Developing Joint R&D Institutes between Chinese Universities and International Enterprises in China’s Innovation System: A Case at Tsinghua University
Abstract
:1. Introduction
2. Methodology and Case Selection
- It was a research institute officially affiliated with Tsinghua University, rather than merely being located on the campus [55];
- It was a joint R&D institute co-established by Tsinghua University and an international enterprise;
- It was semi-autonomous from a traditional disciplinary department (an optional criterion) [56];
- (1)
- Group One: members of the Tsinghua-UTC Center. Four Tsinghua researchers (one professor, one associate professor, one post-doctoral fellow, and one postgraduate research student); one marketing staff member from the UTC; and one administrative staff member of the Center;
- (2)
- Group Two: three university-level administrative staff members of Tsinghua, who oversaw the university–industry cooperation, international cooperation, and disciplinary planning;
- (3)
- Group Three: one government official from the MOE and two from the MOST;
- (4)
- Group Four: five external observers, scholars who were specialized in the fields of the internationalization of higher education, university–industry linkage, Chinese higher education transformation, and Chinese higher education policy.
3. Analytical Framework
3.1. Institutional Logics in Innovation Systems
3.2. Chinese Triple Helix System
3.3. The Collision of Western and Chinese Institutional Logics
3.4. Institutionalization of Joint R&D Institutes
3.5. Integrated Analytical Framework
4. Results and Discussion
4.1. Stage 1: Realization of the Needs
4.1.1. Common Belief: Logics of Technology and Knowledge Innovation
4.1.2. The Motivation of UTC to Work with Tsinghua: Logics of Knowledge Innovation and Market Orientation
Actually, five million US dollars is not a big amount for UTC as a large international enterprise. The cost effectiveness of this venture is very high. It seems like UTC does not have concrete requirements for the center. This is a very smart strategy. The Tsinghua researchers can feel UTC’s kindness and flexibility and they are pleased to work on high-quality projects. Moreover, UTC can win some prestige in China from partnering with Tsinghua. With the Center as a window, UTC has gained some added value: it has had opportunities to join Sino-US energy cooperation at the national level. Professor Jiang is a leader of one of the research themes, so UTC can take part in high-profile cooperation through the Tsinghua-UTC Center. Professor Jiang has also introduced UTC to governmental agencies including the Ministry of Construction and the MOST. It is crucial for UTC to expand its market shares in China.(Interview THU-UTC 04)
4.2. Stage 2: Intra-Organizational Transformation in the Chinese University
We are very happy to have such a channel to connect us with Tsinghua. If we need to approach Tsinghua professors and invite them to be consultants for our R&D activities, it is very difficult to find the right persons. All the Tsinghua teachers are extremely busy. The UICC will do their best to help us find the professors we are looking for or recommend other appropriate candidates. Other than that, if we want to visit any institutes of Tsinghua or find out information about Tsinghua’s organizations, they can act as our connection.(Interview IDS01)
4.3. Stage 3: Interactions between Chinese University and International Enterprise
4.3.1. The Agreement between Tsinghua and UTC: An Agreement Based on the Logic of Knowledge Innovation
I felt a bit shocked when I joined the Center. I feel that what the enterprises undertake should be closely related to products, and profit is usually the primary goal of enterprises. However, what the enterprise (UTC) proposed is even more forward-looking than the university (Tsinghua).(Interview THU-UTC 08)
4.3.2. Disparity in Thinking Paradigms: Logics of Technology Innovation and Market Orientation
I feel that many of their suggestions are valuable. They advanced these ideas from the perspective of the industry. They stand at the frontiers of the market and can anticipate the development orientation of the market. When we study a technology or a system, we only focus on how advanced this system or technology is. Rather, they would analyze the cost of using this technology or working out this system. The questions they most frequently ask are: How much money should we input to work out this? What benefits can be obtained from doing this?(Interview THU-UTC 08)
4.3.3. A Salient Impact: The Logic of Process Management
We would listen to the ideas from both sides. We worked and discussed with the Tsinghua researchers, and we regularly had meetings with our headquarters in the US and listened to their views. Their ideas would affect our thinking. Then, our considerations would also impact the research of the Center.(Interview THU-UTC 08)
4.3.4. The Danger in “Taking the Role of the Other”: Logics of Market Orientation and Process Management
4.3.5. Inadequate Regulations and Inexperience: Logic of Intellectual Property Rights Protection
The Role of Tsinghua Administration
In the first five years, each side (Tsinghua and UTC) owned 50 percent of each IP, and both sides had the rights to use these patents produced by the Center. Once, UTC wanted to buy the half (of the IPR) of a patent owned by the Tsinghua side; however, the Overseas RDMO had no idea about the charge. They just randomly set a price of 100,000 US dollars. But UTC deemed it too expensive. The UTC side thought that they had invested one million US dollars every year; the price of 100,000 US dollars was unreasonable. In the end, UTC gave up and both sides did not achieve an agreement.(Interview THU-UTC 06)
We are accumulating our experience and learning from foreign institutions. We learned a lot when the headquarters of the UTC research institute invited us to the US. However, our standpoint is different [from those of the university researchers]. We have to balance the benefits of different stakeholders: we need to respect the willingness of the university teachers, consider the benefits to the university, and keep a favorable relationship with the enterprise. We also need to take the issues of law and contract into consideration.(Interview THU UA 2)
The university allows you to take on these projects, although such undertaking can only make money. However, these projects, compared with those projects which can share the IPRs, have to pay extra administration fees. The university cannot forbid the researchers from conducting these projects, since the university administration cannot judge for the researchers whether these projects are indeed worthwhile or not. But the university does not encourage researchers to conduct the kind of project which loses IPR ownership. Charging an administration fee is meant to indirectly limit the researchers who undertake this kind of cooperation through disadvantaging the benefits of the projects. When the researchers feel the projects are not worth it, they will redirect themselves to other cooperative projects. The university can also use these administration fees as university development funding to improve the university R&D environment and facilities. We have a series of specific measures [to use the development funding].(Interview THU UA 02)
The Change in IPR Ownership Distribution Pattern
The pattern of the second five years is better; it is actually troublesome if every patent is jointly owned. It may cause conflict if a patent is going to be transferred to product. Many of us [the Tsinghua researchers] feel that the changed pattern is clearer and more scientific than the one before. It is hard to imagine that when UTC wants to launch a product, it has to get approval from Tsinghua.(Interview THU-UTC 06)
In the past five years, if I wanted to publish a paper, the paper needed to be reviewed and approved by UTC. Nowadays, if I publish a paper regarding the research projects allocated to the Tsinghua side, I do not have to get approval from UTC; this truly provides us with more flexibility.(Interview THU-UTC 07)
4.4. Stage 4: Institutionalization of Joint R&D Institute
5. Conclusions
Author Contributions
Funding
Acknowledgments
Conflicts of Interest
References
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Stages of Development | Major Triple Helix Activities | Favorable Institutional Logics |
---|---|---|
Stage 1 Realization of the needs | Realizing the importance of entering a reciprocal relationship between university, industry and government | Shared beliefs on knowledge as a key to economic growth |
Stage 2 Intra-organizational transformation | Taking the role of the other | Market orientation Process management |
Stage 3 Interactions between organizations in the three sectors | Growing and innovating through cooperation with others Generating hybrid organization | Effective IPR Protection system Civil society |
Stage 4 Institutionalization of the Triple Helix model | Feedback loops between policy-makers and participants Institutionalized norms of “entrepreneurial university”, “knowledge-based formation and growth” and “innovation state” [26]. | Competitive market Democratic policymaking |
Stages of Development | Description of the Stage | Mingling Institutional Logics (Tensions vs. Reconciling) | Influences of Mixing Institutional Logics on the Development of Joint R&D Institutes |
---|---|---|---|
Stage 1 Realization of the needs | Chinese government, university, and international enterprise realize the needs for transformation and interaction | Rising awareness and common belief: technology and knowledge innovation is a key for sustainable economic growth Motivation and logics of the international enterprise: knowledge innovation and market orientation | The international exchanges deepened understanding and belief of the Chinese university in technology and knowledge innovation and thus facilitated the institutional evolution. |
Stage 2 Intra-organizational transformation in the Chinese university | Joint R&D endeavors between Chinese universities and industries start to prosper University, industry and government “taking the role of the other” [68] | Logics of market-oriented organizational cultures and process-oriented management culture in technology innovation | The international enterprises’ increasing approaching to Chinese research universities accelerated the government and university to perfect the corresponding institutional settings. |
Stage 3 Interactions between Chinese university and international enterprise | Joint R&D institutes are created through interactions between organizations in the three sectors (“generating hybrid organization”) The danger in “taking the role of the other” | An agreement based on the logic of knowledge innovation Disparity in thinking paradigms: Logics of technology innovation and market orientation A salient impact of the logic of process management The danger in “taking the role of the other”: logics of market orientation and process management Inadequate regulations and inexperience: logic of IPR protection The absent logic of civil society | Service and “catch-up” mentalities of Chinese university resulted in the danger in “taking the role of the other”. The awareness of Chinese government and universities about IPR protection was raised in the process of cooperating with international industrial partners. The potential of joint R&D institutes to create functional mechanisms that can coordinate between top-down control and bottom-up initiatives. |
Stage 4 Institutionalization of joint R&D institute | Joint R&D institutes cause a crowding-out effect [16] between international and Chinese enterprises | Logics of the market competition environment The absent logic of democracy in policymaking | The joint R&D institutes have the potential to raise the logic of market competition in China’s Triple Helix linkages. |
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Ma, J. Developing Joint R&D Institutes between Chinese Universities and International Enterprises in China’s Innovation System: A Case at Tsinghua University. Sustainability 2019, 11, 7133. https://doi.org/10.3390/su11247133
Ma J. Developing Joint R&D Institutes between Chinese Universities and International Enterprises in China’s Innovation System: A Case at Tsinghua University. Sustainability. 2019; 11(24):7133. https://doi.org/10.3390/su11247133
Chicago/Turabian StyleMa, Jinyuan. 2019. "Developing Joint R&D Institutes between Chinese Universities and International Enterprises in China’s Innovation System: A Case at Tsinghua University" Sustainability 11, no. 24: 7133. https://doi.org/10.3390/su11247133