, existing results and social benefits of the scientific and technological achievements; a DEA model is established to make overall evaluation on the transformation situation of the scientific and technological development in Zhejiang Province. The comparison with several provinces and municipalities directly under the Central Government with advanced scientific and technological development reveals the shortages in the scientific and technological achievements transformation process. Finally the related countermeasures are proposed to boost the scientific and technological achievements transformation of Zhejiang Province in terms of development of scientific and technological finance, consummation of evaluation mechanism on scientific and technological achievements, improvement on transformation platform construction of scientific and technological achievements. I. BACKGROUND OF TOPIC AND RESEARCH SIGNIFICANCE A. Significance and Value of Topic Since the Reform and Opening up of China, Zhejiang Province has made remarkable progress in scientific and technological undertakings as well as continuous scientific and technological achievements. During the Eleventh Five-year Plan, a total of 451,149 cases of patent application were made in Zhejiang, including 63, 601 patents for invention, 150, 957 utility model patents and 226,551 design patents. The average number of applications for patent per 10,000 persons is and the average number of patents held by per 10,000 persons is 13.69, which are respectively higher than corresponding statistics in Jiangsu, Guangdong, Fujian, etc. The total number of granted patents is 320, 579, of which the number of patents for invention is 18, 135 and the number of patents of utility model is 119, 523 and the number of design patents is 182, 921; and the average number of patents granted for every output value of RMB 10 million is All such figures are higher than those in provinces and municipalities directly under the Central Government such as Jiangsu, Guangdong and Fujian. Zhejiang is now ranking third for both the patents applied and patent granted. However, the number of scientific and technological achievements (patents) is not the only decisive factor for the scale of market share and profits of enterprises. According to related statistical data by the Ministry of Science and Technology, presently a total of over 30,000 scientific and technological achievements are being obtained in China; however, only a proportion of 6% to 8% is transformed into practical production forces. The rate of scientific and technological contribution on economics is far lower than that in developed countries. The quality of patents held by the enterprises and the extent of commercialization thereof is directly decisive for the profit shares of the enterprises in the markets. Only by transforming the patent technologies into mature commercial products can the enterprises master the absolute right of speech of the markets in a true sense. Patents without commercial values are nothing but legal senses. B. Definition of Related Concepts 1. Definition of Scientific and Technological Achievements The vocabulary of scientific and technological achievement has been a conventional expression in scientific and technological management in China. However, in most of the western countries, the general designation of achievement is not used; the specific names are used instead. Presently, the relatively consistent understanding on the definition of scientific and technological achievement in China is: A scientific and technological achievement refers to the creative work outcome with certain academic significance or practical value obtained from a certain scientific research topic by investigation, survey, experiment and dialectical analysis and verified technologically or recognized by the social practices. Scientific and technological achievement is the collective name for achievements of scientific and technological activities, which involves not only achievements in basic researches and soft science researches but also new products, new technologies, new materials, new design, new biological or mineral varieties, etc. 2423

2 2. Conception of Scientific and Technological Achievement Transformation Generally, the scientific and technological achievements transformation may be interpreted to both a narrow sense and a broad sense. To a broad sense, it refers to the transformation process from the generation of scientific and technological achievements of various types to the transformation of practical production forces, which involves not only the natural scientific achievements transformation but also the transformation of social scientific achievements and interdisciplinary achievements of science sciences and social sciences, including all transformation activities from basic research to application research, then to development research and finally to social production. To a narrow sense, the scientific and technological achievements transformation refers to the core links and main contents of the scientific and technological achievements transformation to a broad sense, and it only means that the scientific and technological achievements transformed into productive forces directly. Generally it refers to the new products, new materials and even new industries generated from the application-based research achievements by technological development or product development. In other words, it refers to the process to transform the scientific and technological achievements (or patented technologies) into products and for commercialization, scale orientation and internationalization, and finally the science and technology-based industries. In this research, the scientific and technological achievements transformation in Zhejiang is analyzed to a narrow sense. II. SCIENTIFIC AND TECHNOLOGICAL INPUTS AND OUTPUTS IN ZHEJIANG PROVINCE DURING THE ELEVENTH FIVE-YEAR PLAN Zhejiang Province is 223,500 persons, a year-on-year growth of 20.76%. During the Eleventh Five-year Plan, the average annual growth of full-time equivalent of R&D personnel in Zhejiang Province was 22.77%, which is far greater than that in China (13.15%). The growth rate ranked second in China, following Guandong and followed by Beijing, Shanghai, Jiangsu and Shandong. See Table 1 for details. 2. Internal Expenditure of R&D Expenses In 2010, there are six provinces and municipalities directly under the Central Government in China with an internal expenditure of R&D expenses of over 30 billion, which respectively were Jiangsu, Beijing, Guangdong, Shandong, Zhejiang and Shanghai. Such regions represent a total amount of RMB billion, occupying a proportion of 58.6% of the total expenses in China. In 2010, the internal expenditure of R&D expenses in Zhejiang was RMB billion, ranking fifth in China. See Table 2 for details. B. Scientific and Technological Achievements Output 1. Patent Patent index is an important part in scientific and technological indexes, which may reflect the invention activities of a country or an enterprise as well as the amount of outputs and intellectual property rights, technological development levels and the positions in the international technological and economic competitions in macroscopic and microcosmic view. This research makes The analysis of the accepted number of patent application, authorized number of patent application as well as the authorized number of three types of patents will be made in this research respectively. A. Scientific and Technological Input 1. Full-time Equivalent of R&D Personnel In 2010, the full-time equivalent of R&D personnel in TABLE 1: FULL-TIME EQUIVALENT OF R&D PERSONNEL IN CHINA AND PARTIAL PROVINCES AND MUNICIPALITIES DIRECTLY UNDER THE CENTRAL GOVERNMENT Unit: (Persons/year) Region Nationwide Beijing Shanghai Jiangsu Zhejiang Shandong Guangdong TABLE 2: INTERNAL EXPENDITURE OF R&D EXPENSES IN CHINA AND PARTIAL PROVINCES AND MUNICIPALITIES DIRECTLY UNDER THE CENTRAL GOVERNMENT (Unit: RMB 100 million) Region Nationwide Beijing Shanghai Jiangsu Zhejiang Shandong Guangdong

3 TABLE 3: ACCEPTED NUMBER OF PATENT APPLICATION IN CHINA AND PARTIAL PROVINCES AND MUNICIPALITIES DIRECTLY UNDER THE CENTRAL GOVERNMENT Accepted Number of Patent Application Beijing Shanghai Jiangsu Zhejiang Shandong Guangdong a. Accepted Number of Patent Application In 2010, the total accepted number of the patent application in Zhejiang was 120,742, a year-in-year growth of 11.3%. The average annual growth rate during the Eleventh Five-year Plan was 22.81%. Among the six provinces and municipalities directly under the Central Government abovementioned, the growth rate is higher than that of Beijing, Shanghai and Guangdong and lower than that of Jiangsu and Shandong. See Table 3 for details. b. Authorized Number of Patent Application In 2010, the total authorized number of the patent application in Zhejiang was 114,643, a year-in-year growth of 43.4%. The average annual growth rate during the Eleventh Five-year Plan was 43.17%. Among the six provinces and municipalities directly under the Central Government abovementioned, the growth rate is higher than that of Beijing, Shanghai, Shandong and Guangdong and only lower than that of Jiangsu. See Table4 and Figure 2 for details. c. Authorized Number of Three Types of Patents in 2010 In 2010, among the 114,643 patents granted in Zhejiang, the number of patents for invention was 6,410, accounting for 5.59%; the number of patents of utility model was 47,617, accounting for 41.54%; the number of industrial design patents was 60,616, accounting for 52.87%. Obviously, the proportion of patents for invention was relatively lower, which was only slightly higher than that of Jiangsu and lower than that of Beijing, Shanghai, Shandong and Guangdong. See Table 5, Fig. 1 for details. TABLE 4: AUTHORIZED NUMBER OF PATENT APPLICATION IN CHINA AND PARTIAL PROVINCES AND MUNICIPALITIES DIRECTLY UNDER THE CENTRAL GOVERNMENT Authorized number of patent Beijing Shanghai Jiangsu Zhejiang Shandong Guangdong TABLE 5: AUTHORIZED NUMBER OF THREE TYPES OF PATENTS IN CHINA AND PARTIAL PROVINCES AND MUNICIPALITIES DIRECTLY UNDER THE CENTRAL GOVERNMENT Authorized Number of Three Types of Patents in 2010 Patent for Invention Patent of Utility Model Industrial Design Patent Total Authorized Number of Patents Beijing Shanghai Jiangsu Zhejiang Shandong Guangdong Fig. 1: Authorized distribution of three types of patents in Zhejiang in

4 2. Scientific and Technological Papers As an important representation of scientific and technological activities outputs, scientific and technological papers may indirectly reflect the conditions of a country on the aspects of basic research, and application research, etc. and to some extent, reflect the scientific and technological level and the international competition level of a country. The analysis on the domestic papers, SCI papers and international co-authored papers in China in 2010 is made in this paper. In 2010, the top ten regions on the number of papers in China were Beijing, Jiangsu, Guangdong, Shanghai, Zhejiang, Shanxi, Shandong, Hubei, Sichuan and Hunan, occupying a total proportion of 63.1% of the number of papers in China. As for the growth rate, except Shandong, Hubei, Sichuan and Hunan that represented a decrease in the number of papers on year-on-year basis, growth to different extents is witness in other top ten regions, of which Beijing and Guangdong represented a relatively greater growth rate of over 20%. See Table 6 for details. C. Transaction of Scientific and Technological Achievements In 2010, the total number of transaction contracts in the technological markets in Zhejiang was 12,826, representing a downward trend in amount of transactions. The business amount was RMB billion. The average annual growth rate during the Eleventh Five-year Plan was 9.3%, which was lower than the national average level. See Table 7 and Table 8 for details. TABLE 6: TOP 10 REGIONS ON NUMBER OF PAPERS IN CHINA IN 2010 Region Number of Papers Ranking Trend Year-on-year Growth Rate (%) Beijing = Jiangsu = Guangdong = Shanghai = 2.82 Zhejiang Shanxi = 2.67 Shandong Hubei = Sichuan = Hunan Note: 1 refers to one rank upwards on year-on-year basis; and = refers to the same statistics on year-on-year basis. TABLE 7: STATISTICS ON NUMBER OF TRANSACTION CONTRACTS IN TECHNOLOGICAL MARKETS OF DIFFERENT REGIONS Region Nationwide Eastern region Central region Western region Beijing Shanghai Jiangsu Zhejiang Shandong Guangdong TABLE 8: STATISTICS ON TRANSACTION CONTRACT AMOUNT IN TECHNOLOGICAL MARKETS OF DIFFERENT REGIONS Region Nationwide Eastern Region Central Region Western Region Beijing Shanghai Jiangsu Zhejiang Shandong Guangdong

5 III. TRANSFORMATIONS OF SCIENTIFIC AND TECHNOLOGICAL ACHIEVEMENTS IN ZHEJIANG PROVINCE DURING THE ELEVENTH FIVE-YEAR PLAN Due to the complexity of the transformation process from scientific and technological achievements into industrialization, presently, there is still no uniform, authoritative and recognized evaluation system at home and abroad. In this paper, the transformation efficiency of scientific and technological achievements is mainly applied to evaluate the innovation efficiency of scientific and technological achievements in Zhejiang. A. Analysis on Fluctuations of Innovation of Scientific and Technological Achievements in provinces and municipalities directly under the Central Government in China 1. Index System and Data Source Numbers of scientific and technological projects and patents held by large- and medium-sized industrial enterprises in provincial-level regions in China are selected as input indicator; and output values and sales revenue of new products are selected as output indicator. The main reason is that, from the aspect of large- and medium-sized industrial enterprises, scientific and technological achievements transformation mainly refers to how to apply the scientific and technological achievements and patents to production fields and turn the technologies into production forces for commercialization. The index data is sourced from China Statistical Yearbook on Science and Technology from 2002 to With consideration to the hysteresis of scientific and technological achievements transformation, data for 2009 is taken for output values and sales revenue of new products and data for 2008 is taken for the numbers of scientific and technological projects and patents. 2. DEA Model Evaluation and Analysis With partial data for Tibet unavailable, 30 provinces and municipalities directly under the Central Government except Tibet are selected as decision-making units. Out-oriented VRS approach and DEAP software are applied to analyze the overall efficiency, pure efficiency and scale efficiency of scientific and technological achievements transformation of large- and medium-sized industrial enterprises for each unit. See Table 9 for details. TABLE 9: TRANSFORMATION EFFICIENCY TABLE OF SCIENTIFIC AND TECHNOLOGICAL ACHIEVEMENTS OF LARGE- AND MEDIUM-SIZED INDUSTRIAL ENTERPRISES IN PROVINCES AND MUNICIPALITIES DIRECTLY UNDER THE CENTRAL GOVERNMENT IN CHINA Region Overall Pure Technical Scale Scale-based Returns Beijing irs Tianjin irs Hebei irs Shanxi irs Inner Mongolia irs Liaoning irs Jilin Heilongjiang irs Shanghai drs Jiangsu drs Zhejiang drs Anhui irs Fujian irs Jiangxi irs Shandong drs Henan irs Hubei irs Hunan irs Guangdong drs Guangxi irs Hainan irs Chongqing irs Sichuan irs Guizhou irs Yunnan irs Shaanxi irs Gansu irs Qinghai irs Ningxia irs Xinjiang irs Mean Value

6 According to Table 9, we can see: 1) from the aspect of overall efficiency, the transformation efficiency of scientific and technological achievements in large- and medium-sized industrial enterprises in China is low, with an average efficiency of only 24%. The overall efficiencies of different provinces and municipalities directly under the Central Government are distributed in a scattered manner, of which the most effective region is Jilin that is leading in transformation efficiency of scientific and technological achievements in China, being followed by Shanghai and Zhejiang; 2) from the aspect of pure technical efficiency, there are 6 effective decision-making units, which respectively are Jilin, Shanghai, Jiangsu, Shandong, Guangdong and Hainan; while the pure technical efficiency of Zhejiang is only 84%; 3) from the aspect of scale efficiency, the average efficiency is 70.5%. Five provinces and municipalities directly under the Central Government represent diminishing efficiencies, including Zhejiang Province. To sum up, based on evaluation and analysis on efficiency of scientific and technological innovations and transformation efficiency of scientific and technological achievements, it is found that the overall innovation efficiency of scientific and technological achievements of Zhejiang is poor and is obviously lower than that in developed provinces and municipalities directly under the Central Government, showing disadvantages such as irrational resource allocation, inconsistent operation links and poor management orders in the scientific and technological achievements input. Therefore, importance must be attached thereof. B. Transformation of Scientific and Technological Achievements in Prefecture-level Cities in Zhejiang In this part, the transformation efficiency of scientific and technological achievements into industrial development and market performance is measured with the same approach as mentioned above (DEA approach). The mean Malmquist index and factorization index of the scientific and technological output efficiency of Zhejiang in recent four years are shown in Table 20 and Table 21. The average efficiency mentioned herein is calculated by the same method with that of the average efficiency for recent years, which is, the geometric mean. It can be seen that the average transformation efficiency of scientific and technological achievements has been in a regressive state for the recent four years in Zhejiang. The transformation efficiency of scientific and technological achievements was averagely lowered by 12.9%, 9.9% and 32.8% respectively in , and ; the declination was most dramatic in The characteristic of technological efficiency variation is diametrically opposed to that of technological variation. After the technological efficiency declined in and , it improved significantly in However, from the aspect of technical variance, the technological efficiency rises steadily in earlier period, while it was declined remarkably in , which on one hand was affected by the global economic recession and on the other hand, represented the fact that technical advancement hasn t become a major driving force for economic growth and industrial development of Zhejiang. TABLE 10: TIME EVOLUTION OF GROWTH INDEX AND FACTORIZATION INDEX OF TRANSFORMATION EFFICIENCY OF SCIENTIFIC AND TECHNOLOGICAL ACHIEVEMENTS IN ZHEJIANG Year Variance of Technical Technical Variance of Pure Variance of Scale Variance Technical Variance of TFP mean TABLE 11: MEAN VALUES OF GROWTH INDEX AND FACTORIZATION INDEX OF TRANSFORMATION EFFICIENCY OF SCIENTIFIC AND TECHNOLOGICAL ACHIEVEMENTS IN PREFECTURE-LEVEL CITIES IN ZHEJIANG ( ) Prefecture-level City Variance of Pure Variance of Technical Variance of Scale Technical Technical Variance Variance of TFP Hangzhou Ningbo Wenzhou Jiaxing Huzhou Shaoxing Jinhua Quzhou Zhoushan Taizhou Lishui mean [Note that all Malmquist index averages are geometric means] 2428

7 According to the situations on prefecture-level city, a dramatic declination trend was witnessed in all prefecture-level cities except Lishui, especially for Hangzhou, Jiaxing, Huzhou, Zhoushan and Taizhou, the declination was over 20%. To sum up, according to in-depth analysis on scientific and technological innovations and scientific and technological achievements transformation, the efficiency declination is mainly generated in Link 2, in other words, efficiency is deficient in the link from technology to product and market. The root causes are: On one hand, in recent years, governments and departments of all levels have intensified the strength on rewards and incentives on scientific and technological innovations, leading to a relatively satisfying trend in the scientific and technological achievements output. However, there re a great number of scientific and technological achievements for innovation s sake and technology s sake only. The technologies are provided with poor practicability, out of joint with industries and impossible for industrial production. On the other hand, even the technology is provided with practicability, the application of new technology requires high costs and is provided with risks to some extent. Supporting facilities and talents are required. Therefore, the enterprises are not so enthusiastic. As a matter of fact, though the number of scientific and technological achievements has been increased, the proportion of transformable achievements is still small. In addition, when new products are being launched to the markets, markets may probably be restricted for various reasons, for example, the new products are not recognized by the consumers due to immature technologies, not accepted by the consumers due to high prices, not known by the consumers due to ineffective market generalization, or no supporting facilities are provided due to advanced technologies. Such factors will restrict the expansion of production scale and finally result in low economic benefits. IV. PROBLEMS ON SCIENTIFIC AND TECHNOLOGICAL ACHIEVEMENTS TRANSFORMATION IN ZHEJIANG AND RECOMMENDED COUNTERMEASURES A. Problems and Causes for Scientific and Technological Achievements Transformation in Zhejiang Province According to analysis above, there mainly exist some problems in the scientific and technological achievements industrialization in Zhejiang as follows: Some competent authorities haven t appropriately normalize the intermediary organs; presently a great number of the service organizations for scientific and technological achievements transformation are not being operated under market mechanisms; some intermediary mechanisms are still in a small, scattered and disordered state, making it difficult for them to exert their due functions; the confidence degree of the demanders and suppliers of the achievements is low on the technical intermediary mechanisms; the service system for achievement transformation is not consummated; there lacks of corresponding mechanisms to organize and coordinate effective communications necessary for scientific and technological achievements services. Main causes: 1) Most of the inventions are non-job-related inventions and the inventors must seek for implementation parties of the patent technologies of their own accord, which intangibly increases the transformation difficulty. 2) Presently, many enterprises are still not enthusiastic on implementation of patent technologies. More than conceptual reasons, some entrepreneurs are for short-term behaviors and are incapable to transform risks. 3) The maturity and extent of supporting is insufficient. There s still quite a long way to go from the patent technologies to industrialization. Efforts should be made to integrate various types of technologies and related techniques of market R&D so as to finally produce products with competitive power. 4) A series of service systems and intermediary service organizations have not been developed yet to support the intellectual property right systems. There s no such a bridge for mutual communication and reliance between the inventors and the enterprises. 5) The related laws, regulations and policies are still not consummated presently. 6) The patents are poor in quality and are of no transformation values (junk patents). B. Recommendation on Policies for improving Scientific and Technological Achievements Transformation in Zhejiang 1. Vigorously Developing Scientific and Technological Finance by Taking the Chance of Financial Reformation of Wenzhou City Firstly, Constructing Multilevel Scientific and Technological Investment and Financing Systems. For financial institutions, efforts should be made to optimize the credit structures and intensify credit supports for science and technology-based enterprises by comprehensive means of buyer s credit, seller s credit, financing lease, etc. Secondly, Consummating Credit Guaranty System for Innovative Medium- and Small-sized Enterprises. Loans provided by banks and small-loan companies to innovative small- and mini-sized enterprises shall be offered risk compensation by the financing bonding companies and small-loan companies based on the newly added parts in the annual average balances. Thirdly, Establishing Regional Stock Right Transaction Centers for Small- and Medium-sized Science and Technology-based Enterprises in Zhejiang.Based on the demonstrative organizations for technological transfer, technological markets, technological transfer center and scientific and technological development center, establish a provincial union for technological property right transaction mechanisms and develop corresponding information and network-based technological transaction supporting system and exhibition platform. 2429

8 2. Establishing and Consummating the Evaluation Mechanism for Scientific and Technological Achievements in Zhejiang Firstly, Initiating A New Mode of Directed by Government and Sponsored by Association for Scientific and Technological Achievements Evaluation.Under such a new mode, the government shall take initiatives to change its functions in scientific and technological achievements evaluation. By introducing market mechanism, support and cultivate public intermediary organizations with qualifications in evaluations on scientific and technological achievements to carry out specific evaluations. Such organization should bear a full relationship of serving and being served with the parties entrusting the evaluations under market economy conditions and should be operated under the administration and supervision of government as well as the monitoring of all walks of life. Secondly, Establishing Diversified Index Systems and Staged Revaluation Systems for Scientific and Technological Achievements Evaluation. Efforts should be made to orientate the scientific and technological achievements evaluation of Zhejiang on the development goals of Zhejiang and the science and technology itself. Based on different stages of scientific and technological achievements such as laboratory scale and pilot scale as well as such features of different types of scientific and technological activities as basic research, application research, scientific and technological industrialization, etc., determine the goals, contents and standards for different evaluations. Apply different evaluation approaches and indicators to establish a diversified, adaptable, quantitive and qualitative evaluation system on scientific and technological achievements, avoiding simplification uniformity in all cases. Thirdly, Establishing Overall Process Tracing Evaluation System for Scientific and Technological Projects. Overall process tracing evaluations should be made on scientific and technological projects, involving three stages of before, during and after the projects. Meanwhile, tracing evaluation should be made for the research process of scientific and technological evaluation. 3. Improving the Construction of Transformation Platform for Scientific and Technological Achievement, Fully Activating the Incubators Firstly, Defining and Clarifying the Orientation of Transformation Platform for Scientific and Technological Achievements, Adjusting the Development Strategies and Exploring the Development Potentials. The transformation platform for scientific and technological achievements shall be orientated as development and commercialization of forward-looking and adaptable application technologies. In other words, the key of research and development of scientific and technological transformation platform should be operative technologies instead of basic researches. Secondly, Establishing Industrial R&D Union; Exploring Pilot Plant Mode; Achieving Door-to-door Transformation of Scientific and Technological Achievements. In such unions, scientific research institutions should grasp the trends of the markets and demands of the enterprises and should develop new technologies collectively with the users. The governments should guide the scientific research institutions to take the lead to establish industrial technology research and development unions based on their own advantages in research, development and information. Thirdly, Promoting the Construction of Scientific and Technological Incubation System; Accelerating Cultivation of Science and Technology-based Mediumand Small-sized Enterprises. 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