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R&D cooperation: A perspective based on transaction cost and resource-based theory Zhang Yuchen, Wang Fangjie 2019, 40(8): 1-11.  Abstract ( 297 )   By studying the representative theoretical and empirical literature in the field of R&D cooperation, based on the theory of transaction cost and resource-based view, this article combines an overall research framework of this filed according to the cooperation process. We aim to provide a holistic entry point for subsequent empirical and theoretical research, and a reference for R&D cooperation practices. This article first elaborates the basic concepts of R&D cooperation including different definitions and types. Although a considerable body of work highlights the R&D cooperation, but studies have not reached a consensus definition of R&D cooperation (or R&D collaboration, R&D alliance, R&D partnership). R&D cooperation can be divided into different types from different lens, for example, the horizontal or verticalcollaboration. Recently, some researcher suggested a new way of classification, the collaboration with supplier or public academic institution are viewed as distinct kind of collaboration as they are generally at the first stage of the knowledge chain compared with the alliance with competitors and consumers. Second, six main types of cooperation motivation and the radical motivation of competence (profit) are sorted out from the perspective of transaction cost theory, resource-based view and organizational learning theory. Particularly we find the multi-faced nature of motivation in different types of collaboration. For instance, University-industry collaboration can be better explained by resource-based and organizational learning theory, because most of the firms aim to get access to the commentary resources and expand their knowledge base through the learning process, while collaboration with firms especially competitors are more likely aiming to weaken the level of competition. Third，regarding the R&D performance including its subjective criteria like satisfaction degree or objective criteria like stock price, profit or sales revenue of new product, we relate it with the partner selection factors and governance factors( organizational form and appropriation mechanism). The characteristics of the R&D partners are divided from the perspective of the partner’s attributes and the partner relationship in the collaboration, for example the cooperation history. The trajectories between partner characteristics and R&D performance are explained through the concepts of “collective strength” and “inter-firm conflicts” from resource-based view. Specifically, we find a more fundamental role of inter-organizational trust which we classified as one of the relation-based characteristics. Finally, the classification of organization forms is primarily based onHagedoorn’s study over strategic alliance in 1990 and is improvised through other relevant literature, In the R&D cooperation context, we suggest four different types organizational form according to the independent level of the participants. And we further identify four attributes (incentive, synergy behavior, opportunism risk, transaction cost) to explain the differences between those organization forms. Then, a proper form of cooperation is assumed to achieve high incentive and synergy behavior while maintaining a low transaction cost and opportunism risk at the same time. The appropriation mechanism includes the formal kind such as the patents and contracts, and also the informal kind such as the secrecy and lead time. To achieve effective knowledge spillover and provide incentive for participates’ R&D efforts, Firms should employ appropriate mechanism based on specific circumstances, for example, cooperation with competitors usually address more on lead time mechanism for quickly building competence in the following stage. Related Articles | Metrics

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An analysis of innovation factors in Chinese traditional culture and establishment of the fourth generation of management Chen Jin, Wu Qingqian 2019, 40(8): 12-19.  Abstract ( 213 )    The difference between traditional Chinese culture and western culture is no longer regarded as the difference between ancient and modern culture, but the difference of types. It is of great significance to deeply explore the innovation factors in traditional Chinese culture based on the four self-confidences, to explore the modernization road with Chinese characteristics, and to help build the fourth generation of management science with more Oriental wisdom. As an ancient and diversified culture, traditional Chinese culture embodies inexhaustible innovation elements, regarding the mode of thinking, ideals and beliefs, organization and institutions, and tools and technology. No doubt Dig deep into these innovation elements will inspire China’s pursuit of a modernization road significantly, which is the research significance of this paper.The research results show that innovation is the deeply-rooted endowment of the Chinese people, and exert positive impact on wealth creation and value generation today. In terms of the mode of thinking, the dynamic, balanced and holistic mode of thinking that the Chinese tradition is better at is now leading China to the governance innovation of jointly building a "community of Shared future for mankind" and the peaceful rise rather than hegemonism. It is also leading China to the path of independent innovation with Chinese characteristics of "open and comprehensive innovation". In terms of notions and beliefs, the Chinese tradition has bred a spirit of innovation that is new, flexible and tolerant. Flexible management, rigid management, and no-action management advocated respectively by Confucianism, Legalism and Taoism from the perspective of different theories of human nature, and the personality state theories proposed by Confucianism, Taoism, Buddhism and military strategist based on different theories of personality, can both bring breakthrough and sublimation to the contemporary western management theory and leadership theory.In terms of organization and institutions, the concept of "great unity" in the gene of Chinese traditional institutions, which is diversified and integrated, has influenced the formation of the internal pluralistic and open party institutions under the leadership of one party in China today. The Confucian family-like institution model that emphasizes ethics and education, the Taoist institution model of no-action rule, and the military organization system model of military strategist also profoundly shaped the unique organizational development orientation of "family, army and school" and the new development goals of "efficiency, innovation and happiness" in today’s Chinese enterprises.In terms of tools and technologies, traditional Chinese artifacts and technologies have provided many innovation elements for the development of China’s cultural and creative industries and even the scientific and technological industries today. In particular, the extensive and continuous records of natural phenomena in the vast ancient Chinese literature have provided a steady stream of inspiration for the breakthrough and solution of the major scientific hot issues in the contemporary era, such as the evolution of celestial bodies,geotectonics, earthquake forecasting, climate change, sea level fluctuation, environmental succession, and biological evolution.We are in an era of the boom of AI, genetic engineering and many more new technologies, and also in an era of the peaceful rise of China and many more emerging economies, the theories and practice of national governance and enterprise management are ushering in a new paradigm breakthrough. The comprehensive and profound research on innovation elements and resources in traditional Chinese culture will contribute significantly to the breakthrough and development of the fourth generation of management science that absorbs more Oriental wisdom, focuses on "new homo sapiens", and focuses on efficiency, innovation and happiness or the overall development of people. In this way, we can better help the government and businesses advance their mission in the new era, and better help exchanges and mutual learning among civilizations and build a community of shared future. Related Articles | Metrics

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Performance evaluation of new R&D institutions from the perspective of resource dependence and societal impact Meng Wei, Song Jiaojiao 2019, 40(8): 20-31.  Abstract ( 280 )   As one of the key initiatives of the innovation-driven development strategy, new R&D institutions are expected to take more responsibilities, which could promote the agglomeration, opening and integration of regional innovation resource, break the barriers from “science” to “technology” and “product”, promote the synergetic development among the chain of innovation, industry and service. Meanwhile, the new R&D institutions has also been expected to contribute the strategic industries emerging, etc. In recent years, new R&D institutions have been developed rapidly with the support of the government. Its forms are diverse, such as Jiangsu Industrial Technology Research Institute, Beijing Industrial Technology Research Institute, Shenzhen Institutes of Advanced Technology, CAS, and Shanghai R&D and transformation functional platform, etc. At present, the name of new R&D institution has several different usages, such as "industrial technology research institute", “R&D transformation platform” and "new R&D (scientific research) institution", etc. This paper defines the new R&D institution as an independent agency which has diversified investor, market-oriented operation mechanism and modernized management mode. It has distinctive characteristics in scientific and technological R&D, transformation, innovation and entrepreneurship incubation, etc. New R&D institutions could be divided into different types depending on the classification criteria. According to the nature of the operating entity, it can be divided into government-led institutions, enterprise-led institutions, third-party-oriented institutions and composite institutions; according to the nature of the organization, it can be divided into enterprise, private non-enterprise and business; according to the function of the organization, it can be divided into R&D institutions, conversion institutions, and service support institutions. New R&D institutions are also known as “Fangle” institutions compared with traditional scientific research institutions, which are mainly manifested as: (1) Government guidance and close combination of multiple subjects. At present, the construction and operation of China’s new R&D institutions are under the guidance of the government, emphasizing the coordination and mobilization of all sectors of society. Compared with the traditional loose form of industry-university-research cooperation, the new R&D institutions have a closer relationship among the multiple investors with strong resource exchange and cooperation. (2) Complex dual attributes, publicity and marketability. Its publicity is reflected in knowledge spillover (paper publishing, patent acquisition), technology spillover (the whole industry research and development cost reduction), etc. Its marketability emphasizes the economic benefits brought by the transformation of scientific and technological achievements. (3) Various forms of institutions with different characteristics and functions. For example, industrial technology research institutes emphasize research and development, platforms focus on the transformation of scientific and technological achievements, etc. (4) Flexible and efficient operational mechanisms. New R&D institutions has been afforded the high degree of integration of industry-university-research collaboration innovation. Its operation and management mechanism has enterprise style, but has to balance the publicity and profit-making.At present, the public funding and policy supporting from the government are the key resource for the new R&D institutions, especially at the initial stage. Meanwhile, in order to response the concern of public finance performance, the new R&D institution has to be evaluated properly in order to ensure the goal achievement, the investment performance of public funds, etc. There are quite a few local governments or municipalities issued relevant documents on the construction and evaluation of new R&D institutions. However, as a "Fangle" scientific research institution, how to properly evaluate its performance still faces big challenges, because of its dilemma of value of publicity and marketability, the demand difference of multiple investors, the balance between personality and commonness, etc. Based on the organizational characteristics of new R&D institutions, in this paper, a performance analysis framework is built and the key performance characteristics analysis of new R&D institutions from the dual perspectives of resource dependence and social influence is presented. The construction of performance index includes four steps. Firstly, decomposing strategic objectives and identifying key performance areas. Secondly, analyzing the resource contribution and interest appeal of key subjects at different stages. Thirdly, analyzing the key investors’ resource dependency and conversion process. Finally, determining the evaluation content and core performance indicators. Shanghai Industrial Technology Research Institute (hereinafter referred to as “SITRI”) is presented as a case study, which established by the Micro-Systems Institute of the Chinese Academy of Sciences and the Jiading District Government of Shanghai. It is also one of the first new R&D and transformation functional platforms in Shanghai. Its related stakeholders include Shanghai district government, Chinese Academy of Sciences, universities, enterprises, China sensor and Internet of things industry alliance, which integrates generic industry research and development, industrialization promotion, standard formulation and technical services. Taking SITRI as a case study and demonstrating the performance evaluation and analysis framework of the new R&D institutions and constructs the core performance index system has typical representativeness. So this paper takes SITRI as an example. In general, during the construction period, the government’s performance appraisal focuses on government resource input, institution construction and resource aggregating capabilities. During the growth period, resource aggregating capabilities, technology R&D capabilities, service and industrialization capabilities are the main assessment content, and social impact is assessed. During the operational maturity, the main evaluation content focus on social impact of new R&D institutions. According to the innovation-driven development strategy, the role of new R&D institutions should not be underestimated. This paper constructs the performance analysis framework of the new R&D institutions from the dual perspectives of resource dependence and social influence, and opens the "black box" of the performance generation process. The performance evaluation on this basis could give an effectively way to break the performance evaluation dilemma of new R&D institutions. 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A study of the catch-up modes and paths in the interplay of standardization and innovation in emerging market countries：The case of India and South Africa Zhan Ailan 2019, 40(8): 92-100.  Abstract ( 172 )   With the emerging market countries have playing an increasingly important role in the international trade, economics, politics, science and technology areas, the practices of participating in the global innovation competition by means of standardization have attracted international attentions. The cases of the interplay between standardization and innovation in India and South Africa reveal different innovation modes, different catch-up paths under different type of standards. The practices of India and South Africa provide the theoretical supports and useful references for the emerging market countries, including China, to enhance their capability of innovation and standardization, understanding and participating in the division and governance of the global value chain (GVC). Based on the empirical and comparative analysis of the catch-up cases of the interplay of standardization and innovation between India and South Africa, the minimum quality and safety standard of Indian vaccine industry, the variety reduction standard of South African wine industry, and the compatibility and interface standard of medical information system industry are investigated, respectively, in promote innovation by the mechanism of proving, scaling or coordinating mode.As regards to the paths of catch-up, according to the investigation, the vaccine industry of India, based on recognizing the opportunity to address the shortage of the basic vaccine in developing countries, building up an inducing mechanism and views the international procurement as a kind of demand tool for technology learning and innovation, and then tries to internalize the international procurement standard elaborately into its various national industrial policies through the standardization process. The wine industry of South Africa, however, achieves the scale innovation by reducing variety, together with the scientific planting, modern brewing, and strict wine label management. The medical information system industry of South Africa, nevertheless, realizes the innovation catch-up by creating an attractor, synergistically building up an adaptive and hierarchical structural standard system and overcoming the heterogeneity of the infrastructure by using a critical gateway. It concludes that in the interactive process between standardization and innovation, the government, local companies, scientific research institutions, industry associations and other national actors play their different but synergistic roles. Among them, the roles of the government and the technology/industry support organization, such as the industry associations, are highlighted, as they complement the relatively weak technological capabilities of other actors. The government, on one hand, serves as a coordinator and facilitator of standardization, that include actively pulling out the diverse interests of national stakeholders to shape the direction of technical development and improve the relevance and technical quality of the national standards. The industry association, on the other hand, in the absence of competency of the traditional technology suppliers, as an intermediary between technology supply and demand, by reducing the diffusion gap on the firm and producer’s side, play a substantial role, more likely to increase the technology adoption. What is more important is that the cooperation between the government and industry associations. Finally, it suggests that the strategic focus of innovation, to some extent largely depends on how a company positioning the mechanism of standardization in the interactive innovation. Related Articles | Metrics

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Influence of community rewards on tacit knowledge sharing:The mediating role of intrinsic motivation Wang Nan, Chen Xiangxiang, Wang Haijun 2019, 40(8): 126-134.  Abstract ( 227 )   Faced with fierce market competition, the acquisition of tacit knowledge from virtual innovation community is crucial to the improvement of corporate market competitiveness. Virtual community rewards as an important measure for communities to promote tacit knowledge sharing. Although the issue of the impact of community rewards on knowledge sharing has won widespread attention and research, there are still some limitations. On the one hand, there are three controversial views on the impact of community rewards on knowledge sharing, such as negative impact, positive impact and no significant impact. On the other hand, intrinsic motivations play an important role in the process of sharing tacit knowledge. However, few scholars have studied the transformation between virtual community rewards and intrinsic motivation or the internal mechanism of intrinsic motivation between virtual community reward and tacit knowledge sharing.Virtual community reward refers to formal rewards such as community points/ ranking, badges, gifts, cash, etc., provided by administrators of virtual communities for users’ knowledge sharing behaviors, with signal function and external incentives function. Under the low-level virtual community reward, the virtual community reward as a compensatory benefit is far lower than the cost of sharing tacit knowledge. It can promote user to share tacit knowledge by conveying community’s support and encouragement to users through its signal function. With the increase of rewards, the external incentive function dominates gradually and its destructive impact on user’s intrinsic motivation is strengthened. When the constructive effect of community signal equals to the destructive effect of external incentive, users’ motivations to share tacit knowledge reach the maximum. With the continuing increase of rewards, the destructive effect of external incentive exceeds the constructive effect of community signal and rewards begin to have a negative effect on users’ tacit knowledge sharing. Therefore, we propose H1: There is an inverse U-shape relationship between virtual community rewards and tacit knowledge sharing.Sharing tacit knowledge among users is quite challenging and can bring users more enjoyment and self-efficacy. So, we assume intrinsic motivation, including enjoyment and self-efficacy exist mediation between virtual community rewards and tacit knowledge sharing. Scholars point out intrinsic motivation is a dynamic process which changes dynamically with the change of external stimulus. The different functions of different levels of virtual community reward can have different effects on user’s intrinsic motivation, which may lead to different tacit knowledge sharing levels. The signal function of low-level virtual community reward can make user perceive more enjoyment and self-efficacy during the process of sharing tacit knowledge and thus promote them sharing more tacit knowledge. Conversely, the external incentive function of high-level virtual community reward can reduce user’s sense of enjoyment and self-efficacy of sharing tacit knowledge. Moreover, the temporary compliance of virtual community reward determines that it can only stimulate tacit knowledge sharing in the short term and has no long-term effect on tacit knowledge sharing. With the increase of virtual community reward, its external incentive function becomes more and more prominent. And users are more inclined to regard their tacit knowledge sharing as a transaction which decreases their senses of enjoyment and self-efficacy, leading to serious erosion of users’ intrinsic motivations of sharing tacit knowledge. When the destructive effect of external incentive function is higher than the constructive effect of signal function, the positive influence of virtual community rewards on users’ tacit knowledge sharing is reduced. Therefore, we propose H2; Enjoyment mediates the relationship between virtual community reward and users’ tacit knowledge sharing and H3:Self-efficacy mediates the relationship between virtual community reward and users’ tacit knowledge sharing.The paper uses empirical study to test hypotheses. The paper takes 429 data as sample collected from four virtual innovation communities, such as MIUI community, OPPO community, VIVO community and Glory of Kings community. Multiple regression model is used to test the nonlinear relationship between virtual community reward and tacit knowledge sharing. And, multiple regression model and Bootstrap method are simultaneously used to test the mediation of intrinsic motivation between virtual community rewards and tacit knowledge sharing. Results show that there is an inverted U-shaped curve relationship between virtual community rewards and tacit knowledge sharing; enjoyment and self-efficacy play complete mediation between virtual community rewards and tacit knowledge sharing.There are mainly two theoretical contributions. On the one hand, this paper proposes and confirms that there is an inverse U-shape relationship between virtual community rewards and tacit knowledge sharing, which is distinct from the linear relationship results that most existing studies declare. Besides, this conclusion will encourage the debate about effects of virtual community rewards on tacit knowledge sharing and prompt the development of the theory. On the other hand, this paper demonstrates that intrinsic motivations fully mediate the relationship between virtual community rewards and tacit knowledge sharing. In the past, few scholars explore the influence mechanism of virtual community rewards on tacit knowledge sharing. We confirm that virtual community rewards impact tacit knowledge sharing according to mediating effects of intrinsic motivations, which broadens and contributes to existing related literature.Based upon the results, we have suggestions for firms to promote tacit knowledge sharing in virtual communities. First of all, the level of virtual community reward is not the higher the better and too high rewards are to weaken users’ intrinsic motivations to share tacit knowledge. For the purpose of determining the appropriate level of rewards, we can use Bayesian method to carry out comparison analysis for panel data including rewards level and tacit knowledge sharing. Moreover, Virtual communities can take some measures to enhance knowledge disseminators’ self-efficacy and enjoyment during tacit knowledge sharing in order to increase their intentions to share tacit knowledge. For example, virtual communities can design additional different forms of contests including knowledge and innovative contests besides community basic activities to enhance users’ self-efficacy and enjoyment and then inspire their intrinsic motivations to share tacit knowledge sharing. Related Articles | Metrics

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Construction of quality indexes of patent internationalization and its evaluation Zhang Mier, Li Haipeng, Guo Wei 2019, 40(8): 189-197.  Abstract ( 216 )    In the context of economic globalization, the rapid development of patent internationalization is profoundly changing the pattern of the global patent system. Related researches on patent internationalization have been paid attention to in recent years. The existing researches mainly focus on the positive effects, negative effects, corporate behaviors and patent policies of patent internationalization. However, the related research on the quality of patent internationalization is still weak, and the quality of patent internationalization has not been evaluated quantitatively. Therefore, a patent internationalization quality index is constructed to evaluate the process of patent internationalization quantitatively in China.In order to evaluate the quality of patent internationalization quantitatively,this paper firstly reviews the evolution process of patent internationalization and analyzes the operation process. The patent internationalization quality index is constructed based on the Patent Cooperation Treaty (PCT) system. Secondly, the number of nations that PCT patent applications entered is selected as an important basis for the construction of the patent internationalization quality index. There are great differences in the number of patent applications between different countries and regions. In order to reflect the quality of patent internationalization, the number of nations that PCT patent applications entered needs to be revised in terms of the total number of international patent applications. Finally, the number of nations that the PCT patent application entered is extracted based on the status of international patent applications. The cumulative number of nations that PCT patent applications entered is accumulated one by one. The ratio of the cumulative number of nations that PCT patent applications entered to the annual total amount of international patent applications is calculated. The Patent Internationalization Quality Index (PIQI) is constructed on this account.The process of patent internationalization in China since 1994 is evaluated by the patent internationalization quality index constructed by the research. Based on the time series data of patent internationalization quality index, hierarchical clustering analysis is employed to analyze the characteristics and differences of different periods. The period characteristics of patent internationalization quality in China are revealed.The results show that the overall quality of patent internationalization is still low and much lower than the quality index of the United States, Japan and Germany at the same time. The evolution process of the patent internationalization in China can be classified into two periods. The patent internationalization quality index shows a fluctuating trend from 1994 to 2009. With continuous releasing of funding policies for patent internationalization and rapid increase of international patent applications, the patent internationalization quality index shows a declining trend since 2009. The patent internationalization quality index of China has declined in recent years. The reason is that most of the international patent applications did not enter the national phase. However, the applicants of these patent applications can still apply for funding under the current application funding policies. The policies prompt a large number of invalid patent applications that did not enter the national phase, which deviate from the policy goal of patent internationalization. Therefore, in order to encourage international patent applications to enter the national phase, it is necessary to adjust patent policies for application funding and shift the focus to the national phase. Related Articles | Metrics

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Impact of patent portfolio on corporate value of Shanghai listed manufacturing companies Jia Ruiqian, Chen Song, Li Lian 2019, 40(8): 198-205.  Abstract ( 213 )   The amount of patents is one of the key indicators to measure the innovation capability of a company and even a country. However, a lot of low-quality patents are emerging in China, which delay the development of Chinese companies and they call for clear patent strategies to effectively strengthen their values. To encourage companies to launch a set of patent application, Chinese government of all levels has introduced a series of policies. But whether patents facilitate the growth of companies and enhance their competitiveness has not yet reached an agreement. So there is a necessity to explore what the roles different types of patents play in reinforcing the development of companies.The primary aim of this study is to examine the impact of patent portfolio on corporate value, and test whether patents with different degree of innovativeness have variance regarding the influence on corporate value. Existing research has not yet come to a consensus on the impact of patent on listed manufacturing corporate value. This study chooses the listed manufacturing companies in Shanghai from the year 2012 to 2016 as research objectives and explores the relations between patent portfolio and corporate value of listed manufacturing companies in Shanghai.This research collected data from the listed manufacturing companies in Shanghai from the year 2012 to 2016. To analyze the associations among all the parameters, we formulated an empirical model drawing on Tobin’s Q coefficient theory, and tested the model with multiple regression analysis.First, the amount of patents can effectively enhance corporate value, especially those patents with high quality and high innovativeness. Corporate value can be significantly advanced by adding the number of the invention patents if there is a high proportion of the invention patents in the portfolio. Second, the impact of patents on corporate value depends on their innovativeness, and patents with high innovativeness have a more significant contribution to corporate value. Due to their high innovativeness, invention patents can effectively strengthen corporate value. But we have found no significant influence of utility model and design patent on listed manufacturing corporate value. Third, among the three types of patents, invention patents have a high proportion, which shows the listed manufacturing companies in Shanghai treasure the invention patents most.This study has some limitations in terms of the measurement of patents. We use the number of patent as quantitative indicator, and distinguish patent’s quality depending on its types, which may have bias on our findings. Future research could consider using patent citation to measure its quality and strengthen research validity.This study provides theoretical reference for manufacturing companies in Shanghai to formulate patent portfolio strategy, thus effectively enhancing corporate value and facilitating a better government patent subsidy policy.This study contributes to the literature in two ways: first,this study focuses on the effect of patent portfolio on corporate value, extending the relations between patent and corporate value; and second, this study explicitly explores the different effects of all three types of patents on corporate value, enriching the research on parents and corporate value. Related Articles | Metrics

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Predicament and solution for supply of generic technology for SMEs：A case study Zhang Yanfang，Pariyesh Dharmarak 2019, 40(8): 215-223.  Abstract ( 231 )   Generic technologies empower the design of several technological applications for multiple markets, create value across several domains, and contribute to upgrading of existing industries. There are significant differences in the supply and diffusion laws of generic technologies among different innovation subjects. Particularly, small and medium-sized enterprises (SMEs) tend to be unable to study and develop generic technology, also fail to capture its external diffusion. For one thing, SMEs involved in such predicament are in the downstream position in the technology chain, and are confronted with uncertainties due to intellectual property barriers, information distortion, opportunism and other factors, further adding to the risk of obtaining generic technologies. For another thing, SMEs are eager to establish core competitive advantages to break through homogenization of competition through utilizing generic technologies, and then promote the performance of generic technologies through industrial agglomeration and division of labor. Previous studies have carried out in-depth research on the principles and characteristics of generic technologies. However, most of them focus on macro description and theoretical speculation, while offering a wealth of experience to draw on, create the illusion of homogeneity of generic technology and fail to take into account how to provide SMEs with easy access to a wider set of generic technologies. This study closes this gap analyzing a case study regarding how Thai generic technologies are developed among SMEs, attempting to address the predicament of SMEs from a perspective of international comparison. In recent years, Thailand has implemented a number of policy measures for technological innovation of SMEs. The development of generic technologies has promoted the rapid increase of added value of products. The economic contribution of SMEs in agriculture, food, and cosmeceutical industries has shown a growth trend. Thus we build on a single case study to explore and identify Thai experiences of conducting research and development in generic technologies innovation for the value creation of products and services to enhance SMEs’ competitiveness.The study setting was anti-ageingnano-cosmeceutical products developed from Thai generic technologies platform. Nanotechnology was chosen because it is widely used in many industries and is the integration of basic research and applied technology, which significantly shows the characteristics of generic technology. Thailand institute of scientific and technological research (TISTR), which is one of the Thai leading organizations in the sustainable development of innovation society, conducted a project named STI for OTOP (One Tambon One Product) Upgrade which aims to help SMEs and local community meet the challenges in introducing generic-technology-based products and processes. Under this program, Cosceutic Innovation Laboratories (CIL), a small company, developed and commercialized new cosmeceutical products containing potent grape seed extract (GSE) using nanoemulsion technology. The supportive factors include utilizing of generic technologies to develop products innovation, packaging, process and standard via mentoring system and technology consultants, also linking marketing services and financial network to operate systematically. The economic value and social value created by the STI for OTOP Upgrade project are significant. To understand how Thai transfer technology and innovation to industry, we conducted a detailed examination of each phases of the case—technology-market matching, collaborative innovation, external diffusion, which permitted analysis of the pattern of technology chain associated with both the pervasive and innovation-spanning nature of generic technologies, and modeling of important mechanisms of Thai SMEs innovation policy. We find that the pervasive nature of generic technologies was waning over the process of transformation, from the application in multi-industry to the application within the industry, to the application within the enterprises, also the pattern of technology chain experienced the transformation from basic research, to generic technology, to proprietary technology, and to commercialization research. When the generic technology overflows from the upstream of the technology chain, the cost and risk of acquiring generic technologies are significantly improved due to the enhancement of the exclusive value of technology, therefore SMEs often lack the opportunity and motivation to acquire common technologies. We argue that generic technology mechanism in Thailand has experienced a transition from technology-subsided basis to demand-driven basis, meanwhile endowing generic technologies with more public-good attributes. Precisely, over the phase of technology-market matching, policy makers organize to identify the most promising technology solutions for market applications, or the most appropriate markets for technologies. Thailand searches and integrates innovative resources to fill gaps in the domestic nanotechnology field, and strengthen the knowledge and technology accumulation to guide technology application. The key to overcome the “death gorge” transition is that relevant basic research gains value certification during the identification and selection process. Over the phase of collaborative innovation, the technology licensing arrangement set up an effective benefit distribution mechanism, which allows the universities and scientific research institutions to create a community of interests and promote synergy between industry, university and research institutes. Over the phase of external diffusion, logo endorsement, exhibition promotion and other means play a role to protect the innovation income of SMEs to stimulate innovation demands. The innovation of Thai scientific research institutes lies in the whole value chain layout, which requires scientific research institutions to have dual control and sharing channels for innovative resources and market resources, which not only enables scientific research institutions to better serve small and medium-sized enterprises, but also enables themselves to grasp the dynamics of market trends and control the risk of investment. Our results have significant implications for policy-makers interested in enhancing generic technology innovation among SMEs. First, practitioners should actively identify and guide the generic technology demand of SMEs with the national master plan. This case study support to search and integrate innovative resources to strengthen innovation capabilities. Second, to reduce the cost and risk of acquiring generic technologies for SMEs, we should strengthen financial support for SMEs and expand diversified financial channels, as well as a sound intellectual property protection mechanism to protect the benefits of innovators. Third, policy makers should set effective access rules for SMEs to promote fairness and further improve multi-level, high-level national quality system. Fourth, practitioners should build a multi-agent collaborative, full-featured SME generic technical service system to generate an overall solution for industrial technology innovation. Related Articles | Metrics

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A study of the NIH, NSF evaluation systems in the U.S.A. and its revelation to Shenzhen Li Xinglin, Gong Yi 2019, 40(8): 293-296.  Abstract ( 337 )   R&D funding and investment in basic research of Shenzhen is under rapid growth in recent years. This study firstly reviews the evaluation system of scientific-technological projects of American National Institutes of Health (NIH), American National Science Foundation (NSF), and National Science Foundation of China (NSFC). Based on this, we compare the review and evaluation system of scientific-technological projects of Shenzhen with NIH, NSF, and NSFC. The comparison results provide useful references to project reforms in Shenzhen. As the comprehensive and deepening reform is promoted in China, the development of technology plays an important role in economic and other areas in the society, and it has also become an urgent requirement in the reform processes of scientific-technological in China. The projects of NIH and NSF can be applied in several periods yearly, while most of scientific-technological projects in China can only be applied in a specific period yearly. The administrative permissions of project administrators in China are also different from those in the United States. Generally, two rounds expert evaluation are carried out in the evaluation of NIH scientific research projects. The evaluation index of scientific research projects of NIH mainly includes the significance, innovation, route, and research condition. Experts have to evaluate and grade on the projects item by item based on evaluation indicators, and point out deficiencies and making recommendations. The NSF regards academic value and wide impact as the two basic principles for project evaluation. Peer review is the major method for project evaluation both at home and abroad. The scientific-technological projects evaluation in Shenzhen also applied peer review method. However, there are also some deficiencies in peer review. For example, when consulting peer review experts in the period of project review, some innovative and challenge projects are difficult to be recognized by experts because the innovation of the projects have not yet been effectively validated. Additionally, some experts in some fields are not qualified to participate in evaluation processes, resulting in a reduction of the number of peer experts. In particular, lack of experts in some uncommon fields may receive the evaluation from an expert in other fields. The current evaluation mechanism is mainly limited by the willing and the free time of the experts. With the increase in the number of applications and the decrease of grant proportion, the potential qualified experts are becoming rare. With the rapidly growth of R&D funding and the investment of basic research of Shenzhen, how to combine scientific researches with education and how to put excellent management concepts into practice are urgent problems to be addressed. This article studies the differences of the funding policy, information management, and the construction, comprehensiveness, continuity of the scientific-technological projects management system between China and the United States. Based on the difference studies and the specific situation of Shenzhen, we give suggestions to improve the evaluation system of scientific-technological projects of Shenzhen. The key indicators for scientific-technological evaluation are proposed. The comprehensiveness and continuity of the scientific-technological evaluation system are also strengthened. This study will be function as a guidance for scientific-technological evaluation. Related Articles | Metrics