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SCIENCE & TECHNOLOGY PROGRESS AND POLICY

	2020 Vol.37 Issue.18 Published 2020-09-25

	Innovation in Science and Technology Management Regional Scientific Development Industrial Technological Progress Enterprise Innovation Management Legal System and Policy of Science and Technology Review Evaluation and Foresight

Innovation in Science and Technology Management

	1	Analysis on the Technological Competition Situation of Blockchain between China and the United States based on Patent Information
		Liu Xing,Shan Xiaoguang,Jiang Nan
		The new technological revolution is still in a period of rapid development,which is very important to the overall competition pattern between China and the United States.Patents are the representative of key technologies and the cornerstone of industrial development.From the perspective of patent information,we can grasp the technological competition situation,and then look into it.The differences in the development of the US blockchain industry provide policy recommendations for the development of China's blockchain industry.Based on Derwent's patent data,the patent analysis method and social network analysis method are used to deeply mine it.In combination with the 'new diamond model',the research finds that: in terms of government,opportunity,demand conditions,and knowledge absorption,the Chinese block The chain technology and industry have an advantageous position; and the US advantage is more obvious in terms of production factors,related industry support,corporate strategic structure,and innovation capabilities.Proposals are made from the three levels of government,industry and enterprise: the government level continues to maintain its advantages in government management and public service areas; the industry level focuses on improving the quality of blockchain patents; the enterprise level improves international cooperation capabilities and strengthens the blockchain to serve the real economy.
		2020 Vol. 37 (18): 1-9 [Abstract] ( 475 ) [HTML 1KB] [ PDF 2676KB] ( 650 )

	10	Organizational Emotional Capability and Organizational Innovation:Chain Mediating Effect of Psychological Safety and Learning from Failures
		Chang Jie,Tang Chaoyong,Niu Chonghuai
		Exploring the path of organizational innovation has become an important factor to enhance the competitiveness of enterprises.Previous studies have shown that organizational emotional ability is the key factor to promote organizational innovation.However,these studies are mostly limited to the study of single intermediary mechanism,ignoring the study of possible chain intermediary mechanism.Based on this,a chain mediation model is constructed by introducing two variables of psychological safety and failure learning,and analyses the mediating effects of psychological safety,learning from failures and the two between organizational emotional capability and organizational innovation.The results show that organizational emotional capability can significantly improve organizational innovation,psychological safety and learning from failures play a mediating role between organizational emotional capability and organizational innovation.and psychological safety and learning from failures jointly play a chain mediating role between organizational emotional capability and organizational innovation.The conclusions enrich the research on the internal mechanism of organizational emotional capability affecting organizational innovation,and provide decision-making reference for exploring the path of organizational innovation.
		2020 Vol. 37 (18): 10-17 [Abstract] ( 458 ) [HTML 1KB] [ PDF 1309KB] ( 526 )

	18	Globalization,Independent R&D and Haze Pollution
		Zhou Jieqi,Liang Wenguang,Zhang Ying
		How to formulate an effective policy system according to specific national conditions,can ensure the enjoyment of the dividends brought by globalization without paying a heavy environmental cost From the perspective of FDI,combined with the background of China's implementation of innovation-driven development strategy,the logical framework of "FDI-Independent R&D-Smog Pollution" was constructed,and based on China's provincial panel data,this paper systematically studied the mechanism and effect of globalization on haze pollution.The main findings are:（1）FDI exacerbates haze pollution by the channels of industrial structure and economic growth,but can reduce haze pollution by the green technology effect and independent R&D effect.（2）While the synergistic effect of FDI and independent R&D promotes the pollution of the industrial structure,it does produce a significant green technology effect.（3）The effect of FDI on haze pollution has phased features.When the region has crossed a certain threshold of economic development,the impact of FDI on environment is transformed from the pollution heaven effect to the pollution halo effect.The pollution halo effect of FDI increases with the increasing of independent R&D capabilities in the region.（4）China's haze pollution presents the characteristic of the spillover effect from the spatial dimension,and presents the characteristic of alert effect from the dimension of time and space.Moreover,?FDI in the neighboring areas will increase the local haze pollution by the channels of the effect of race to the bottom and the effect of industrial transfer.Therefore,based on the top-level design and global planning,concerted efforts in the areas of policy guidance,innovation-driven,joint prevention and control,etc.,are conducive to avoiding the environmental risks brought about by globalization and achieving a win-win situation between open development and green development.
		2020 Vol. 37 (18): 18-27 [Abstract] ( 418 ) [HTML 1KB] [ PDF 1415KB] ( 308 )

Regional Scientific Development

	28	Consumption Structure Upgrading,Government Support and Technological Innovation Ability: An Analysis from a Space Perspective
		Chan Jian,Xu Zhengzhong
		Based on 2009-2017 China's provincial spatial panel data,this paper focuses on analyzing the multiple relationships between consumption structure upgrading,government support,and scientific and technological innovation capabilities through the use of the spatial Dubin model. The research finds that: (1) At present,there is a U-shaped relationship between the consumption structure upgrading and regional scientific and technological innovation capabilities.,That is,when the consumption structure is at a lower stage,it has a negative correlation with the improvement of scientific and technological innovation capabilities,and when the consumption structure is upgraded to a certain height,this negative relationship turns into a positive connection. (2) Government support has an inverted U-shaped relationship with scientific and technological innovation capabilities. That is,when the level of scientific and technological innovation capabilities is low,government support is conducive to the promotion of scientific and technological innovation capabilities. When scientific and technological innovation capabilities have developed to a certain extent,government support has become a limiting factor. We believe that the inverted U-shaped curve presented by government support is closely related to the gradual changes in consumption orientation,that is,when the consumption structure is at a lower stage,government support has played a role in making up for market deficiencies. When the consumer market turns to be conducive to innovation and development,excessive government support will have a " Crowding-out Effect" on the free market,which is not conducive to the development of innovation capabilities. (3) On space overflow,the geographic distance matrix shows a similar relationship with discovery (1) and discovery (2),and the economic distance matrix shows a similar relationship with discovery (2).
		2020 Vol. 37 (18): 28-35 [Abstract] ( 484 ) [HTML 1KB] [ PDF 1298KB] ( 284 )

	36	Capital Matching,Innovation Cultivation and Regional Coordinated Development: Theoretical Mechanism and Empirical Evidence
		Zhong Wen,Zhong Changbiao,Zheng Minggui
		Regional coordinated development is not only influenced by the quantity of capital accumulation,but also by the quality of capital matching. Based on the development of THE MRW model,this paper analyzes the relationship between the optimal matching existence of "physical capital-human capital-social capital" and efficient economic growth,further constructs the degree of capital matching and matching quality to achieve the economic catch-up in backward regions through innovative cultivation,and then affects the transmission path of regional coordinated development ability,and uses the Chinese provincial panel data to carry out empirical research. The results show that there is an optimal ratio relationship between physical capital,human capital and social capital stock,and the quality of capital matching mainly affects the level of regional coordinated development through innovation,capital matching is beneficial to regional coordinated development overall,and the eastern region's capital matching contributes more to regional coordinated development than the central and western regions. The conclusion of this paper is of great practical significance to promote the coordinated development of the region by exerting the effects of capital quality spillover and technological progress.
		2020 Vol. 37 (18): 36-43 [Abstract] ( 337 ) [HTML 1KB] [ PDF 1315KB] ( 400 )

	44	The Evolution of Spatial Polarization Effect of Science and Technology Innovation in Yellow River Basin Oriented by High-quality Development
		Luo Wei,Yang Xuanzhi,Yang Yongfang
		Based on the current situation of disordered competition,lack of cooperation,and uneven development in the science and technology innovation of Yellow River Basin,this paper builds the concentration degree model and polarization degree model of science and technology innovation oriented by high-quality development,analyzes the evolution of polarization effects,identifies the “siphon” and “trickle-down” effects among provinces. The results show that: From the overall level of the provinces and regions across the river basin,the science and technology innovation is at a “very low polarization” level and presents a “continuous decline” trend,the provinces with strong science and technology innovation capabilities have “weak trickle-down” effect on the weak one. From the sub-regional level of upstream,midstream and downstream,the science and technology innovation in regions of upstream,midstream and downstream are at the “very low polarization”,which are represented by the trends of “continuous rise”,“rise and then decline”,“continuous decline”,the provinces with strong science and technology innovation capabilities in turn shows “weak siphon”,“siphon first and then trickle-down”,“weak trickle-down” effect to the weak one. Furthermore,policy implications are proposed from the aspects of improving the quality of science and technology innovation resource allocation and optimizing the space layout of science and technology innovation.
		2020 Vol. 37 (18): 44-51 [Abstract] ( 525 ) [HTML 1KB] [ PDF 1382KB] ( 347 )

Industrial Technological Progress

	52	Research on Multiple Modes for Improving Technological Innovation Efficiency of High-tech Industry——Based on the Perspective of Innovation Environment
		Fan Decheng,Gu Xiaomei
		Since the innovation environment can provide supporting conditions for technological innovation in high-tech industry,it is of great significance to clarify the modes for improving technological innovation efficiency from the perspective of innovation environment. This study adopts the CCR-DEA model to measure the technological innovation efficiency of high-tech industry of 29 province-level regions in China from 2012 to 2016. Then this study utilizes the GMDH algorithm to identify the key environmental factors affecting technological innovation efficiency. Finally this study employs the fsQCA method to explore the different configurations of key environmental factors and the multiple modes for improving technological innovation. The results show that the average value of technological innovation efficiency of China's high-tech industry is relatively low during the five years,and more than half of the provinces do not reach the national average; economic foundation,market demand,openness,industrial R&D foundation,the tendency of independent innovation,government innovation intervention and intellectual property protection are key environmental factors affecting technological innovation efficiency; though none of the key environmental factors can improve technological innovation efficiency separately,four kinds of combinations of them are sufficient conditions for that,which provide four modes to improve technological innovation efficiency; the demand driven mode,exchange collision mode and subject driven mode are suitable for the regions with weak economic foundation,while the mode of increasing quality and reducing bundle can be applied in the regions with good economic foundation.
		2020 Vol. 37 (18): 52-59 [Abstract] ( 388 ) [HTML 1KB] [ PDF 1279KB] ( 289 )

	60	Technological Abrupt Change in the Process of Low Carbon Transformation in High-carbon Industry considering Energy Rebound Effect
		Zhang Jijian,Wan An'wei,Song Yajing
		Specifically,considering the rebound effect of energy,the technological threshold of low-carbon technology mutations in the high-carbon industry is analyzed.On the one hand,it indicates that the threshold effect of technological carbon emission reduction has changed from qualitative to qualitative change.Effect.Using the energy rebound model of the Hansen threshold panel model combined with the CD production function,it is found that:①if the energy rebound effect is not considered,then there are two thresholds for technological mutations in the low-carbon process of the high-carbon industry;②if energy is considered The rebound effect will be reduced to a threshold,and the time required for the high-carbon industry to complete the mutation of low-carbon technology will be extended.Therefore,in order to accelerate the mutation of low-carbon technologies in the high-carbon industry and effectively reduce carbon emissions,on the one hand,the impact of the energy rebound effect must be alleviated.For high-carbon industries with large energy rebound effects,real-time monitoring is adopted,and the energy rebound is high The carbon industry adopts regular inspection and irregular sampling inspection to monitor; monetary policy,fiscal policy and industrial policy cooperate with each other to maximize the control of the energy rebound effect while the high-carbon industry drives economic growth.On the other hand,the market approach and government functions go hand in hand,assisting enterprises with low-carbon technology upgrades and equipment transformation,optimizing tax structures,making up for the negative externalities caused by low-carbon technology upgrades,and improving high-carbon industry transfer or exit market mechanisms.
		2020 Vol. 37 (18): 60-69 [Abstract] ( 459 ) [HTML 1KB] [ PDF 1506KB] ( 363 )

Enterprise Innovation Management

	70	Can Enterprise Groups Improve the Incentive Effect of Government Subsidies on Innovation Output
		Liu Yuanchu,Hua Guihong
		Using the data collected manually by A-share strategic emerging industry listed companies from 2010 to 2017,this paper examines the moderating role played by corporate groups between government subsidies and corporate innovation output. We find that government subsidies have a significant positive impact on the amount of total innovation output of strategic emerging companies. However,dividing innovation output into high-quality innovation output and strategic innovation output based on technical difficulty,it was found that government subsidies can only promote the increase in the number of strategic innovation outputs,and have no obvious impact on high-quality innovation output. Further analysis indicates that incorporate business groups into the analysis framework. The business groups can effectively promote the role of government subsidies in boosting the total innovation output of enterprises through their internal capital market advantages. More importantly,Under the role played by enterprise groups,government subsidies can significantly increase the number of high-quality innovation outputs.
		2020 Vol. 37 (18): 70-79 [Abstract] ( 409 ) [HTML 1KB] [ PDF 1329KB] ( 365 )

	80	Resource,Innovation Decision and the Path of Innovation Catch-up for Latecomer Enterprises
		Xu Nana,Zhang Yahui,Zheng Fang
		This paper focuses on the problem of innovation catch-up of latecomer enterprises in the global network. Through combining internal and external resources with innovative decision,this paper uses exploratory research methods to analyze the internal mechanism of innovation catching-up based on case study,thus summing up the innovation catching-up paths of latecomer enterprises. The findings reveal that the effective interaction between internal resources and network?embededness can form the mechanism for resource acquisition,which is contribute to overcome the resources weakness in the process of innovation catch-up; the appropriate innovation decision plays an important role for the rapid catch-up and improvement of innovative capability of latecomer enterprises; the resources condition and innovation decision are different in different stages,therefore,the innovation catching-up path is conducted in various ways.
		2020 Vol. 37 (18): 80-89 [Abstract] ( 380 ) [HTML 1KB] [ PDF 1370KB] ( 485 )

	90	Research on the Relationship between Equity Mergers and Acquisitions and the Innovation Output of Target Enterprises
		Zhong Yonghong,Zeng Yihang
		This paper divides equity mergers and acquisitions into two types: equity transfer and capital increase with share expansion,so as to study the financing effect of equity mergers and acquisitions on the target enterprises' innovation activities. Based on the M&A data of technology companies listed in SME board and GEM,this paper takes the number of patent applications as the proxy variable of innovation output and empirically finds that the equity mergers and acquisitions in the form of capital increase with share expansion can finance the innovation activities of the target enterprises through cash transfers and finally improve their innovation performance. In addition,in the test of endogenous problems,the robustness of the results is verified by the use of propensity score matching techniques.
		2020 Vol. 37 (18): 90-97 [Abstract] ( 416 ) [HTML 1KB] [ PDF 1265KB] ( 337 )

	98	The Impact of Manufacturing Enterprise Service Improvements on Technological Innovation and Corporate Performance
		Wang Baoli,Yang Xin
		Under the trend of globalization and super competition,service improvements and technological innovation have become the key to the value chain of China's manufacturing enterprises.Compared with technological innovation,the mechanism of service improvementsis still controversial.This paper integrates service improvements and technological innovation into the same framework,and deeply analyzes the impact of manufacturing enterprise service improvementson technological innovation and corporate performance,and discusses the Moderating Effect of environmental turbulence on service improvements and corporate performance.Research shows that: (1)service supporting the supplier’s product (SSP) has an inverted U-shaped impact on technological innovation and corporate performance,whileservice supporting the client’s action (SSC) has a positive effect on technological innovation and corporate performance; (2) Technological innovation plays a “bridge” role in the relationship between service enhancement and corporate performance; (3) Environmental turbulence has no adjustment effect on the relationship between SSP and corporate performance,but positively regulates the relationship between SSC and corporate performance.
		2020 Vol. 37 (18): 98-105 [Abstract] ( 502 ) [HTML 1KB] [ PDF 1347KB] ( 404 )

	106	Comparing Path of Impact of Capability and Institutional Configuration Effect on Product and Process Innovation of Science and Technology Enterprises: QCA Analysis Based on Enterprise Life Cycle
		Ge Yuanqin,Li Shuwen
		Product innovation and process innovation play an innovative driving role in organizational innovation,but few existing literatures have analyzed their differences.Based on the perspective of enterprise life cycle,this study aims to explore the differences of driving factors and paths between product and process innovation from the aspects of system and capability.The results show that the driving path of product innovation in start-up stage of science and technology enterprises can be divided into empowerment-oriented and career-fault-tolerant-oriented,and the latter can better promote product innovation; the driving path of product innovation in development stage can be divided into performance evaluation-oriented,empowerment-oriented,career-learning-oriented and fault-tolerant-learning-oriented,and in these four driving paths,performance evaluation-oriented path can be better enhance product innovation.The driving path of product innovation in mature stage is divided into performance evaluation-oriented,fault-tolerant-oriented and empowerment-learning-oriented,and empowerment-learning-oriented can be better promote product innovation.The driving path of process innovation in start-up stage is fault-tolerant-oriented; the driving path of process innovation in development stage is performance-career-learning-oriented; the driving path of process innovation in mature stage is performance-learning-oriented and career-fault-tolerant-oriented,and the latter can better promote process innovation.The common driving paths of product and process innovation are fault-tolerant-oriented in the initial stage,performance evaluation,career development and learning ability in the development stage,and performance evaluation,fault-tolerant ability and learning ability in the mature stage.
		2020 Vol. 37 (18): 106-113 [Abstract] ( 458 ) [HTML 1KB] [ PDF 1354KB] ( 281 )

Legal System and Policy of Science and Technology

	114	Legal Reform to Promote the Development of Innovation in Japan: Theory,Arrangement and Enlightenment
		Liu Guangxing
		In the face of the opportunities and challenges brought by the prosperity of the fourth industrial revolution,Japan launched the reform of laws and regulations to promote the development of innovation.In 2014,Japan created the grey zone elimination system and the new enterprise special case system in the industrial competitiveness enhancement act,which encouraged enterprises to make bold innovations by providing applicable procedures and special regulatory measures.In 2018,Japan introduced the project-based regulatory sandbox system through the "try first" to support innovative projects in various industries.These legal systems will help Japan to build a new economy based on science and technology and improve the competitiveness of its industries.The current legislation of science and innovation in China is short of foresight,low level and weak incentive,which is not conducive to promoting the development of "disruptive" innovation.The reform ideas and specific arrangements of Japan's scientific and technological innovation law have important implications for improving China's scientific and technological innovation law to promote the development of China's innovation cause.
		2020 Vol. 37 (18): 114-122 [Abstract] ( 448 ) [HTML 1KB] [ PDF 1357KB] ( 313 )

	123	Research on the Pluralistic Mechanism of the Influence of tax Preference on the Innovation Output of Enterprises.
		Chen Yuezhuo
		In recent years,enterprise innovation has become one of the hot topics in academic circles,as an important factor affecting economic growth and technological progress.However,at present,there is relatively little research on the software that plays an important role in realizing technological breakthrough in China and innovative behavior of integrated circuit enterprises.Based on the data of Chinese A-share listed companies from 2006 to 2017,this paper focuses on the two national tax preferential policies for the software and integrated circuit industry in 2011,and makes an empirical study on the influence of double difference method on enterprise innovation output.The results show that the tax preferences plays a significant role in promoting the patent application for invention,but has no significant effect on the patent application for non-invention.Financing constraints will not only reduce the innovative output of enterprises,but also weaken the promoting effect of tax preferences on innovative output.The sub-sample study in this paper shows that tax preferences have different effects on different scales,property rights and regional enterprises,and tax preferences play a greater role in promoting the innovation output of large enterprises,state-owned enterprises and enterprises in the central and western regions.From the long-term impact of the preferential tax policy,the influence of the policy on the total patent application has a time lag,while the invention patent application has increased significantly in the year of the policy.This study will provide useful enlightenment for the relationship between tax preferential policies,financing constraints and enterprise innovation output.
		2020 Vol. 37 (18): 123-132 [Abstract] ( 503 ) [HTML 1KB] [ PDF 1300KB] ( 497 )

	133	The Impact of High-tech Identification on Total Factor Productivity of Enterprises
		Xiong bo,Du jiaqi
		Based on the panel data of China's A-share listed companies from 2002 to 2018,the double-difference method was used to examine the impact and mechanism of high-tech enterprise certification on total factor productivity. The empirical results show that the identification of high-tech enterprises has significantly promoted the improvement of total factor productivity of related companies. Further heterogeneity test results show that this effect is more pronounced in companies with high financing constraints,companies in growth and maturity,and companies that have not manipulated R & D expenses. In addition,the external environment also matters. The research conclusion provides a new research perspective for the evaluation of the policy effect of high-level enterprises,and provides policy inspiration to improve the design of selective industrial policies.
		2020 Vol. 37 (18): 133-142 [Abstract] ( 397 ) [HTML 1KB] [ PDF 1460KB] ( 664 )

Evaluation and Foresight

	143	Analysis of the Formation Mechanism of Performance Evaluation Index System of the National Science and Technology Awards
		Zhang Chengwei,Wei Huai'an
		In essence,the formation of performance evaluation index system of national science and technology awards is the operationalization of the performance of national science and technology awards from abstraction to concrete. According to the logic of "basic concept-evaluation dimension-measurement index",this paper analyzes the formation mechanism of performance evaluation index system of national science and technology awards. It is found that in the process of the formation of performance evaluation index system of national science and technology awards,the operationalization of concept is the logical starting point,the deconstruction of evaluation dimension is the logical intermediary,and the selection and empowerment of measurement index is the logical end point. Based on the analysis of the formation mechanism,the performance evaluation index system should be closer to the essence of the performance of national science and technology awards,and better reflect the core performance of national science and technology awards.
		2020 Vol. 37 (18): 143-150 [Abstract] ( 398 ) [HTML 1KB] [ PDF 1719KB] ( 413 )

Review

	151	Knowledge Mapping Analysis of Research Progress and Hotspot of Corporate Governance's Influence on Corporate Innovation
		Qin Xian,Zhang Shiqiang,Zhang Wei,Liao Xianchun
		In order to comprehensively and objectively study the impact of different corporate governance mechanisms on corporate innovation,based on 463 articles of corporate governance's influence on corporate innovation in the Web of Science database from 2000 to 2019,we use CiteSpace software to draw knowledge maps such as the spatial and temporal distribution of literatures,double journal overlays,co-citing and clustering of literatures,and keyword time zones to clarify the research distribution,vein trajectory and frontier.The results show that the number of published articles has increased year by year and has not reached the peak. The United States and China are high-yielding countries,and there is a flow of knowledge between journals in different disciplines in this field of research. The research perspective is divided into innovation decision-making dynamic perspective,single equity background perspective,and principal-agent perspective,which forms a research theme framework based on ownership structure,board function,and the impact of executive governance on corporate innovation. Research hotspots and frontiers have evolved dynamically with changes in the focus of corporate governance and the refinement of innovation. Finally,the future research directions are proposed according to the weak links of the research.
		2020 Vol. 37 (18): 151-160 [Abstract] ( 398 ) [HTML 1KB] [ PDF 5866KB] ( 539 )

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