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Factor allocation and structural imbalance in regional innovation:The research progress, analytical framework and optimization strategy 2019, 40(10): 1-13.  Abstract ( 397 )    The allocation structure of innovation factors is critical in affecting regional economic development, and the imbalance of factor structure is a major challenge that restricts regional development. Therefore, the issue of how to optimize the structure of innovation factors has attracted wide attentions from the practical and academic areas in recent years. Extant researches have classified innovation factors from different perspectives. Some scholars propose that the narrow concept includes R&D personnel and R&D personnel input, while the broad concept includes innovation subject, innovation resource and innovation environment. Because the narrow concept only pays attention to resource factors, it does not take key factors such as innovation environment into consideration. In this paper, we adopt the broad concept of innovation factors, in which innovation subject refers to the main body participating in regional innovation, mainly including enterprises, universities, research institutions and the government; innovation resource refers to the object dominated by the subjects in regional innovation, mainly including talent, capital, knowledge and information; innovation environment refers to policies, institutional environment and cultural atmosphere conducive to the implementation of regional innovation activities. As for the allocation structure of innovation factors, it includes not only the allocation of input factors such as scientific and technological personnel, R&D capital and knowledge capital stock in the knowledge production function, but also the collocation and proportion relationship between and within the factors. Previous studies have shown that factor structure has different manifestations and connotations at the micro-, meso- and macro-levels. Among them, the micro-level factor structure is mainly manifested in the scale of innovation factor inputs such as talents, capital, and the ratio of innovation inputs to innovation output etc. Meso-level factor structure is mainly manifested in the interaction formed in the process of innovation activities carried out by micro-innovation subjects such as government and enterprises, they interact with resources such as technology, knowledge and talent. The macro-level factor structure is mainly manifested in the allocation of innovation subjects, innovation environment and other factors within the region, as well as the mobility of innovation factors among regions. The imbalance of factor structure refers to the unreasonable structure of the allocation of innovative factors, which fail to achieve optimal combination because excessive or insufficient factors. At different levels, the innovation factors and the imbalanced structure of innovation factors have different forms. By systematically reviewing the literature and defining the concept of innovation factors, this paper explores the forms of factor structure imbalance from micro-, meso- and macro-levels. This paper also points out the mechanism and process of factor allocation at three levels, and puts forward an analytical framework for optimizing the allocation of innovation factors. Based on this framework, we take Northeast China, a less developed region, as an example to propose optimization strategies for structural imbalance. There are inherent obstacles to economic transformation in Northeast China, such as the proportion of state-owned enterprises, heavy historical burden, heavy economic structure and strong color of planned economy. But there are also important manufacturing bases and regional advantages, national strategic opportunities for revitalizing the old industrial bases in Northeast China. At present, Northeast China is in the key period of optimizing its economic structure and transforming its growth momentum. There is an urgency to replace, upgrade and update traditional factors by innovative factors. The optimization strategy of Northeast China is mainly based on static and dynamic factors. The implementation of strategies requires the collaborative participation of the government and other micro-innovators. There are some suggestions for optimization with regards to static innovation factors. Firstly, the government should continue to give full attention to the investment-driven economic development, continuing to expand and optimize effective investment, especially focusing on the direction of emerging industries. Secondly, the government should proactively promote supply-side structural reform, implement the national “zombie enterprise” market clearance policy, and set up a special group to supervise and coordinate arrangements in the process of eliminating backward production capacity. Thirdly, Northeast China should seize the opportunity of development in the digital age, develop new technologies and promote the innovation-driven transformation from social production to enterprise operation. Fourthly, Northeast China is facing the dilemma of market shrinkage and enterprise migration. It is urgent to expand the market by introducing private capital. In addition to the large proportion of state-owned capital, the business environment in Northeast China is required to optimize. There are also some suggestions for optimization with regards to dynamic innovation factors. Firstly, the government should design and launch policies from top-down level to strengthen the aggregation of innovation factors into the region. For example, drawing lessons from the practices of developed cities such as Hangzhou, formulating talent policies in line with the Northeast China, providing a good development space for talents, granting R&D subsidies and incentives to talents etc. Secondly, the region of Northeast China is close to Russia, Korea, Japan and other countries. It has regional advantages in the Belt and Road initiative trade cooperation, which is conducive to the construction of an economic circle with regional characteristics. Specifically, it includes promoting the construction of free trade zones and foreign cooperation and exchange platforms among enterprises. In addition, there are Shenyang, Dalian, Changchun and other big cities in Northeast China. Inter-provincial urban agglomerations should be established to carry out regional cooperation among cities. Thirdly, the government can launch preferential policies to encourage the establishment of more intermediaries. Financial and technological intermediaries can also invest in policy opportunities in Northeast China to achieve their own development. Developing regional innovation platforms such as strategic alliance of industrial technology innovation to strengthen the flow of innovation resources such as technology and knowledge among enterprises, universities and research institutions. Related Articles | Metrics

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Science and technology innovation policy, innovation ability and enterprise innovation Li Zhan, Zhang Liang, Luo Exiang 2019, 40(10): 14-24.  Abstract ( 305 )   Scientific and technological innovation is a key measure to implement the quality, efficiency and motivation changes of China’s economic development. The focus of supply-side structural reform of scientific and technological innovation is to construct more accurate policies of scientific and technological innovation. However, due to the variety of science and technology innovation policies, the complexity of science and technology innovation system and the non-disclosure of policy evaluation subject information, The research on the mechanism of different science and technology innovation policies influencing on enterprise innovation lags behind the policy practice, and policy practice lacks theoretical support in turn. Therefore, basing on enterprise innovation and transformation of scientific and technological achievements, this paper evaluates the policy effect of scientific and technological innovation. Understanding the path heterogeneity of different scientific and technological innovation policies will help to build a more accurate scientific and technological innovation system from the supply side, in order to make up for the neglect of the evaluation of the effect of existing science and technology innovation policies on enterprise innovation and transformation of innovation achievements. In this paper, 234 enterprises in Shanghai are taken as samples, based on the PLS path model, and the policy documents of Shanghai are studied and sorted out., the paper divided the science and technology innovation policies into six categories: tax policy, financial policy, talent policy, fiscal policy, intellectual property policy and external normative policy, and divides the enterprise innovation ability into three stages: innovation input ability, innovation intermediate transformation ability and innovation industrialization realization ability. This paper establishes six structural equation models to compare the policy path differences of six kinds of science and technology innovation policies in the three stages of enterprise innovation industrialization, and uses radar graphics to seek for the most effective stage of innovation policy by visualizing the policy effectiveness in the three stages. By means of data analysis, this paper comes up with some interesting findings about the science and technology innovation policy, innovation ability and enterprise innovation. Firstly, six kinds of innovation policies have heterogeneous impacts on the path of enterprise innovation. Fiscal policies and external normative policies only have direct positive impacts on the innovation input ability, while financial policies have direct positive impacts on the innovation input ability and innovation intermediate transformation ability. Intellectual property policy have direct positive impacts on the〓innovation input ability and the innovation industrialization realization ability; tax policy and talent policy have a direct positive impact on the three stages of enterprise innovation ability. Different policies have different impacts on the path of innovation industrialization, which indicates that different policies should have different top-level designs. Secondly,the innovation input ability does not directly affect the innovation industrialization realization ability in the influence path of six kinds of science and technology innovation policies on enterprise innovation, It affects the innovation intermediate transformation ability, and ultimately affects innovation industrialization realization ability through innovation intermediate transformation ability. Therefore, policy setting should focus not only to increase the basic input of innovation, such as human resources and capital, but also to pay attention to the level increase on the whole chain of innovation input, innovation intermediate transformation and innovation output. Thirdly,the effectiveness of six kinds of science and technology innovation policies influence on the ability of innovation industrialization are heterogeneous. Talent policy is the most effective relative to other policies for the industrialization of enterprise innovation achievements. The effectiveness of other policies is ranked as follows: tax policy, intellectual property policy, financial policy, fiscal policy and external normative policy. Talent policy which has a significant impact on the ability of innovation industrialization shows that the key to innovation is talents. Science and technology innovation policy should keep up with the national strategic needs and the world’s scientific and technological frontier, introduce and cultivate a group of technological innovation leader to lead the team to achieve the goal of innovation. Fourthly, the effects of six kinds of science and technology innovation policies on the three stages of enterprise innovation industrialization are different. The input stage of innovation is the most effective, followed by the intermediate transformation stage of innovation, and finally the realization stage of innovation industrialization. This may due to the poor transmission mechanism of the policy. Accordingly, the government not only needs to provide policy support in macro-planning, but also needs more specific, more grounded and receptive policies. Moreover, this strong policy support must run through the whole process of transformation of industrial innovation achievements to ensure the sustained efforts and long-term success. This will also maintain a policy of coherence, determination and orientation. At last but not at least, this paper puts some recommendations to build a comprehensive, systematic and precise policy system for scientific and technological innovation.On the one hand, the top-level design of science and technology innovation policy urgently needs to pay more attention to the industrialization of science and technology innovation achievements. It can increase investment and support in the intermediate transformation stage of innovation, such as encouraging enterprises to apply for patents, accelerate the pace of R&D and so on. In addition, the policies can focus on the demand side of commodity application and the application of technology in the stage of the realization of innovation industrialization. Such as building a public platform to collect market demand, connect enterprise R&D and market demand docking, and realize the transformation of scientific and technological innovation achievements. On the other hand, science and technology innovation in policy making should pay attention to the path differences of different policies, and make efforts to the weak links of the impact of science and technology innovation policy path. For talents, taxation and intellectual property policies with relatively better policy effectiveness, more attention should be paid to the guidance of policy formulation; for the slightly weaker effective policies like fiscal procurement, external normative policies and financial policies, more attention should be paid to the measures, implementation methods and effectiveness of policies. Related Articles | Metrics

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An analysis of the efficiency and influencing factors of university innovation in China from the perspective of value type Wang Xiaozhen, Jiang Zihao 2019, 40(10): 25-36.  Abstract ( 242 )   “Innovation leads development” has become a broad consensus. Chairman Xi pointed out that technological innovation is not only conducive to the Chinese breakthrough of major key core technologies in the field of strategic competition, but also conducive to opening up new industrial development directions and key areas, and cultivating new economic growth points. As the main body of basic research, universities are the main source of major original innovation achievements. They shoulder the four basic functions of talent cultivation, scientific research, social service and cultural inheritance, which are of vital importance in the process of national innovation system building. For the innovation activities of universities, economic value and social value are the value of university innovation activities. With the expression of university innovation activities in the economic development and the enhancement of regional innovation ability, the core importance of university innovation——social value is becoming the key to the construction of an innovative country. However, the existing research mainly focuses on the economic value efficiency of university innovation and lacks deep concern about the efficiency of social value. Under this background, this paper firstly defines the social value of university innovation as the indirect, altruistic, non-market and common value benefits of the university through the research and innovation activities to meet the needs of enterprises, government and society. Then, based on the synthetical perspective of economic value and social value, the DF-DEA model is used to measure the efficiency of economic value and social value of universities innovation, and the dynamic evolution process of efficiency and the trend of efficiency change are analyzed. Finally, the panel Tobit model is employed to analyze the influencing factors of university innovation efficiency. The research shows that:(1) From 2011 to 2015, the efficiency of economic value of provincial university innovation in China is relatively high but fluctuating much, and the efficiency of social value is relatively low but stable. Specifically, the regional division of the two types of efficiency is very different. Very few regions are divided into high-efficiency regions with economic value efficiency, and there are more regions with high social value efficiency. From the perspective of different value types, the provinces with medium efficiency are relatively large and widely distributed, covering different parts of China’s eastern, central and western regions. The perspectives of low-efficiency regions vary greatly from the perspective of different value types, and most of the economically inefficient regions are concentrated in the west, while the areas with low social value are mainly concentrated in the eastern region. (2)Further analysis with kernel density estimation found that the distribution curve of the nuclear density estimation of the innovation efficiency of economic value of provincial universities in 2011-2015 moved to the right as a whole, which more intuitively reflects the overall improvement trend of the economic value of scientific research in China. Specifically, 2014 is a watershed in the change of the nuclear density distribution curve of innovative technology efficiency in universities. Before 2014, the overall nuclear density distribution curve of university innovation efficiency moves to the right and the peak height increases, indicating that the overall value of efficiency of economic value of provincial university innovation in this period increases but the provincial difference increases either; after 2014, the nuclear density distribution curve moves to the left and the peak height decreases, indicating that the efficiency of economic value of provincial university innovation declines in the whole period but the provincial differences decreases. From 2011 to 2015, the nuclear density distribution curve of efficiency of social value of provincial university innovation shows the obvious “one-peak” trend, indicating that social value efficiency is concentrated at a higher level. In addition, the nuclear density distribution curve of efficiency of social value of provincial university innovation moves to the left as a whole and the peak height rises, which intuitively reflects the overall downward trend of the efficiency of social value of provincial university innovation in China. (3)Using the panel Tobit model to analyze the innovation environment, it is found that economic advantages, location advantages, government support, and infrastructure conditions have a significant impact on the efficiency of economic value of provincial university innovation. In particular, in terms of economic advantages, per capita GDP has a significant negative correlation with the efficiency of economic value of provincial university innovation, which indicates that the level of regional macroeconomic development and the scientific research innovation of universities are inhibited. The added value of the tertiary industry as a percentage of GDP has a positive contribution to the value of the efficiency of economic value of provincial university innovation, indicating that the higher the demand for innovation in high-tech industrial developed areas, the more beneficial it is to the development of economic value efficiency. In terms of location advantages, the efficiency of university innovation in provinces close to the eastern region have a rising trend both in terms of economic value and social value. This may be mainly related to factors such as the scientific research base in the eastern region and the importance attached to technological innovation. In terms of government policy support, the per capita public education funds have a great positive impact on the efficiency of economic value and social value of provincial university innovation, and the government’s influence on social value is greater than economic value. The status of infrastructure is positively correlated with the innovation efficiency of universities. On the one hand, good infrastructure conditions enhance the capacity of cultivating researchers, which is conducive to the development of research and development activities in universities. On the other hand, the optimization of infrastructure level further reduces costs in the process of the transfer of innovation output. Through the two efforts above, the efficiency of economic value and social value of university innovation is improved. And finally, the paper proposes countermeasures to improve and optimize the efficiency of economic value and social value of university innovation. Related Articles | Metrics

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Does cross-border M&A enhance Chinese MNCs’ R&D ability? An evidence from nations along the Belt and Road Zhou Jingjing, Jiang Weiwei, Zhao Zengyao 2019, 40(10): 37-47.  Abstract ( 266 )   Since the implementation of the “going out” strategy, the number of cross-border M&As of Chinese companies has grown rapidly and is increasingly inclined to pursue technology, branding and specialization. According to the data of the Ministry of Commerce of the People’s Republic of China, the average growth rate of cross-border M&A transactions of Chinese enterprises between 2004-2014 was as high as 34.21%. Cross-border M&A has become the main way for Chinese enterprises to invest abroad. The increase in the number of mergers and acquisitions in the industrial manufacturing, high-tech industries and medical and health industries shows that Chinese enterprises are using cross-border mergers and acquisitions as leverage for their ability to jump, to acquire the technology, resources and brands of target enterprises, and to improve their own capabilities. Then, does the overseas M&A activity of Chinese companies promote the improvement of their R&D innovation capabilities? The academic community has had a heated discussion on this topic, However, most of the existing studies are more concentrated on micro- and meso-level while rarely on the macro-level, which makes it impossible to distinguish the impact of cross-border M&A on micro-enterprise R&D innovation. In terms of research methods, existing researches often directly analyze the relationship between cross-border M&A and R&D innovation, but fail to identify the net effect of cross-border M&A. With the launch and implementation of the Belt and Road initiative, China has successively signed the Belt and Road cooperation agreements with a number of countries. Under this background, it is necessary to make an objective evaluation of the impact of cross-border mergers and acquisitions on the innovation capability of Chinese enterprises along all the other countries along the way, in order to determine whether these mergers have spillover effects and thus enhance the innovation capability of enterprises. For above all, this paper attempts to adopt the Chinese enterprises’ M&A data alongthe Belt and Road from 2001 to 2014 from the micro-enterprise level. Based on the benchmark regression model, the PSM method is used to further analyze the impact of Chinese enterprises’ M&A on the parent company’s R&D innovation from the perspectives of categories of merged industry, region of parent company and the country of acquired company. The empirical results indicate that: (1) In general, cross-border mergers and acquisitions under the “going out” strategy have a significant positive effect on the R&D intensity of multinational corporations. Chinese enterprises’ cross-border mergers and acquisitions ofthe Belt and Road countries have significantly enhanced the R&D level of multinational enterprises; (2) The differences in the types of industries and regions in which multinational enterprises are located make the effectiveness of R&D promotion brought about by cross-border M&A quite different. The specific performance are as follows: Firstly, compared with labor-intensive industries, cross-border M&A has greater effect on enhancing R&D intensity of capital-intensive industries. Secondly, he regional differences of R&D intensity of transnational mergers and acquisitions show the pattern of "Eastern - Central - Western" decreasing in turn; (3) The influence of industry similarity between M&A companies and acquired enterprises on R&D intensity of cross-border M&As show that: M&A in the same industry will significantly increase the R&D intensity of labor-intensive industries, and capital-intensive industries will be the opposite; (4) The spillover effect of China’s the Belt and Road cross-border M&A on the R&D and innovation capability of the parent company is significantly related to the R&D and innovation capabilities of the countries (regions) where the target enterprises are located. Based on the above research conclusions, this paper propose the following policy recommendations: First of all, it is necessary to build a policy environment and support system forthe Belt and Road cross-border mergers and acquisitions, and release the dividend for the development of Chinese enterprises. On the one hand, the government needs to give certain preferential treatment and support to the cross-border mergers and acquisitions of countries along the Belt and Road in macroeconomic policies, and enhances the implementation of policies; on the other hand, the government should actively carry out business cooperation with the countries along the route and sign the Belt and Road cooperation agreement, so as to provide convenience for Chinese enterprises.  Secondly, we must break the barriers that hinder the flow of innovation factors and promote the coordinated development of regional innovation capabilities. Affected by the level of economic development and resource endowment, the innovation capabilities of various regions in China have shown significant differentiation characteristics, and the development of regional innovation capability has been seriously uncoordinated, which has led to the regional differences in R&D intensity of multinational enterprises caused by cross-border M&A show a decreasing pattern of "eastern - central - western". Thirdly, we must speed up the implementation of the Chinese standard "going out." China should cultivate the technological innovation capability of local enterprises, support the growth of local competitive enterprises, strengthen the protection of intellectual property rights, continuously deepen the reform of standardization work, encourage all stakeholders to actively participate in the formulation and implementation of international standardization, promote economic and trade cooperation among countries around the world through realizing standardization cooperation, and give full play to the supporting role of standards in promoting the construction ofthe Belt and Road. Finally, it is necessary to further optimize the introduction, digestion, absorption and re-innovation of foreign technology, and attach importance to cultivation of independent innovation capabilities. In the early stage of reform and opening up, the introduction of advanced technology from developed countries has become an important way for China to catch up with the social, economic and technological innovation. However, with the rapid development of China’s economy and society, excessive dependence on foreign technology has caused a substitute for local innovation. Due to lack of independent innovation capability, enterprises still stay in the initial stage of pure technology introduction, and cannot realize the transition from “introduction” to “absorption-re-innovation”. For Chinese enterprises, it is necessary to vigorously cultivate their independent innovation ability, achieve the balance between technology introduction and independent innovation, strengthen basic innovation research, and formulate strategies to improve their innovation ability suitable for their own industrial development. Related Articles | Metrics

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Is there a threshold for the incentive effect of preferential tax on technological innovation:An empirical analysis from the perspective of ownership structure Pan Xiaozhen 2019, 40(10): 48-57.  Abstract ( 198 )   A large number of studies have shown that technological innovation is an important source of economic growth in a nation, which can promote economic transformation and social development. The enterprise is an important subject of technological innovation. However, due to the characteristics of high risk and positive externality of technological innovation, the government is in urgent need of formulating fiscal and tax policies to stimulate it. Tax preference is an important policy tool for governments of various countries to stimulate enterprises’ technological innovation. The preferential tax policies adopted by the Chinese government to encourage enterprises’ technological innovation mainly include the 15% nominal tax rate of enterprise income tax for high-tech enterprises. Compared with the 25% statutory tax rate, the cut of 10% nominal tax rate can bring a lot of tax preferential benefits to enterprises. To be recognized as a high-tech enterprise, an enterprise must meet a series of preconditions such as the proportion of technical personnel and the proportion of R&D expenditure. Therefore, tax preferential policies can guide enterprises to increase the input of human and financial resources in technological innovation, and it has an incentive effect on enterprises’ technological innovation activities in theory. However, the academic research conclusions on the incentive effect of tax preference on enterprise technological innovation are inconsistent, mainly because the implementation effect of tax preference is restricted by objective factors such as equity structure. If the ownership structure is regarded as the threshold variable, then the incentive effect of tax preference on enterprises’ technological innovation behavior will vary greatly under different ownership structure conditions. This paper mainly examines the ownership structure of enterprises from the two aspects of "quality" and "quantity". The "quality" mainly reflects the nature of equity structure characteristics. There are a large number of state-owned enterprises in China’s listed companies, and in recent years, many listed companies began to implement the management equity incentive to reduce the agency cost of enterprises, so the proportion of state-owned shares and the proportion of management shares have an important impact on enterprise technological innovation behavior. The "quantity" mainly reflects the quantitative characteristics of enterprise ownership structure. The higher the degree of ownership concentration, the greater the influence of major shareholders on the decision-making of enterprise technological innovation behavior. In the existing research, some kinds of literature have discussed the marginal impact of ownership structure on the implementation effect of tax preference policies for technological innovation. The research method is mainly to add the interactive term of tax preference and ownership structure into the multiple regression model. However, the theoretical analysis in this paper shows that the actual effect of tax preference policies may not be single under different ownership structure conditions, and the research method of interaction term ignores the threshold effect of tax preference policies under different ownership structure. Therefore, to verify the research hypothesis, three econometric models are proposed in this paper: multiple regression model not considering interaction terms, multiple regression model considering interaction terms, and panel data threshold effect model. Compared with the traditional multiple linear regression model, the advantages of the panel data threshold effect model are 1.The nonlinear form of the model is not given in advance, and the threshold value and threshold quantity are determined by the endogenous sample, to avoid the subjective arbitrariness of the research conclusion caused by the artificial threshold value. 2.The significance of threshold value can be tested by the self-sampling method. In the model in this paper, the explanatory variable is R&D expenditureRd, which is calculated by dividing R&D expenditure to operating income. The explanatory variable tax preference Taxpre is measured by "Taxpre= Statutory tax rate - Nominal tax rate" proposed by Xiaozhen Pan and Fengxi Pang, in which the statutory tax rate is 25% and the nominal tax rate is the actual corporate income tax rate. The results show that there are thresholds for the incentive effect of tax preference on technological innovation. The threshold value of the proportion of state-owned shares is 11.13%. When the proportion of state-owned shares is lower than the threshold value, tax preference can effectively promote enterprises’ technological innovation activities. When the proportion of state-owned shares is higher than the threshold value, tax preference is not conducive to enterprises’ technological innovation activities. The threshold value for the proportion of management shareholding is 17.78%. When the proportion of management shareholding is lower than or equal to the threshold value, tax preference has no impact on enterprise technological innovation. When the proportion of management shareholding is higher than the threshold value, tax preference can effectively encourage enterprises to carry out technological innovation activities. The threshold value of ownership concentration is 34.60%. When the ownership concentration is lower than or equal to the threshold value, tax preference can effectively promote enterprise technological innovation activities. When the ownership concentration is higher than the threshold value, tax preference has no impact on enterprise technological innovation. According to the above research conclusions, the policy suggestions of this paper is that, based on the important strategic position of technological innovation in promoting national development, the Chinese government must continue to implement and improve the current tax preference policies for high-tech enterprises. However, in the process of policy implementation, we should pay attention to the threshold effect of tax preference policies. With a certain proportion of state-owned shares, proportion of management shares and degree of ownership concentration, it is difficult for the tax preference policy of technological innovation to exert its due policy effect. Therefore, in the continuous improvement of tax preference policies for high-tech enterprises, it is necessary to further clarify and optimize the preconditions for enterprises to enjoy tax preference policies, properly consider the threshold effect caused by the difference in ownership structure, and ensure that the theoretical effect of tax preferential policies can be truly realized. Related Articles | Metrics

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An evolutionary analysis on government subsidies and the continuous adaptive innovation of Chinese high-tech industry Zhou Shanshan, Sun Yuejia 2019, 40(10): 58-72.  Abstract ( 229 )   “Building the national innovation system and strengthening the scientific and technological capabilities” was put forward on the 19th National Congress of the Communist Party of China. In recent years, government subsidies have played an critical role in improving the industrial innovation capabilities especially on the Chinese strategic emerging industries which are mostly high-tech industries. However, there are a lot of arguments against government subsidies which will improve the industrial innovation capabilities and might push the private innovation funds out. Developing countries and emerging enterprises might get their competitive advantages and reduce catching-up processes by learning foreign technologies through continuous adaptive innovation. China, a developing country, is in urgent need of strengthening researches which are aimed at improving high-tech industry continuous adaptive innovation at present by government subsidies. Technology S curve is a traditional method of analyzing these problems and has always been used by scholars. Even if theoretical analysis has been conducted, few empirical analysis was carried on. This paper uses a regression of technology S curve through Gaussian function curve fitting. Random variables describe the initial state of participants, which matches with the reality. In this study, our mathematical framework mainly contains three sections. First,this study collected and disposed two decades data from 1995 to 2015 which is based on a official document——Classification of High-tech Industries (Manufacturing Industry) (2017). After unifying the income of new products and specifying initial time points, we used the software MATLAB R2012a to conduct the fitting analysis of Gaussian function and its deformation. R2 (coefficient of determination), SSE (Sum squared error performance function) and RMSE (Root-mean-square error) are three factors which provide measures of how well observed outcomes are replicated by the model. Second, this mathematical model considers a game with two limited rational enterprises (players) who product homogeneous products and choose different technological innovation stages. This paper only takes pure strategies and simultaneous strategies into consideration neglecting mixed strategies and sequential strategies. There are a series of hypothetical premises. Each enterprise has to make a selection either by choosing incremental technology innovation or choosing radical technology innovation. ci denote the marginal cost of product respectively, fixed costs of two enterprises are zero. i denote enterprise i. Enterprise i has a marginal cost ci. tij denotes the initial stage of enterprise respectively. Enterprise chooses radical technology innovation stage, which is denoted j=1. Enterprise chooses incremental technology innovation stage, which is denoted j=2.wi denote the research and development skills of unit product respectively.P(Q)=a－eQ denote the inverse demand function, while Q=q1+q2.a denote the capacity of market. e denote the scope of inverse demand function. qi denote the output of new product. Both of the enterprises make their outputs decisions independently without knowing competitors information. Ii denote the initial investments.y=Ae－(〖SX(t－BΦSX))2denote the stage of product. Adenote the maximum yield.B denote the maximum time point. Φ denote the deviation of figure. ri denote the coefficient of government subsidies. The enterprise who chooses radical technology innovation receives a higher subsidy coefficient from initial investments and innovation products. Nevertheless, the enterprise who chooses incremental technology innovation only receives subsidies from initial investments. Third, let us define a two dimensional payoff matrix based on individual revenue function under the condition of government innovation subsidy policy. Using evolutionary method and thought establishes two replicator dynamics equations and analyzes the equilibrium points.We can investigate the stability of an equilibrium point for a system of nonlinear equations and analyze the local stability. After simulating Gaussian function and setting up the mathematical model, we have three main findings:(1) The initial technological innovation conditions of enterprises and competitors within the high-tech industry directly affect the overall continuous adaptive innovation behavior of the high-tech industry. If the proportion of enterprise choosing radical technology innovation is high, other incremental technology innovation enterprises tend to choose radical technology innovation to enlarge their competitive advantages and improve their performances. Therefore, when making a new policy, government should not only support the enterprises whose initial resources are sufficient to improve continuous adaptive innovation, but also consider to cultivate the technological innovation capacities of relevant enterprises. (2) Under the government subsidy policies, the high-tech industry which has larger market needs less time to reach the stable state, tending to choose radical technology innovation to enlarge their competitive advantages and improve their performances. The variation of slope of inverse demand curve changes the evolutionary direction, path and the time to reach the stable state. The levels of high-tech innovation are effected by different market demand elasticity. These results have corresponding conditions of domestic development of high-tech industries, such as China Mobile Communications Group. Compared with other industries,this industry has a significant ability of continuous innovation. It is attribute to the strong government support and the fact that China has the largest mobile communication market. Therefore, when making a new policy, government needs to take a lot of factors into consideration, such as market, demand elasticity to optimize innovation behaviors of industry. (3) Under the government subsidy policies, high-tech industries which have lower marginal costs need less time to reach the stable state, tending to choose radical technology innovation to enlarge their competitive advantages and improve their performances. High level subsidies reduce the time to reach the stable state.Therefore, when making a new policy, government needs to investigate the endowments of industries in detail. Increasing the intensity of subsidies and giving marginal cost advantage enterprises some priorities are effective methods that policy makers can use to rise the capacity of continuous adaptive innovation. An evolutionary game with two groups of players has been proposed in this study for describing the stages of players’ technology innovation under the government subsidies. Finally, this study has the following limitations. (1) This paper doesn’t consider other participants such as research institution, but only considers pure behavior strategies and two players under the limitations of this evolutionary model. For further research, an evolutionary model which contains multiple participants could be set up. (2) This paper neglects the chain effects that individual decision might be affected by other participants. For further research, an evolutionary model which contains chain effect could be set up. Related Articles | Metrics

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Does the weighted tax deduction for R&D costs promote firms’ innovative capability?—— The full perspective of innovation chain Feng Ze, Chen Kaihua,Dai Xiaoyong 2019, 40(10): 73-86.  Abstract ( 374 )   Government support for innovation is economically justified to address market failures and has the potential to stimulate firm innovation in terms of both R&D inputs and innovation outputs. While it has been widely acknowledged that government incentives can effectively promote corporate innovation, there are growing concerns on issues like input-output mismatches, imbalanced subsidy structure and so on. To address those concerns, this paper attempts to investigate if weighted tax deduction for R&D costs can effectively stimulate firms’ innovation activities and improve their innovative capability from the the full perspective of innovation chain.  Despite the economic justification of the use of R&D tax incentives as an innovation policy, the empirical evidences on the effectiveness of the policy remains mixed. Specifically, profit-driven firms may use the capital surplus from tax incentives to maximize private benefits or focus on short-term projects, which will not lead to higher social benefits. In this case, the R&D tax incentives do not close the gap between private and social benefits. On the other hand, the R&D tax incentives may also face potential moral hazard due to the information asymmetry between the firms and government. That is, firms may replace private R&D expenditures with tax incentives and do not necessarily spend more on R&D. Therefore, as a mere investment-oriented incentive policy, whether tax incentives can effectively stimulate firms’ innovation investments and thereby further promote the R&D outputs and economic profits, becomes the main concern of the current studies. Based on the perspective of innovation chain, this paper divides the innovation process into two stages, namely, the technological research and development (R&D) stage and the technological transformation stage, to further analyze the effects of the typical policy tools of the R&D tax incentives -- tax deduction for R&D costs on input, output and profit sides. This paper also introduces the concept of innovative capability, which is decomposed into technological R&D capability and technological transformation capability correspondingly, to assess the effectiveness of the tax deductions for R&D costs comprehensively. To deal with the endogeneity problem arising from selection bias, this paper combines the Propensity Score Matching (PSM) and Difference-in-differences (DID) models to evaluate the effectiveness of the tax deduction policy. The PSM-DID method combines the advantages of PSM and DID models and, to some extent, eliminates their respective shortcomings. DID model controls the influence of unobservable time-invariant factors. and PSM model controls the selection bias of cross-sectional data. The use of PSM-DID model also better satisfied the common trend assumption that is required by the DID approach. The data used in this paper are about high- and new- technology enterprises (HNTEs) operating in the Beijing Zhongguancun science park during the period from 2005 to 2015. The HNTEs in Zhongguancun have rich innovation resources, and they are often treated as pilot enterprises for tax incentives, so that they can directly and quickly respond to the tax deduction policy.  This paper investigates the impact of the tax deduction policy on firms’ R&D inputs, R&D outputs and economic profits to infer the impacts on firms’ innovation capability. In the input, output and profit sides, both scale and intensity measures are employed to measure the firms’ innovation. From the perspective of R&D inputs, this paper selects the amount of R&D investments of enterprises as the scale indicator, and the intensity indicator is measured by the ratio of firms’ R&D investments to the total revenues. At the output side, considering the time lag in the process of patent authorization and the influence of some uncontrollable subjective factors, this paper selects the number of patent applications as the scale indicator, and the ratio of the number of patent applications to the number of employees as the intensity indicator. From the perspective of profit side, the scale indicator is characterized by the sales revenues of new products, and the intensity indicator selected is the ratio of sales revenues of new products to total sales revenues. In addition, in order to make the estimation results more accurate, this paper chooses firm size, return on assets (ROA), rate of return on common stockholders’ equity (ROE), intangible assets, exports, and age as the control variables. Our study provides empirical evidence on the effectiveness of tax deduction policy in stimulating firm’s innovation. On the input side, empirical results suggest that tax deductions for R&D costs can effectively promote private R&D investments as the intended goal of the government. On the output side, the tax deductions for R&D costs only increases the scale of R&D outputs, while cannot increase the output intensity. Furthermore, on the profit side, the tax deduction policy have a significant effect on the scale and intensity of economic profits. The findings of this paper affirm the guiding role of tax deduction policy and its positive effectiveness in the improvement of firm’s innovative capabilities.  This paper provides a new perspective for the study of tax deduction policy by introducing the concept of innovation chain. Revealing the influence of tax deduction from the perspective of the innovation chain, this research not only deepens the understanding of the tax deduction policy, but also expands the research framework of the existing researches on innovation policy evaluation, and lays a preliminary theoretical foundation for the further exploration of various innovation policies from the perspective of innovation chain and innovative capability. In addition to theoretical contributions, this research provides empirical evidence  for the debate of the effectiveness of tax incentives at the firm level. Through the advantages of firms’ data, this paper chooses the typical tax incentives—the tax deduction for R&D costs as the research object, instead of confusing the differences between the different tax incentive tools. At the same time, different from the existing researches that have focused more on the tax deductions for R&D costs from the perspective of input side, this paper divides the innovation process into the technological R&D stage and the technological transformation stage and comprehensively evaluates the influence of tax deductions for R&D costs from firm’s innovation inputs, outputs and economic profits. The findings of this paper may help to enhanced management and implementation of tax incentives from the full perspective of innovation chain and firms’ innovative capability. Finally, we proposed some corresponding policy recommendations for better policy design and implementation. Related Articles | Metrics

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Dual effect of environmental regulation on enterprise’s eco-technology innovation Cai Wugan, Li Qingqing 2019, 40(10): 87-95.  Abstract ( 264 )   As the second largest economy in the world, China has achieved world-renowned achievements in its economic development while the environmental pollution problems caused by the development cannot be underestimated. According to the 2018 Environmental Performance Index (EPI) released by Yale University, China’s EPI ranks 120th among the 180 participating countries, and the air quality ranking is particularly low. Environmental pollution damages the image of our country, harms the health of every people, affects social welfare and hinders the sustainable development of the economy. Enterprise eco-technology innovation is an important measure to resolve the contradiction between economic development and environmental pollution. However, eco-innovation has dual positive externalities, so it needs to be stimulated by reasonable and effective environmental regulations. At present, researches on the effect of environmental regulation on enterprise eco-technology innovation have become one of the hottest topics, but scholars mainly consider the direct effect of environmental regulation on enterprise eco-technology innovation based on a single perspective, and ignore the indirect effect of environmental regulation on enterprise eco-technology innovation. The research conclusion on whether and how environmental regulation effects enterprise eco-technology innovation has not yet formed consensus in the academia. Therefore, it is difficult to provide credible evidences for adopting environmental regulations. In order to realize the “five in one” plan, implement the innovation-driven development strategy, and exert the incentive effect of environmental regulation on the enterprise eco-technology innovation effectively, this paper analyzes the direct impact of environmental regulation on enterprise eco-technology innovation through “compliance cost effect” and “innovation compensation effect”, and analyzes the mechanism that environmental regulation affects enterprise eco-technology innovation indirectly through factors such as FDI, factor structure, industrial structure and R&D investment. Then based on the panel data of China’s 30 provinces from 2005 to 2015, the paper explores the command-controlled, market-motivated and public-involved environmental regulations towards their direct and indirect effects on enterprise eco-technology innovation by Sys-GMM estimation method. Through the analysis of empirical study, the following conclusions are drawn: on the one hand, the direct effects of the three different types of environmental regulations including command-controlled, market-motivated and public-involved environmental regulations on enterprise eco-technology innovation present “U-shaped” curve.  The reasons are as follows. First, the command-controlled environmental regulation is mandatory, and in this case, enterprises passively accept the “one size fits all” environmental regulation tools. In order to meet environmental standards, it is necessary to purchase pollution treatment equipment or even shut down heavy pollution projects for the enterprises, which will inevitably increase enterprise management and prevention cost in the short term, crowd the enterprise’s eco-technology innovation R&D investment, result in “compliance cost effect”. In the long run, enterprises will transform and upgrade in the ecological industry chain. Then, the negative effect is gradually eliminated and the “innovation compensation effect” will occupy a dominant position.  Second, market-motivated environmental regulation mainly relies on market price to induce enterprise eco-technology innovation. The implementation effect of environmental regulation is directly related to the perfection of market trading system, trading order and environment. At the initial stage of market-motivated environmental regulation, the market mechanism is imperfect, and the effect of enterprise eco-technology innovation is inevitably greatly reduced. With the continuous improvement of market mechanism, market-motivated environmental regulations such as tradable permits, environmental subsidies, deposit-return systems can increase the income of enterprise eco-technology innovation and stimulate enterprise eco-technology innovation. Third, public-involved environmental regulations are not a mandatory pressure, mainly through the power of non-governmental organizations to promote enterprise eco-technology innovation. Only when the public participation type environmental regulation reaches a certain level that enterprises will be induced to carry out eco-technology innovation. The FDI, factor structure and R&D investment significantly promote enterprise eco-technology innovation while the industrial structure and education investment do not have expected positive effect on enterprise eco-technology innovation. On the other hand, the indirect effect of environmental regulation on enterprise eco-technology innovation is affected by FDI, factor structure and R&D investment. Among them, environmental regulation has positive effect on enterprise eco-technology innovation through FDI and R&D investment, which is in line with theoretical expectations. But environmental regulation has a negative effect on enterprise eco-technology innovation through factor structure, which is contrary to theoretical expectations. The main reason is that China’s environmental regulation intensity is small in the present situation, the market-motivated and public-involved environmental regulations in the sample are on the left side of the “U-shaped” curve’s inflection point, so it fails to prompt enterprises to achieve the change of factor structure, resulting in distortion of resource allocation, and finally producing offsetting effects on enterprise eco-technology innovation.  The policy implications of this paper are as follows. First, the government should optimize the environmental regulation portfolio and set the environmental regulation intensity rationally, for example, the government can improve the sewage tax and the resource tax, issue ecological compensation, carry out environmental subsidies, and implement tradable sewage permit and deposit-return system to encourage enterprise eco-technology innovation. Second, the government must learn to use public power to deal with environmental issues, further clarify public environmental participation rights through legislation, establish public green access to environmental governance, and strengthen public opinion supervision on enterprise environmental behavior. Third, the government can establish the long-term mechanism which will drive industrial structure adjustment, promote the rationalization and upgrading of industrial structure, lead the enterprise from relying on resources and cost advantages to relying on technology and brand advantages to reduce resource consumption production models and traditional path dependence, and develop clean and environmentally friendly industries of high value-added, less environmental pollution and sustainable. Finally, the government ought to loosen the factor market, coordinate the proportional relationship between various factor inputs, change the energy-driven economic growth model gradually, and promote cross-regional factors of production such as labor and capital flows relying on breaking administrative barriers and eliminate local protectionism to free "bonus system" in order to improve the efficiency of elements configuration. Related Articles | Metrics

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Is the policy effect equivalent? ——A comparative analysis based on ownership Liu Lanjian, Li Huixu 2019, 40(10): 96-105.  Abstract ( 225 )   Technological innovation is the key to realizing economic transformation and development. Enterprise research and development (R&D) activities are the central link to achieve technological innovation and an important driving force for economic transformation and development, but due to the externalities of corporate R&D activities. It is often necessary for the government to encourage innovation activities of enterprises through research and development subsidies and tax reductions. At the same time, with the establishment and improvement of the socialist market economic system, the ownership structure of Chinese enterprises has developed in a diversified direction, forming a mixed structure of state-owned and state-controlled enterprises, private enterprises, Hong Kong, Macao and Taiwan investment enterprises, and foreign-funded enterprises. . Because of the nature of property rights and the operating environment, companies of different ownership types often exhibit different behavior patterns and organizational characteristics. So how efficient is the innovation of these companies when they use government-provided technology funding? For companies with different ownership systems, will the same innovation resources input achieve the same effect? The study of these issues can make the influence of ownership form on innovation efficiency more clear, provide reference for the government to formulate relevant science and technology policies, and improve the efficiency of innovation resource allocation. From the perspective of enterprise innovation performance and government-funded resource input, this paper empirically analyzes the effectiveness of innovative resources of state-owned and state-owned holding companies, private enterprises, joint ventures, limited liability companies, and foreign-funded enterprises, and uses pulses. The response function and variance decomposition methods are used to study the impact of R&D investment such as government subsidies and tax incentives on innovation performance and the differences among different ownership enterprises. Since the quality and quantity of enterprise innovation output cannot be directly measured, and the patent reflects the level of technological innovation of the enterprise at a certain level, the previous research usually adopts the number of patent applications or the number of patent grants as the innovation output indicators of the enterprise. In addition, relevant scholars believe that because patent authorization is interfered by more human factors, there is certain uncertainty, and the number of patent applications using patent applications instead of patent grants can better reflect the true level of innovation , therefore, this paper selects the patent application amount as the patent output index, which can better reflect the technological innovation achievements of the enterprise. In order to test the impact of different government funding methods on corporate innovation, we use the government’s direct subsidies and tax incentives as independent variables, and use the funds from the government’s science and technology activities from the government funds and the government to enjoy the technology. The tax reduction developed is used as a proxy variable. Other influencing factors are used as control variables. Considering that human resource ownership is an important factor affecting enterprise innovation, enterprises with more human capital are usually more willing to carry out R&D and innovation activities. Therefore, using R&D personnel’s full-time equivalent manpower as the agent control variable of human capital, the previous research is used. The introduction, digestion and absorption of technology is an important way for enterprises to improve technology and improve innovation productivity. This paper adds the technology acquisition and transformation expenditure as a control variable to examine the effect of technological factors on innovation performance. According to scholars’ research, the scale of enterprises also has an important impact on the innovation behavior of enterprises. Generally speaking, the size of state-owned enterprises is larger than that of ordinary private enterprises, and the resources for innovation are more abundant. Therefore, it is necessary to consider the factors of enterprise scale in building models. The regression results show that the direct government funding has not shown a strong role in promoting the innovation output of enterprises. The utilization rate of direct government funding by Chinese enterprises needs to be improved. However, the tax preferential policies have a positive impact on the innovation output of limited liability companies, joint stock companies, private enterprises and foreign-funded enterprises, but have not shown significant effects on state-owned and state-controlled enterprises, indicating that they are of limited liability companies. For enterprises, tax incentives can promote innovation output more effectively. In the impulse response diagram, we can see that the impact of the government’s direct funding of this form of subsidy on the innovative output of state-owned enterprises, joint-stock companies and Hong Kong, Macao and Taiwanese investment enterprises is not very obvious, basically near zero. However, the innovation output of joint ventures, joint stock companies and private enterprises has a long-term negative impact, indicating that the direct subsidy of the government has a limited effect on the innovation output of China’s inland enterprises. To a large extent stimulate the innovation output of enterprises. Although the form of subsidy for tax incentives has not had a major impact on the innovative output of state-owned enterprises and joint-stock cooperative enterprises, the patent output of joint ventures, joint stock companies, private enterprises and Hong Kong, Macao and Taiwanese investment enterprises has emerged. The positive impact indicates that a more favorable tax policy for such enterprises can promote the innovation and development of enterprises than direct subsidies. Based on the innovation data of 2000-2015 state-owned enterprises, collective enterprises, joint-stock cooperative enterprises, joint ventures, joint stock limited companies, limited liability companies, private enterprises, Hong Kong, Macao and Taiwanese investment enterprises and foreign-funded enterprises, this paper analyzes direct subsidies and tax incentives. The impact of these two kinds of government funding methods on the innovation performance of different ownership enterprises shows that the direct government funding has not significantly promoted the innovation output of China’s inland enterprises; the innovation output of state-owned enterprises and government direct subsidies and tax incentives. The relationship is not significant; innovative outputs such as private companies have shown greater responsiveness to tax incentives. Therefore, when the government subsidizes enterprises, it is impossible to implement a simple and rude manner, and pay attention to the scientific validity of the method. Related Articles | Metrics

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A research on the effect of replacement of business tax with value-added tax on industrial servitization Xiao Ting 2019, 40(10): 106-115.  Abstract ( 209 )   What is the future direction of “Made in China”? In recent years, the phenomenon of overseas buying agent has become more and more common. The overseas scramble for rice cookers, toilet lids, milk powder and other products frequently reflects lack of public confidence in domestic products, which has greatly stimulated the industry and urged people to start thinking about development of industries from scale to quality. Made in 2013, the German industrial 4.0 under the background of national strategy, intelligent manufacturing and large data such as industrial upgrading based on modern science and technology has become a new trend in the global industrial upgrading, and developed countries under the background of service innovation has increased the intensity of service in the industry by implementing product market development in the process of product supply increase varieties so as to enhance the value of products to form a complete set of services, and have improved the high quality service to promote the reputation of the product and market competitiveness, and they will find new profit sources for enterprises to maintain their market competitiveness. Under the thinking dominated,the ‘manufacturing & services’ business model has become the trend of the times, and the enterprise service innovation behavior called by academia as ‘service’ shows the importance of vendor in the category of business service elements is higher and higher, and the proportion of extreme conditions have been gradually change from manufacturers to service providers. Academic understanding of the concept of service also presents a trend of diversification, and the core meaning of service is a new economic paradigm, namely to provide products and services with “Beam” (Buddle), and the buyer will keep the products instead of having the property rights transferred. Someone argues that performance of service lies in the input and output of the manufacturing industry, and service industry factors accounted for a significant increase in the process and a micro enterprise can provide differentiated products to meet market demand of individuation and to achieve the extension of the manufacturing industry level value chain and industrial upgrading, but on the macro level, it can be understood that products of knowledge economy are developed. Servitization can be defined as an advanced industrial form that relies on modern information technology and it transforms manufacturing enterprises from product-oriented manufacturing to service-oriented manufacturing, by taking product service and physical products as carriers and integrating intelligent production mode with data, to meet the personalized needs of consumers, and finally achieve the purpose of industrial upgrading process. Service in the western developed economies are crucial, and as China, the world’s factory, on the question of global manufacturing industrial upgrading in post financial crisis era, faced with the dilemma in completing the important historical task of industrial upgrading, will view on the problem of the influence factors of service industry with theoretical and practical values. It can be said that it is no longer in line with the operation rules of the healthy market of industrialized countries to compress cost to gain competitive advantage, and service innovation should be an effective strategy for the industry to get rid of the low cost “Bog”. However, a review of some theoretical studies at home and abroad reveals that there are many problems in the implementation of the service strategy. As the impact of service on business management is not a simply linear pattern, it can be described as the servitization paradox, and some case analysis pointed out that servitization in the process of producing economic benefit may decline, as is confirmed by some scholars and debated at present of its reasons, but this makes many enterprises to adopt a hesitant attitude in the process of transformation of service. Scholars try to start with the operation of servitization in the real industry, analyze the influence of internal and external environmental factors on the servitization strategy of enterprises, explore several factors affecting the servitization of industry and the internal mechanism of these influences, and the research is increasingly showing the characteristics of diversification. However, the service industry development is largely limited by China’s tax system, as the service and the manufacturing industries are not clearly demarcated, and the tax service of the manufacturing industry is in need of “off” the VAT on the tax category, but because of the high services implementation tax, many cases are still available in the manufacturing sector as a whole to impose value added tax to reduce the tax burden. Therefore, the implementation of the “replacement of business tax with value-added tax” system is generally regarded as a move to "loosen the restrictions" on the development of the service industry. The pace of replacing business tax with VAT in China is the path of pilot reform, which conforms to the characteristics of quasi-natural experiments. This provides a research background for this paper to analyze the policy effect of replacing business tax with VAT on the servitization of industrial enterprises in China through the double difference method from the perspective of tax structure. As the entity industry meeting the development dilemma in China, servitization seems to be an important means to achieve the industrial upgrading. From the view of quasi-natural experimental of “replacement of business tax with value-added tax”, we analyze the effect of tax system reform on the industrial enterprise service innovation in this paper. Although “replacement of business tax with value-added tax” is generally accepted to play the role of promoting development of service industry in the academic circles, the influence of “replacement of business tax with value-added tax” on enterprise servitization degree is varied in different industries such as the industry market supply and demand elasticity and tax shifting. In this paper, we select the listed manufacturing enterprises as the samples and then use the difference-in-difference model to test its effect. The empirical result confirms the sevitization level of the enterprises in the experimental provinces is affected more apparently by tax reform. Furthermore, the effect of tax reform in the experimental group and the control group are also different in the different industrial sectors. Related Articles | Metrics

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A research on the influence effect of innovation quantity and innovation quality on foreign trade export Yu Liping, Dai Huayong, Cai Shaohong 2019, 40(10): 116-125.  Abstract ( 264 )    The theory on the contribution of technological progress and innovation to foreign trade export has become increasingly mature after a long-term development. Both theoretical researches and successful experiences of international trade of developed countries show that technological innovation is an important driving force to promote foreign trade export. Either from the macro level or from the micro level of enterprises, innovation can be further analyzed from the two dimensions of quantity and quality, where innovation quantity represents the scale of innovation and innovation quality represents the level of innovation. From the perspective of innovation quantity and innovation quality, this paper analyzes the influence mechanism of innovation on export trade, finds its law and characteristics, and analyzes the existing problems, and this research can not only deepen technological innovation and international trade theory, but also help government departments to introduce relevant policies. It is of great theoretical and practical value to enhance China’s level of innovation and improve the competitiveness of China’s export trade.  From the current research, the theoretical research on the impact of technological progress and innovation on international trade is relatively mature. Most studies find that there is a positive correlation between technological innovation and foreign trade export. Only a few studies have found that innovation has little to do with foreign trade. The mechanism of innovation on foreign trade exports mainly includes improving competitive advantage, reducing fixed export costs, improving production efficiency, as well as product innovation, process innovation, process innovation and so on. With regard to the problem of innovation in international trade, many researches are involved. In general, further in-depth research is necessary in the following aspects. First, because of the analysis of the relationship between innovation and foreign trade export and the mechanism of action from the perspective of innovation quantity and innovation quality is relatively lacking, it is necessary to further research the relationship and mechanism. Second, how does the quantity and quality of products affect the export of foreign trade? Is the relationship between quantity and quality linear or nonlinear? Why is that? Third, under different levels of foreign trade exports, is there a nonlinear relationship between the quantity of products and the coefficient of elasticity of product contribution to exports? This paper holds that the micro mechanism of innovation quantity includes improving the competitive advantage of enterprise, reducing the production cost. The macro mechanism of innovation quantity includes strengthening the infrastructure construction of international trade, cultivating innovative talents and cultures, etc. The micro mechanism of innovation quality includes positive feedback which benefits companies to form the Blue Ocean Strategy and companies’ innovations. The macro mechanism of innovation quality includes creating new industries, promoting global value chain, improving national trade environment, etc.  On that basis, this paper analyzes the mechanism of innovation quantity and innovation quality on foreign trade and puts forward five hypotheses. Hypothesis 1: The number of innovations has a positive effect on foreign trade exports, and its elasticity coefficient is positive. Hypothesis 2: The amount of innovation presents a nonlinear characteristic to the export contribution which presenting a U-shaped curve relationship. Hypothesis 3: Under different foreign trade export levels, the elasticity coefficient of innovation quantity increases with the increase of foreign trade export threshold. Hypothesis 4: Innovation quality has a positive effect on foreign trade exports, and its elasticity coefficient is positive. Hypothesis 5: The quality of innovation has the threshold effect of foreign trade export level which the higher the level of foreign trade export, the greater the elasticity of innovation quality contribution to foreign trade exports. Subsequently, in the series of equations of foreign trade export influencing factors and threshold regression models, the paper uses high-tech industry export delivery value to represent foreign trade export value, using total assets to represent capital, and the average number of employees to represent labor, high-tech industry statistical yearbook. Raw data for corporate R&D funding and government R&D funding are available. With regard to the selection of innovation quantity and innovation quality variables, this paper borrows new product sales revenue to represent the number of innovations, and borrows the proportion of invention patents in patent applications to express the quality of innovation. All the data in this paper comes from the China High-tech Industry Statistical Yearbook. Considering that the total assets data will be released in 2011, the data time range is from 2011 to 2015. The Tibet area is deleted due to the lack of data. Furthermore, the paper uses panel data model to verify the comprehensive influence effect of innovation quantity, innovation quality and foreign trade export, and analyzes the nonlinear effect of innovation quantity and innovation quality on foreign trade export through panel threshold regression model. The research results indicate that the relation between innovation quantity and foreign trade export presents the U-type curve. There is a threshold effect on foreign trade export. As the threshold level of foreign trade export increased, the elasticity of the contribution of innovation quantity increased. However, there is a “U-type trap” effect and “low foreign trade export” effect on innovation quantity. That is, when the number of innovations is at the left end of the U-shaped curve, as the number of innovations increases, the elasticity coefficient of the contribution of innovation quantity to foreign trade exports is gradually decreasing.  The empirical research shows that the area at the left end of the U-shaped curve accounts for almost one-third. This point is similar to the middle-income trap. If China’s high-tech enterprises cannot complete the transformation and upgrading in time and accelerate the innovation-driven development, they may fall into the dilemma of more innovations and lower innovation performance. It is necessary to increase R&D investment as soon as possible and rush out of the“U-shaped trap” as soon as possible. In addition, the level of innovation quality is low and has nothing to do with foreign trade exports. This indicates that China’s level of innovation quality is low, and it is not enough to play an important role in foreign trade. Strengthening basic research and original innovation investment is fundamental measures to improving the quality of innovation. Related Articles | Metrics

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A study of career development path and the influencing factors of researchers in China Zhou Jianzhong, Yan Hao, Sun Li 2019, 40(10): 126-141.  Abstract ( 397 )   This paper takes the 1838 awardees of National Natural Science Foundation of China (NSFC) as research subjects, and makes a quantitative research on the career development path and influence factors of Chinese science researchers from the perspectives of age and proportion of entering important node events by using relevant investigation data which was collected in 2017. The overall situation of the sample data is as follows: all the subjects have doctor degrees, 53% of the subjects have post-doctoral experiences, 52.1% of the subjects have professor or senior professional titles, male and female science researchers account for 80.6% and 19.4% respectively, and the average age of the subjects is 42.6 years old. Besides, at present, the proportion of subjects working in colleges and universities is 81.8%, and those working in scientific research institution is 15.6%. We consider the time when science researchers obtained their doctorates as the starting point, and adopt event history analysis method to analyze several important node events in science researchers’ careers, including promotion of professional titles (such as promoted to associate professor or professor), the first time to apply for and obtain NSFC support, the first important academic output (such as the first published SCI paper), selected in talent plan for the first time, the first honorary award and the first administrative or academic position. On this basis, further analysis is performed on the impact of influencing factors such as individual and family information (gender, children situation and spouse’s degree of education), educational background (graduate university, tutor’s qualifications and post-doctoral experience) and social factors (affiliation, mobility and discipline areas) on the career growth of science researchers. The specific research results are as follows. Firstly, after investigating and analyzing the career growth experience of science researchers, we discover that their growth path are as follows: beginning with lecturer or assistant researcher, then publishing the first SCI paper, obtaining a doctorate, being promoted to an associate professor title or vice senior professional title, applying for NSFC support, obtaining the NSFC support, winning a science and technology award, being selected in some talent plan, assuming academic position, holding the post of administration and finally being promoted to professor or senior professional title. It is worth noting that both promotion to lecturer/assistant researcher and publication of the first SCI paper took place before obtaining doctorate, and the time interval between the first time to be selected in talent plan and graduation as a doctor is the longest, with an average of 6.4 years. Secondly, on the whole, our research results support some existing research conclusions about the growth rules of science researchers from the perspective of quantitative data. For example, educational background such as highest degree graduation college and postdoctoral experience will have a positive influence on the career development of science researchers; although there is no significant difference in the timing of career development, science researchers with postdoctoral experience have an obvious advantage over those without postdoctoral experience in the proportion of entering key career events. Thirdly, the mentoring effect plays an important role in the career development of science researchers. Among them, tutors with administrative positions have the greatest influence on the career development of science researchers, the proportion of science researchers whose tutors hold administrative posts promote to professor or senior professional title, hold administrative posts, receive scientific and technological awards and have academic posts is the highest, which reflects that administration power still plays an important role in the current scientific research system in China. Fourthly, the influence of mobility experience on the career development of science researchers consists of two opposite sides. On the one hand, for science researchers with mobility experience, the growth timing of entering key career events is later than those without mobility experience, on the other hand, the proportion of science researchers entering key career events is significantly higher than those without mobility experience. Finally, gender role is still an important factor affecting the career development of science researchers. Although there is little difference between female and male science researchers in the time nodes of entering key events in their careers, the proportion of female science researchers entering key career events is much lower than that of male science researchers, which is also a factor directly leading to the lack of female science researchers in the high level talent team in China. As mentioned above, these results turn out that “cumulative effect” is still prominent during the career development of science researchers, with educational background factors including graduate universities and post-doctoral experience imposing a positive effect on career development of science researchers; the effect of accomplished tutor plays an important role during the career development of science researchers; and researchers’ mobility experience also increases the proportion of the big moments in their career. Due to the limitation of sampling survey data, there are some limitations and shortcomings in the research. Firstly, as the research samples are all scientific researchers funded by the National Natural Science Foundation of China and they are at a relatively high academic level, some conclusions of our research may not be suitable to all science researchers. Secondly, the current analysis is mainly based on descriptive statistics. In the next step, we will also introduce advanced statistical analysis methods such multiple regression analysis and survival analysis to make a further probe into which factors are more important in the career development of science researchers. Related Articles | Metrics

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A study of college students’ entrepreneurial capability promotion path in China Yin Miaomiao, Zhang Xiaoyan 2019, 40(10): 142-150.  Abstract ( 333 )    Under the background of “Mass Entrepreneurship and Innovation”, the proportion of college students participating in entrepreneurship in China is still low, and the success rate is also low. One of the main reasons lies in lack of entrepreneurial capability of college students. Therefore, how to cultivate and improve the entrepreneurial capability of college students is particularly important. College students’ entrepreneurial capability is the ability to enable college students to carry out business activities, and has a strong practical comprehensive ability, including the abilities of opportunity recognition, learning, leadership decision-making, market insight, risk bearing, organization and management, information retrieval, socialization, good psychological quality and adaptability, etc.. The entrepreneurial capability of college students is the driving force to promote their entrepreneurial activities. However, there are still few studies on the entrepreneurial capability of college students, so it is necessary to carry out more in-depth and extensive research on the entrepreneurial capability of college students. Existing studies have explored the key influencing factors of entrepreneurial capability for ordinary entrepreneurs and how these factors affect the generation and improvement of entrepreneurial capability. College students are different from general entrepreneurs. They are active and dare to think and act, and they get more entrepreneurship trained, on the other hand, college students are easily influenced by situational factors, such as college students are not only easy to affected by the policy, are more easily affected by family and friends. This leads to the unique path to cultivate and enhance the entrepreneurial capability of college students. However, there are still few relevant researches at present, so it is necessary to deeply study the uniqueness of college students’ entrepreneurial ability cultivation path to make up for the existing research deficiencies. Existing research either analyzes the college students’ entrepreneurial capability from the perspective of teaching education, or analyzes the composition of college students’ entrepreneurial capability, or the cultivation of college students’ entrepreneurial capability from the perspective of the entrepreneurial spirit. However, the factors influencing the entrepreneurial ability of college students have not been systematically sorted out and thoroughly explored. This leads to our lack of in-depth understanding of the cultivation and promotion of college students’ entrepreneurial capability. Based on this, this study combines the entrepreneurial environment situation of China and the characteristics of college students, and through the combination of case interview and empirical research, extracts the key factors affecting the improvement of college students’ entrepreneurial capability, and deeply explores the internal path of college students’ entrepreneurial capability improvement, so as to enrich the entrepreneurial capability theory. Through literature review, case interview and questionnaire survey, this study systematically identifies the internal and external factors that affect college students’ entrepreneurial capability, among which the external key factors are reflected in entrepreneurship policies and education, and the internal key factors are reflected in entrepreneurs’ characteristics and friends’ attitudes. At the same time, previous scholars have found that entrepreneurial capability can be acquired through learning, so this study introduces entrepreneurial learning as an intermediary variable to deeply explore the internal influence path of internal and external influencing factors on the generation and improvement of college students’ entrepreneurial capability. Through the empirical test of 215 college students, this study draws the following meaningful conclusions. First, the study found that entrepreneurship policy does not directly promote college students’ entrepreneurial capability, but rather by promoting college students’ entrepreneurial motivation and enthusiasm, indirect effects of entrepreneurship and ascension. This shows that the promulgation of entrepreneurship policy will not have an immediate effect, and it needs college students to learn entrepreneurship for a period of time. Second, entrepreneurship education can not only directly improve the entrepreneurial capability of college students, but also indirectly improve the entrepreneurial capability by influencing college students to learn entrepreneurship. Therefore, entrepreneurship education is very important for improving the entrepreneurial capability of college students. Third, entrepreneurial traits can directly improve the entrepreneurial capability of college students, but have no significant impact on entrepreneurial learning. This is because entrepreneurial traits are also entrepreneurial capabilities, so college students with entrepreneurial traits do not need to use external forces to generate entrepreneurial capability. Fourth, relatives and friends attitude doesn’t directly improve college students’ entrepreneurial capability. Entrepreneurial learning should be carried out by influencing college students to promote entrepreneurial capability. This shows that the attitude of friends and relatives could improve the entrepreneurial capability of college students through the transmission of information and experience, and entrepreneurial learning plays a complete intermediary role between the attitude of friends and relatives and the entrepreneurial capability of college students. Overall, the formation of college students’ entrepreneurial capability and ascension process depends on entrepreneurial learning to completion, although the entrepreneurial traits can promote college students’ entrepreneurial capability directly, but college students entrepreneurial traits may also affect the entrepreneurial learning, in turn, promote entrepreneurship capability. Therefore, it can be seen that entrepreneurship learning is the key path for college students to improve their entrepreneurial capability. The theoretical value of this study is mainly reflected in the following three aspects. First, this study takes the special group of college students entrepreneurs as the research object to deeply reveal the unique path of college students’ entrepreneurial capability improvement. Although previous studies have carried out extensive studies on the entrepreneurial capability of ordinary entrepreneurs, the generation and improvement process of college students’ entrepreneurial capability is unique, but has not been revealed in depth. This study abstracts and summarizes the key influencing factors of college students’ entrepreneurial capability from the aspects of theoretical literature and case practice, and deeply analyzes the influences of different influencing factors on college students’ entrepreneurial capability, so as to fill the gaps in relevant theories. Second, this study constructs a system of influencing factors of college students’ entrepreneurial capability. Starting from internal and external influencing factors, this study deeply explores the influences of entrepreneurial policies, entrepreneurial education, entrepreneur characteristics and friends and relatives’ attitudes on college students’ entrepreneurial capability, and reveals the key factors influencing the generation and improvement of college students’ entrepreneurial capability. In the past, scholars paid too much attention to the importance of entrepreneurial capability and the results generated by entrepreneurial capability, but neglected the prior variables for the generation and improvement of entrepreneurial capability. This study explored how college students generate and improve entrepreneurial capability from the source, and improved relevant theories. Thirdly, this study takes entrepreneurial learning as an intermediary mechanism to deeply explore the internal influence path of key factors on the generation and improvement of college students’ entrepreneurial capability. Although previous studies have focused on the impact of entrepreneurial learning on entrepreneurial capability, they have not deeply revealed the mediating transmission mechanism of entrepreneurial learning in the process of entrepreneurial capability generation and improvement. This study has conducted an in-depth study on it and revealed the internal path of college students’ entrepreneurial capability generation and improvement. Related Articles | Metrics

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The evolution of enterprise niche: A case study of China’s cross-border M&A Ding Ling, Wu Jinxi 2019, 40(10): 151-160.  Abstract ( 448 )   Strategic positioning is the core of enterprise management, and enterprise niche is the core of strategic positioning. In recent years, with the acceleration of economic globalization, China’s enterprises have gradually participated in global competition through cross-border mergers and acquisitions (M&A), but there are numerous failure cases. The common problem is how to choose the right M&A enterprise and solve the conflicts of business, management and culture faced by its globalization strategy. When Lenovo bought IBM’s global PC business, there was widespread pessimism about the direction of the merger. Lenovo was a nobody in the international market at that time, while IBM was the founder of PC and the leader of global information technology. However, through the painful integration process, Lenovo has achieved the global embedded replication of their successful models and become an important cornerstone of the source of profits. This study finds that Lenovo’s organizational ambidexterity of research and development (R&D) promotes the space expansion of Enterprise niche in three stages, which brings continuous business ecological advantages in the world, and is an important reason for the success of cross-border M&A. The more similar the demand for resources, the more similar the product technology and the market, the higher the overlap of the niche and the more intense the competition. Fierce competition leads to the separation of enterprise ecological niche, and enterprises can easily obtain business ecological advantages. Foreign scholars put forward strategic niche management, niche width, technological niche and other perspectives to study the development and evolution of enterprise niche. These studies provide useful enlightenment. However, there are also two gaps: (1) more theoretical and empirical studies are needed for cross-border M&A of emerging industry enterprises; (2) lack of in-depth and systematic research on the space expansion and life cycle of enterprise niche. Therefore, this study adopts case study method and takes the longitudinal development history of Lenovo Cross-border complex embedded R&D organization as the research object, to explore the evolution rules of enterprise niche. In view of the above gaps, the longitudinal case study method is adopted in this study for three reasons. Firstly, the research question of this study is to discuss "how" to realize the expansion of niche space in each stage of enterprise R&D, which is conducive to building theoretical model. Secondly, this study is an exploratory study. Lenovo niche space expansion and life cycle are complex and multi-faceted phenomena, and relevant factors have not been completely determined. Therefore, it is difficult to achieve research objectives by adopting quantitative research methods, while analytical induction is more suitable. Thirdly, this study adopts longitudinal study, which can observe the relatively complete development process and some key turning points of Lenovo’s R&D organization. Through the evolution process of Lenovo R&D organization, this study systematically reveals that the reason for the success of Lenovo’s cross-border M&A is that Lenovo occupies the appropriate enterprise niche and continuously expands its space. It identifies the process characteristics, results, models and life cycle tracks of enterprise niche space expansion. The deep reason of enterprise niche evolution lies in the three stages of complex nesting process of R&D organizational ambidexterity promoting enterprise niche evolution. The conclusion helps to promote the successful space development of enterprise niches through Cross-border merger and acquisition, and to enhance the global sustainable development for the companies from emerging market such as China. The theoretical and practical implications are as follows: First, the process model of enterprise niche space expansion reveals the evolution process of enterprise niche separation -- partial overlap -- separation and embedded replication. It develops and enriches the theoretical and empirical research on enterprise niche evolution from the micro level. Strategic niche management faces the problem of how to accelerate the transformation from the original niche to a large scope. Lenovo and IBM had occupied different basic niches in the PC field for a long time, and have their respective comparative advantages. This case shows the transformation process from the combination of the two niches to a wide range. Second, the life cycle of enterprise niche is systematically revealed. The life cycle of enterprise niche is divided into three stages: creation, development and maturity. After entering the mature stage, the enterprise niche may develop in six different directions: self-renewal, reconfiguration, merger and reorganization, replication, recession, and retirement. Previous scholars’ discussions have provided meaningful references for this study, however, there is no in-depth and systematic study on the life cycle of enterprise niche. Third, it reveals the deep reason of enterprise niche evolution -- the complex nesting process of R&D organizational ambidexterity, which is conducive to deepening the theory of organizational ambidexterity. In the past decade, researches on organizational ambidexterity have shown an explosive growth. However, previous studies have not provided answers on how the interface between application and exploration is managed. The three modes discussed in this study can guide the interface management between enterprise application and exploration. On the other hand, existing literature ignores the external stakeholders of enterprises and focuses on the role of internal executives in the process of organizational ambidexterity, as well as the role of organizational ambidexterity at the level of corporate execution. This study analyzes the complex embedded process of organizational ambidexterity in multinational R&D organizations from the perspective of M&A of global competitors and reveals the relationship between it and the evolution of enterprise niche. The research results have important practical reference value for emerging industry enterprises to successfully realize transnational M&A and improve the global sustainable development ability. Practical significance of this study is to guide enterprises in emerging industrial countries such as China, through the analysis complex embedded process of R&D organizational ambidexterity, take different long-term based niche advantage complementary businesses to conduct Cross-border M&A. Enterprise niche separation and embedded global replication brings the sustainable development of the innovation ability and competitive advantage. It has important reference value for the enterprise development. In 2015, Lenovo acquired MOTOROLA’s mobile phone business. Although it obtained MOTOROLA’s smart phone patents and global market channels, its market shares in China and in the world showed an unexpected decline trend. The reason is that at the time of M&A, the enterprise niche of MOTOROLA mobile phones is in the middle and low-end market in the world, which overlaps with the basic niche of Lenovo’s original mobile phone brand, leading to the intensification of competition and the reduction of resource utilization efficiency in the process of business integration. Related Articles | Metrics

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Knowledge spillover effect of China’s manufacturing industry from the perspective of supply-side reform Yang Lijun 2019, 40(10): 161-168.  Abstract ( 226 )   China’s supply-side reform will promote the optimization of industrial structure from production, and thus its manufacturing industry is facing transformation and upgrading. It needs to be supported by more advanced production elements for the sake of its transformation from “Made in China” to “Mind in China”, therefore that can not be separated from the accumulation of knowledge accordingly. Knowledge spillover effect refers to the diffusion and recreation of knowledge, which is closely related to growth. The knowledge spillover effect makes an internal connection with the upgrading of manufacturing industry, and there are different sources of knowledge spillover effect in various types of manufacturing upgrading. Because the knowledge spillover effect of manufacturing industry is produced in the process of production, this paper builds the dynamic spatial econometric model based on the revised logarithmic Cobb Douglas production function, considering differences between the eastern, central and western China as well as institutional supply factors. This paper inclines innovatively to the view that the upgrading of manufacturing industry can be divided into two ways on the basis of the smile curve, and together with these, the results of theoretical analysis have indicated that: First of all, the supply side of manufacturing industry includes not only the supply of institution but also essential productive factors, and as a result of the interaction between governmental behavior and market mechanism, dynamic effects in light of time are produced ultimately. What’s more, different proportion or quantity of the essential productive factors decide on different modes or scale of production. That, in turn, product output and upgrading of manufacturing will be affected too. Furthermore, knowledge spillover effect is becoming indispensable to the process of production. If there is a virtuous circle between knowledge spillover effect and technological innovation, it will help to promote the upgrading of manufacturing industry. Last but not least, as far as the space is concerned, the upgrading process of manufacturing industry involves the adjustment within the same industry along with the linkage between different industries, and then, the sources of knowledge spillover in manufacturing industry are also different. Where time is concerned, then, in the light of the importance of specialization in improving early efficiency, both MAR spillover and Poter spillover play more important roles than Jacobs spillover in the early stage of industrial development. In case the industry makes development gradually until grows up, at this point Jacobs spillover will play a more prominent role. The results of the empirical analysis from 2010 to 2014 have shown that: Above all, there was a positive auto correlation in the progress of the manufacturing growth, that is, so called agglomeration of “hot spots” and “cold spots”. In the mean time, there were very significant positive effects of institutional supply, labor and capital of the traditional production factors made on the growth of manufacturing industry. However, the knowledge spillover effect was not significant in the eastern China.What’s more, the significant positive MAR spillover was greater than that of the Poter spillover in the central China, therefore a conclusion was drawn that it’s influence of the specialization of knowledge spillover effect was greater than that of competition. Many manufacturing enterprises in the eastern China have transferred to the central and the western China, nevertheless, it is common knowledge that most of these manufacturing enterprises are limited in the technical level as well as their technology is easy to be imitated, so that it is conducive to the development of MAR spillover in the central and the western China and it will promote the growth of manufacturing industry in the short term as well. Furthermore, the coefficients of Jacobs spillover were the smallest and the least significant among the three indicators of knowledge spillover effect, consequently the more specialized production was more favorable than the more diversified environment. Moreover, the significant positive Jacobs spillover originated from the western China. In spite of the poor level of specialization of manufacturing industry in the western China, which is not as good as that of in the central China, the knowledge spillover effect caused by the diversification and competition of environment taking a prominent effect on its manufacturing industry in the western China. Finally, the significant positive Poter spillover originated from the central China. As is well known that although many manufacturing enterprises in the central China lie in the low-end position of global production chain, and the ability of independent innovation is very weak still, in addition their ability to resist risks is very poor. Yet the knowledge spillover effect will be enhanced ultimately by means of opening up and fierce competition, which will also be conducive to the growth of manufacturing industry. In the light of the results of empirical analysis, the following policy recommendations are put forward: First of all, if the government’s institutional supply can promote effectively the matching supply with demand in the market, the economic rent of enterprises can be increased naturally. Just owing to the low quality of essential productive factors in many central and western provinces of China, the requirements of modern high-end manufacturing cannot be met, thus it is necessary to improve the quality of essential productive factors in order to speed up the upgrading of manufacturing industry. The next, due to the high cost and high risk of independent innovation, the protection of intellectual property rights should be strengthened in line with different areas together with various stages of development. It should be planned by the government as a whole so as to promote cooperation among the provinces in the eastern, central and western China, and to internalize the externalizations of knowledge spillover effect, in addition, the eastern China should supply the capital, talents, knowledge and technology to the central and the western China. Once more, for the knowledge spillover effect of China’s central and western regions was more significant than that of China’s eastern regions, in the mean while, the former played a greater role in promoting the manufacturing industry than the latter. For these reason, technical cooperation with developed countries or regions should be further enhanced. In conclusion, the upgrading of manufacturing industry should give a full play to the internal and external economic effects. In consideration of the significance of the knowledge spillover effect of manufacturing industry in the central China, enterprises can achieve higher production standards by the aid of intra-industry specialization in the central China, which in favor of the internal economic effects. Related Articles | Metrics

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Path and pattern of a new catch-up framework based on cross-boundary synergy:An open innovation view Guo Yanting, Zheng Gang, Qian Zhongwen 2019, 40(10): 169-183.  Abstract ( 240 )   The technological catch-up behavior of latecomer firms has been a topic of interest for the past three decades, especially in emerging economies, such as China and India. In recent years, Chinese firms have extensively involved in the world economy. A number of Chinese firms have growing from simply path-following and imitation to advancing side by side in some competition fields, and some latecomers even become global innovation leaders, such as Huawei in the mobile telecommunication industry, Haier, Midea, and Gree in the home appliance industry, and China Railway Rolling Stock Corporation (CRRC) in the high-speed train industry. As more latecomer firms have extended their capabilities and entered into a “mixture state” – path-following, advancing side by side, and leapfrogging to a leadership simultaneously, there is an obvious need to develop a new framework of catch-up for explaining how firms walked through unique paths to build their global competitiveness from an open innovation view. The open innovation perspective in this study is focused on the cross-boundary strategic choices. Some researchers have found that firms’ knowledge sourcing strategy is not a simple dichotomy between internalization and externalization, involving a mixed degree of openness depending on the project. So far, little research has systematically discussed the path of catch-up based on the cross-boundary synergy among organizational, technological and market boundaries, which are essential choices of in the open innovation paradigm. Therefore, it is intriguing to investigate the research question of “what are the possible paths of catch-up when building global competitiveness, and why firms adopt different patterns of cross-boundary synergy during the process of catch-up in the open innovation era”. To answer these questions, this study first proposes a new conceptual framework of catch-up by integrating firm’s practice with technological catch-up literature, and based on that, it conducts a multiple-case study on three leading Chinese companies in the home appliance industry, namely Haier,Gree and Midea. Case study methods are well suited to study dynamic issues and answer “how” and “why” questions. Cases are chosen since they all start by importing foreign technologies as OEM manufacturers, but achieve excellent performance and become popular brands in global markets after many years catch-up. In addition, they show variations in openness during the process of catching up, which corresponds with the emphasis on open innovation in this study. The conceptual framework of catch-up framework is characterized by the higher position of catch-up, the greater depth of catch-up, and the broader scope of catch-up. The position of catch-up is related to a firm’s specific resource endowments, in terms of technology, complementary assets, its customer base, and its external relations with suppliers,complementors, and other stakeholders. The depth of catch-up is related to the extent of specialization and sophistication of a firm’s capability within a specific technology or competitive field of the market. The scope of catch-up is, on one hand, related to expanding and synthesizing knowledge across a wide variety of technological disciplines. On the other hand, it seeks a systemic industrial leadership in terms of technology, production, marketing and organizational practices, moving beyond the technology-dominant view of the catch-up process. By applying this framework to cases, this study reveals distinctive paths of catch-up. The first path shows “broad scope — broader scope — synergy between scope and depth”; the second path is feature with “great depth — greater depth — synergy between depth and scope”; the third path evolves along “broad scope — great depth — synergy between scope and depth”. Although three paths differ in the start-up phase and acceleration phase, all of them transform towards the synergy between the scope and depth of catch-up in the last phase, which is named as “beyond catch-up phase” in this study. In addition, this study also identifies three patterns of catch-up, as latecomer firms need to choose synergy patterns when interact with partners, which is associated with their path as well as specific asset position developed during the path. For the first path, the firm accumulates commercial resources across industries to support autonomouscomplementors for innovative responses to client requirements. For the second path, the firm equipped with specialized knowledge integrates with complementors to control undesirable variance. For the third path, the firm leverages complementary asset for maximum value with simultaneously controlled and autonomous actions. This study makes three primary contributions. Firstly, while the conventional studies of latecomers’ path of catch-up are primarily based on a technology-oriented view, we move beyond this standpoint by identifying multiple elements systematically. Specifically, the proposed conceptual framework directs attention to the importance of the position, depth, and scope of catch-up in the open innovation context. In this way, it extends catch-up literature beyond a fixed technology or a linear trajectory, emphasizing an integrative and non-linear approach instead. Secondly, by revealing distinctive paths of catch-up, this study adds to the recent discussion of changes in industrial leadership, which involves innovative behaviors and paths of latecomers. It shows that during the process of catching up, firms may not only diverge from the practices of forerunner firms from developed countries, but also differentiate from competitors born in the domestic markets. Thirdly, this study deepens the understanding of how to manage open innovation for successful catch-up. Different from the dominant view of the acquisition and control of heterogeneous resource, this study highlights that the pattern of innovation collaborations for catch-up can be autonomous, controlled or mixed both simultaneously. The pattern of catch-up from the open innovation view is difficult to replicate and must be adapted to the specific position, scope, and depth of catch-up. It thus enhances the co-evolutionary relations between organizations and challenges of the dynamic environment. Related Articles | Metrics

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IUR collaborative innovation with the enterprise as the mainstay:The construction of a management framework Yuan Changhong, Zhang Shuman 2019, 40(10): 184-192.  Abstract ( 338 )   Constructing IUR (industry-university-research) collaborative innovation systems with the enterprise as the mainstay is not only the key to improve enterprise independent innovation capacities, but also the strategic requirement to construct the innovation-oriented country. Since 2006, the Central Committee of the Communist Party of China and the State Council of the People’s Republic of China have repeatedly emphasized the need to accelerate the construction of technological innovation systems with enterprises as the mainstay, market as the orientation, and the combination of industries, universities, and research institutes, starting from the overall strategic goal of improving enterprise independent innovation capabilities and building the innovative country. The 18th National Congress of the Communist Party of China proposed to implement the strategy of innovation-driven development, and the Third Plenary Session of the 18th National Congress clarified the requirement to establish IUR collaborative innovation systems. The recent central government work report and the “13th Five-Year Plan” proposal further required to strengthen the subject status and leading role of enterprises in technological innovation and promote the construction of IUR collaborative innovation systems with enterprises as the mainstay. Therefore, IUR collaborative innovation systems with enterprises as the mainstay have become a major practical issue in China. Although previous research on IUR collaborative innovation has achieved fruitful results, existing literature on IUR collaborative innovation systems with enterprises as the mainstay is still very limited. So far, it has not been answered how Chinese enterprises construct an effective IUR collaborative innovation management system to improve independent innovation capacities and innovation performance. First, extant classical theories concerning IURcollaborative innovation are all developed in western countries, like the Triple Helix Theory, Model 2, and National Innovation System Theory, and ignore China’s national conditions. Besides, these classical theories are mainly based on the macro level, and do not investigate the mechanism at the micro level. Second, extant research on collaborative innovation generally adopts the systematic analysis. The representative viewpoint is that the key to collaborative innovation is to form the multi-agent collaborative interaction network innovation model with universities, enterprises, and research institutes as core elements, and with the government, financial institutions, intermediary organizations, innovation platforms, and non-profits as auxiliary elements. However, this view mainly focuses on the macro-association and interaction between multi-subjects, regards the enterprise as one point, and does not highlight the leading role of enterprises, thus hardly opening the "black box" of IUR collaborative innovation within enterprises. Third, only a few studies have discussed the IUR collaborative innovation with enterprises as the mainstay, and they have not touched on how enterprises play the leading role in IUR collaborative innovation to enhance their own innovation performance. Besides, related studies regard enterprises as passive recipients of government policies, ignoring the fact that enterprises can actively seek government support when they lead the IUR collaborative innovation. While the overall pattern of China’s technological innovation systems with enterprises as the mainstay, market as the orientation, and the combination of industries, universities and research institutes is taking shape, and some research have recently explored enterprise technology innovation systems from the macro and micro levels respectively, scholars have not integrated technological innovation systems at the macro and micro levels and conducted cross-layer analysis. Based on China’s transitional economy context, this study clarifies the connotation of the IUR collaborative innovation with enterprises as the mainstay, uses cross-layer analysis to integrate the macro level’s national innovation system and the micro level’s enterprise technology innovation system, and puts forward the management framework of IUR collaborative innovation with enterprises as the mainstay. The management framework is a two-ring system consisting of four external systems and seven internal modules driven by the government and the market. From the outer ring of the system: First, the dual role of the government and the market is the fundamental driving force for collaborative innovation with the enterprise as the mainstay. Second, under the influence of the “dual system” of the government and the market, the government’s science and technology policy support system, various types of science and technology park system, industrial cluster system, and the financial institutions, intermediary institutions, and social resources system constitute the four external systems of the framework, which jointly promote the development of IUR collaboration innovation with the enterprise as the mainstay. At the same time, enterprises can actively seek the support from the four external systems, thus forming an interactive effect with them. From the inner ring of the system: First, entrepreneurs play a leading role in the whole process of IUR collaborative innovation. Second, entrepreneurs can develop reasonable and effective innovative strategic planning to meet the needs of the country, market, and technology through effective strategic leadership, effectively manage IUR alliance portfolios and IUR project portfolios with enterprises as the mainstay, and ultimately enhance firm independent innovation capability and innovation performance. In addition, firm independent innovation capabilities and innovation performance results can provide feedback and corrections for entrepreneurs through the evaluation, improvement and innovation feedback system, so that the whole system becomes an open and dynamic feedback management system. This study makes several contributions as followed. First, this study puts forward the management framework of IUR collaborative innovation with enterprises as the mainstay, thus opening the black box of enterprises’ leading IUR collaborative innovation to achieve the independent innovation capacity and technology innovation performance under the interaction of internal and external environments. Second, this study emphasizes the leading role of enterprises in IUR collaborative innovation, and points out that enterprises can play their own dynamic role to win the support of external resources from the government’s science and technology policy support system, various types of science and technology park system, industrial cluster system, and the financial institutions, intermediary institutions, and social resources system, thus expanding existing research on IUR collaborative innovation. Third, this study explores the actual situation of IUR collaborative innovation in the context of China’s transition, and points out that the fundamental driving force for IUR collaborative innovation with enterprises as the mainstay is the dual roles of the government and the market. Further, this study provides some enlightenment for the practice of IUR collaborative innovation. Related Articles | Metrics

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Government-based customer and companies’ growth from the perspective of innovation Dou Chao, He Wei 2019, 40(10): 193-206.  Abstract ( 269 )   As the market in China is dominated by the government’s power, the government’s regulation to ensure stable and healthy economic development always caught much attention. To deal with new economic situation, the central government issued a series of industry policies and enhanced its policy intervention on important industries and enterprises. Compared with the traditional policy method such as government subsidy and tax preference on which there are so much research, government procurement gradually aroused people’s interest. Base on the statistics released by the Ministry of Finance of the People’s Republic of China, direct procurement from the Chinese government reached RMB 3.21143 trillion in 2017 as a new record, which increased by more than ten times in the past ten years. So we can imagine the huge influence of government procurement on economy. In contrast, traditional government subsidy was reduced heavily, which indicated that the traditional way of flooding the economy with subsidy was gone. As a result, new approaches should be sought to support the companies effectively. Different from the traditional marketing channel, the government-based customer was guaranteed by the government credit and national finance. The stable and tremendous demand from the government-based customer would certainly promote the development of relevant industry and support the growth of the relevant companies. So the government procurement was irreplaceable for the development of economy, which ought to be the indispensable approach for the government to regulate the economy. Especially, in the government-dominated market in China, study on the government-based customer was an attractive issue with typical Chinese characteristics. Meanwhile it was an important vision to investigate the development and growth of Chinese companies. Around the world, it is universally accepted that government-based customer could help to promote the growth of companies and the progress of technology. For example, enormous defense orders from the USA government helped the rise of the defense giants such as Boeing, Raytheon, Lockheed Martin etc. So, it was obvious that orders from government-based customer were indirect support to help the companies increase sales and enhance competitiveness compared with the traditional government subsidy. It not only helped the corporate improve the profitability, but also drove the corporate to innovate and progress, which alleviated the phenomenon that many companies just made a living from government subsidy. And the government procurement improved the effectiveness of government’s regulation. It is worth noting that existing studies showed that, the traditional government subsidy was inefficient, and received mainly by state-owned companies, so that it was not optimistic that traditional government subsidy could improve all the companies in the industry, especially the private cooperates. As for the government-based customer’s influence on companies, it deserved more attention paid on whether the private companies with little political connection could benefit from government-based customer’s orders. Based on the issues above, this paper tried to investigate from three aspects. Firstly, as for the growth ability, this paper verified the government-based customer’s influence on the increase of company profitability and valuation in the future. Secondly, as for the possible channel that might be influenced, this paper investigated how the government-based customer influenced the company management from the aspect of innovation and R&D. Finally, this paper paid attention to difference between the influences that the government-based customer on different companies in different ownership. From the perspective of financial performance and valuation, government-based customer might have influence on companies’ growth, so this paper put forward the following hypothesis: Hypothesis 1a: The proportion of order amount from government-based customers in total sales has positive relationship with company growth of financial performance in future. Such relationship was especially outstanding for private companies. Hypothesis 1b: The proportion of order amount from government-based customers in total sales has positive relationship with increase of company valuation in future. Such relationship was especially outstanding for private companies. Meanwhile, as innovation and R&D were of great importance to company competitiveness and growth potential, it was probable that government-based customers might impact company innovation to influence its growth. So this paper put forward the following hypothesis: Hypothesis 2: Government-based customers can stimulate the corporate to strengthen its R&D and innovation capacity, which finally promotes the company growth. Based on the 2007-2015 customer data of listed firms, this paper studies the impact of government-based customer on companies’ growth in China. Empirical results shows that: The higher proportion of order amount from government-based customers in total sales, the stronger the profitability of the corporate in the future,  which result in the higher valuation for the corporate as its growth potential; The existence of government-based customer can effectively promote companies’ innovation so that to promote their growth, and the companies that received more government-based customer orders tended to have more growth potential and better financial quality; Such relationships were especially outstanding for private companies. The contribution of this paper mainly lies in the following four aspects: (1) This paper helped deepened understanding about government support for companies, and it was the first time to investigate government support’s influence on companies’ growth, which was a meaningful practice. (2) The information of the Top Five Largest Customers in annual report can help us know the main customers of the companies, so that we could have knowledge of which companies influenced by government-based customers most. So we could investigate government-based customers’ influence on different types of companies, and summarize the different economic results caused by government-based customers. Hence, this paper was the first to use the customer information disclosed by companies to investigate government’s influence on companies. (3) This paper could provide reference and inspiration for government to improve its procurement policy and to support the development and growth of the companies more efficiently. Especially under the situation of the new normality, it had the great significance to make better use of government’s regulation, so that government’s support could be more precise, effective, efficient, and the phenomenon of zombie companies could be prevented. (4) It was an important link in innovation ecosystem for companies to build up good relationship with government-based customers, especially in the government-dominated market in China. Such was of great importance for the innovation and growth of the companies, so that this paper was a meaningful practice as it investigated the influence of government-based customer on the innovation and growth of the companies. Related Articles | Metrics

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Formation mechanism and evolutionary path of venture enterprises’ resource capabilities——A case study of Inner Mongolia Mengcao Ecological Environment (Group) Co., Ltd. 2019, 40(10): 207-219.  Abstract ( 252 )   With the globalization of economy and trade, the competitive environment faced by venture enterprises is turbulent, and the competitive advantages created by venture enterprises are also extremely uncertain. Turbulent technology and uncertain competitive advantages force managers of the enterprise to focus on policies, technologies and enterprise development patterns accurately, identify development opportunities in the environment, and form unique competitive advantage by protecting, updating, creating unique resources and coordinating organizational actions to seize opportunities. For the Chinese venture enterprises, how to continuously improve their resource capacity to cope with the changing environment has become the key to success or failure.  Teece and others define dynamic capabilities as the ability of enterprises to integrate, construct, and reconstruct internal and external resources. They are high-level capabilities for expanding, modifying, and creating conventional capabilities(low-level capabilities).This definition is recognized by Winter. Helfat further pointed out that dynamic capabilities are the ability of an organization to change its underlying resources in a series of ways. They are the ability to build in the process of creating, expanding or modifying its resources. They are the ability possessed by the main decision makers of enterprises based on expectations to enhance the competitive advantage of an organization in the process of reconfiguring enterprise resources. The resource-based view holds that the collection of specific resources and capabilities that are initially endogenous to the enterprise is the source of competitive advantage necessary to compete with competitors. It emphasis on the value of resources, scarcity, difficulty in imitating and difficult to substitute qualities, which is the premise to form core competitiveness. From the perspective of the sociology and behavioral characteristics of the organization, the evolutionary view emphasizes that resource competence is the result of the interaction of various elements, is the product of the evolution process, and is regarded as an organizational level concept, which is formed by the interaction of organization and environment. On the one hand, the theory believes that the development and evolution of organizational capabilities are blinded by external uncertainties. Therefore, enterprises should integrate and change their resource bases to adapt to changing environments, and help enterprises to evolve their conventional capabilities, and mainly explain organizational behavior. On the other hand, it is believed that to some extent the interpretation of external technology and market factors by corporate executives compensates the uncertainty caused by changes in external influence factors. The manager’s dynamic performance promotes the organization’s continuous deployment of internal resources and ability to form core competencies, but the excessive accumulation of core competencies will also make it difficult for enterprises to return to the “capability trap”, becoming the main obstacle to the rapid development of enterprises. The resource-based view analyzes the competitive advantage of enterprises from the perspective of the heterogeneity of basic resources, while the theory of ability evolution discusses the formation of enterprise ability from the perspective of the ability development process. However, the former lacks the research on the formation mechanism or process of resource uniqueness, while the latter overemphasizes the general action process of organizational convention and selection mechanism. Meanwhile, few studies combine the two to further analyze in detail how to coordinate the cognitive layer of management and organizational behavior layer to derive stable and profitable organizational paths and build and develop their core capabilities; what role does the strategic response behavior in coordination with senior executives’ strategic judgment play in the process of capacity generation; and what are the evolution path of enterprise resources and the internal generation mechanism of venture enterprises’ dynamic capability when faced with changing internal and external situations. This study believes that in the process of the venture enterprise development, the insight and grasp to the future opportunities and the perception and interpretation to environmental factors by senior management teams are conducive to the construction of the venture enterprises’ core competence, the reversal of the weakness of lack of competence and the capture of commanding heights in the market. However, the formation of the venture enterprises’ resource capacity is a long-term process. In order to fully understand the mechanism of capacity generation, it is necessary to consider the evolution of managers’ attention, the environment and resources they perceive and pay attention to, and acknowledge the role of the adaptation mechanism of management layer and behavior layer plays in the process of the venture enterprises’ capacity generation. In view of this, this article conducts a typical case study ofInner Mongolia Mengcao Ecological Environment (Group) Co., Ltd. to explore the formation mechanism of venture enterprises’ resource capabilities, evolutionary path of those capabilities, and the internal mechanism of their dynamic capability formation by focusing on the institutional, technological and industrial environment faced by the Chinese enterprises. First, it identifies the factors that contribute to the formation of venture enterprises’ resource capacity, and sorts out the internal adaptation mechanism of management cognitive layer and organizational behavior layer during the formation of venture enterprises’ resource capacity. Secondly, it analyzes how the management team generates strategic judgment and coordinate organizational strategy implementation to affect the upgrading of venture enterprises’ resource capability. Finally, it discusses the internal relationship between enterprises’ cognition, action and capability, and separates out the internal mechanism in the process of dynamic capability formation. This study wants to provide a new analytical paradigm for the theory of enterprise resource competence and a management reference for the practice of the venture enterprise core competence innovation in the dramatically changing competitive environment.  The results of this study illustrate that: (1) In the rapid development of the enterprise, the strategic judgment of management cognitive layer and the strategic execution of organizational action layer are important factors for promoting the generation of enterprises’ resource capabilities. (2) The advancement of enterprises’ resource capabilities is mainly driven by the guiding behavior of the developmental view of management cognitive layer and the division cognitive results of organizational action layer.The upgrading process of enterprises’ resource capabilities is "integration capability-extension capability-reconstruction capability". (3) A "cognitive -action- capability" relationship model is proposed to clarify the intrinsic relationship among the strategic judgment of management cognitive layer, the strategic execution of organizational action layer and evolution of enterprise resource capabilities, and analyze the internal mechanism in the process of forming dynamic capability. The research results of this paper not only have theoretical value for explaining the cross-level adaptation mechanism of management cognitive layer and organizational behavior layer in the process of generating enterprises’ resource capacity and the nature of the evolution path of enterprises’ resource capability, but also have far-reaching practical significance for guiding local entrepreneurs to form dynamic capabilities and maintain competitive advantage in turbulent environment. Related Articles | Metrics

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Differences and influence mechanism of enterprise product platform independence——A comparative case study Su Jingqin, Lin Jingjing, Zhang Yanming 2019, 40(10): 220-229.  Abstract ( 184 )   The importance of product platforms for latecomer complex industrial enterprises to gain competitive advantages has been fully discussed. However, the independence of product platforms and the mechanism behind didn’t receive ample attention. Product platform independence is significant for improving technological innovation level and production efficiency of complex industrial products. In China, it is more urgent to construct and accumulates a constantly updated independent product technology platform in the process of technology catch-up. Compared with the micro-factors of the product platform, the interpretation from the organizational level and the interaction between the organization and the external context gets closer to the essence of organizational competition. Therefore, based on the existing research, we select two state-owned enterprises, CNR Dalian Locomotive & Rolling Stock Co., LTD and FAW CAR CO., LTD, which have great differences in platform independence. With comparative cases study to analyze the key factors of product platform independence by comparing the research and development process of the typical product platforms of the two companies. Internal mechanism research of enterprise product technology platform independence will better guide the construction of a product platform for those later-come enterprises. We explore the main influencing factors of platform-independence and the mechanism between those factors. The conclusions are as follows: First, product-market structures, technology strategy, resource orchestration model are the major influencing factors of platform independence. Through the comparison of the cases above, independent product platform plays a key role in the continuous innovation of products and technologies in complex industrial enterprises. And technology strategy is an important antecedent factor in the construction of autonomous platforms. In cases of CNR and FAW, the two different technology strategies of “host-orientation” and “away-orientation” led to differences of product platforms for independence. Therefore, in the process of constructing the independent product platform of the later-come enterprise, the appropriate technology strategy should be selected in combination with the product-market structure. The technology introduction process should emphasize more technical cooperation rather than simple technology transfer. Especially in the process of technology introduction, the TMT should fully consider the requirements of platform independence and targeted response to the requirements. Second, under the influence of product-market structure and technology strategies, enterprises with different platform-independence choose different resource orchestration models: multiple orchestration and single splicing. Under the interaction between technological strategy and organizational resource coordination, there will be significant differences in the organization of resource orchestration modes－multi-resource orchestration and simple resource splicing. Report to a single resource splicing, multivariate resource orchestration not only has significant differences in resource efficiency but also directly affects the transition process between organizational heterogeneous resource possession and organizational capability. With simple resource splicing, organizations will gradually lose the ability to build platforms. While organizations under the multi-resource orchestration mode gradually get their independent platform building capabilities, ultimately achieving platform-independence. Therefore, for the independent product platform construction, the enterprises should select the multi-resource coordination mode under the guidance of the “host-orientation” technology strategy to build the platform construction capability. Third, the close interaction between products-market structures, technology strategy, resource orchestration models ultimate impact platform-independence. This study specifies the cause of the difference between product platform independence and the mechanisms of building an independent platform, which complements existing research on product platform. Through the comparative analysis above, the difference in product-market structure results in the difference of technology strategy, which leads to the difference of resource orchestration mode, and ultimately leads to the difference of platform independence. The difference between product and market structure as relatively objective situational factors determines different technical strategies. And Different technological strategies have further led to separate resource concerto modes. Under the guidance of the technology strategy of “cooperative consulting”, enterprises can more effectively internalize of external resources and improve bundling and utilization of internal and external resources. With technology purchase and the huge differences between internal and external technical resources, it is difficult for enterprises to achieve effectively the integration of internal and external resources, and lose the ability to build platform independent eventually. The formation mechanism of independent platforms at the organizational level is neglected by the previous product platform research. Therefore, the research on the influencing factors and the formation mechanism of the platform independence can further enrich the existing research on product platforms. According to the conclusions above, our research also has some management implications. First, the independence of the product platform, in essence, is the construction of the product platform leadership in the process of product platform accumulation. Product platform leadership means a dominant position in platform construction and improvement of the technical prospect. Built on the comparative study, the main influencing factors of product platform independence are product-market structure, technology strategy, and resource coordination mode. The interaction between the three determines the difference of the final product platform independence. Therefore, those later-come enterprises should focus on the product-market structures, technology strategy choices and resource orchestration mode selections during the process of the product platform building. Besides, according to the research conclusions, the choice of technology strategy and the effectiveness of resource coordination and the matching of the two factors are critical to the success of technology catch-up. Therefore, in the early stage of technology strategy selection, later-come industrial enterprises should pay more attention to the technology introduction strategy model of cooperation and consultation, and better not rely solely on the purchase and license of external technology. The later-come industrial enterprises can gradually realize the independence of the product platform through benign technical cooperation and interactive processes to get rid of the technical disadvantages and achieve technological catch-up. Related Articles | Metrics

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International entrepreneurial orientation, technology innovation ability and international performance of born global enterprises Zheng Xiaobi 2019, 40(10): 230-239.  Abstract ( 272 )   The born global enterprises conducting rapid globalization have become the emerging subjects of embedding and controlling global value chains in a country or special region. Starting from born global enterprises, through analyzing the pre-effect of international entrepreneurial orientation on the transformation of innovation ability into international performance, this paper reveals the formation path of such enterprises’ innovation ability, and builds a conceptual model of the relationship between international entrepreneurial orientation and international performance of born global enterprises. Through building the conceptual model and the questionnaire and the empirical analysis of 422 enterprises, this paper reveals the improvement mechanism of born global enterprises’ international performance and the moderating effects from industry technical attributes perspective. We find that the natural engine for global enterprises to enter, maintain and expand the international market is whether they have and can continue to form an entrepreneurial orientation of active competition, active innovation and risk-taking in international market. The stronger the willingness and ability of competition, innovate and taking risks in the international market, the higher the international performance of born global enterprises. Technology innovation ability also helps born global enterprises’ potential performance convert into the real international competitive advantage which is based on the growth of the overseas market and international business staff. The process of tacit knowledge accumulation, knowledge externalization and knowledge encoding of enterprises promotes the upgrading of technology innovation ability which is conducive to enhancing the ability of born global enterprises to cope with environmental changes, thus contributing to the growth of international market share and personnel size of born global enterprises. High technology industry has strong moderating effects on born global enterprise internationalization performance. By the characteristics of active competition, active innovation and risk-taking and the goal orientation of improving technology innovation ability, high-tech born global enterprises will pay more attention to the active competition and risk-taking spirit based on technology innovation, so that the international entrepreneurial orientation and technology innovation ability can be more effectively transformed into real international performance. Relatively speaking, born global enterprises in low and medium technology industries, may rely more on a vertical innovation based on product quality improvement and market scale expansion than those in high-tech industries. Therefore, the effect intensity of technology innovation ability and international entrepreneurial orientation will be weakened, so low and medium type technology industry has a weak moderating effects. According to the degree of the influence of technical attributes, international entrepreneurial orientation and technology innovation ability on internationalization performance, the moderating effects of technical attributes of born global enterprises can be divided into enhanced moderating effects(including extremely strong moderating effects, sub-strong moderating effects and weak-strong moderating effects)and weakened moderating effects(including very weak moderating effects, sub-weak moderating effects and strong-weak moderating effects)two categories and six subcategories. First of all, with the upgrading of industry technology from low and medium level to high level, both of them tend to increase the intensity of internationalization performance of born global enterprises, regardless of international entrepreneurial orientation or technology innovation ability. On the whole, when the born global enterprises belong to the low-and medium-tech industries, the industry technology level has a weakened moderating effect on the internationalization performance of the born global enterprises based on international entrepreneurial orientation and technology innovation ability, while when the born global enterprises are in the high-tech industries, the industry technology level has an enhanced moderating effect. In addition, from the perspective of international entrepreneurial orientation and technology innovation ability, the two moderating effects can also be divided into different types. When the international entrepreneurial orientation and technological innovation ability of the born global enterprises are very strong, the technical attributes of the high-tech industry will play a very enhanced moderating effect. The high-level international entrepreneurial orientation and technological innovation ability of the high-tech industry will greatly promote the internationalization performance of the born global enterprises. With the decline of international entrepreneurial orientation and technology innovation ability, even the born global enterprises in high-tech industries have a corresponding decline in the moderating effect of their industry technical attributes. They have experienced the evolution from sub-strong moderation to weak-strong moderation respectively. At this time, the born global international entrepreneurial orientation and technology innovation ability of high-tech industries are changing. As a result, the effect of internationalization performance improvement has been weakened. When the international entrepreneurial orientation and technology innovation ability of the born global enterprises are very low, the moderating effect of the technical attributes of the low-tech industries is very weak, and the low-level international entrepreneurial orientation and technical innovation ability of the born global enterprises play a very weak role in enhancing the international performance. Compared with trade-oriented enterprises, production-oriented born global enterprises have stronger willingness and motivation to compete actively in the international market, undertake risks and implement product innovation because of their corresponding product dependence. Therefore, there are significant differences in the correlation between the internationalization performance of production-oriented and trade-oriented born global enterprises and international entrepreneurial orientation and technology innovation ability. The size and age’s effects to born global enterprises internationalization performance are not significant. This paper not only enriches the theory of enterprise internationalization, but also provides a new theory basis and management practice for manysmall and medium-sized enterprises’ rapid internationalization. We suggest that the born global enterprises should not expand the market blindly after entering the international market, so that they choose internationalization route and schedule according to their own international entrepreneurial orientation and the technical innovation ability. As for the low-tech enterprises, the key is to cultivate and promote international entrepreneurial orientation and innovation ability, but for the high-tech enterprise, they should focus on the international entrepreneurial orientation, technology innovation ability and the technical attributes. In addition, the rapid globalization of production enterprise need help from innovative product or service, so as to improve technology value of product continuously which is the key to the success of production-oriented enterprises rapid globalization, however trade-oriented enterprise not only construct international marketing channel, but also should pay more attention to the accumulation of technical strength. Related Articles | Metrics

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An empirical research on the effect of corporate financialization on technological innovation Xu Shan, Liu Duchi 2019, 40(10): 240-249.  Abstract ( 344 )   In recent years, the degree of China’s economic financialization has increased rapidly. With the acceleration of the process of economic financialization, the operation of enterprises is increasingly affected by the financial market. A large number of studies have analyzed the financial motivation of non-financial enterprises from the perspective of preventive savings theory, financing constraints theory and internal capital market theory. The first is for the purpose of improving the business ability of enterprises, such as avoiding risks and saving taxes. The second is for the purpose of strengthening capital operation capacity. Internalization of the financial sector, on the one hand, forms complementarity between the financial business and the main business to achieve business expansion and resource integration; on the other hand, it can use financial means to carry out external mergers and acquisitions and restructuring, so as to achieve the strategic objectives of industrial integration, technology acquisition and market entry. The third kind of motivation comes from the pursuit of profits. With the increasing influence of financial market, the return on investment of financial assets gradually exceeds the profit margin of entity operation, leading non-financial enterprises to more and more tend to invest in financial assets. However, a large number of studies also show that enterprise financialization tends to lead to neglect of the development of its main business, excessive emphasis on short-term interests, and neglect of sustainable development. Whether in the United States, Britain, France and other western developed countries, or in Turkey, Mexico and other emerging market countries, enterprise financialization will lead to a decline in operational investment and capital accumulation. Then, in China, where the demand for economic transformation and upgrading is increasingly strong, a large number of non-financial enterprises are involved in the financial field, allocating capital originally used for operation to financial assets, and how this will affect technological innovation is an important issue worthy of attention. Considering the existing research, there are still some limitations in the selection of indicators to measure the level of technological innovation andfinancialization of enterprises. Innovation is the most important factor affecting the production efficiency of enterprises. However, the production efficiency of enterprises is also affected by the internal management ability, market control and external environment of enterprises. These factors need to be stripped when analyzing. The BCC-SFA-BCC model proposed by Fried et al. (2002) can simultaneously estimate and eliminate the difference between environmental factors and statistical noise, which provides a feasible way for this study. This paper takes 1131 A-share listed companies from 2008 to 2014 as the research object, and uses the three-stage portfolio efficiency method to measure the innovation performance of enterprises excluding the influence of management and environmental factors. The first step of the process is to use Input-oriented BCC model to evaluate the production efficiency of sample companies. The total annual average fixed assets, total average current assets and total employees of each enterprise are selected as input variables, and the annual main business income of each enterprise is selected as output variables to measure production efficiency. In the second stage, SFA model is used to separate management and environmental factors. Because Input-oriented BCC model is used in the first stage, SFA analysis of input relaxation variables is needed. Finally, as the management and environmental factors are stripped first, and then repeat the first stage of operation with the adjusted input variable to calculate the evaluation value of enterprise productivity excluding the management and environmental factors. When evaluating the production efficiency of enterprises, we try to eliminate the influence of management and environment. At the same time, we use multi-index system to reflect the financial situation of enterprises. From the perspectives of innovation investment intensity and innovation performance, we use econometric analysis method to explore the impact of enterprise financialization on technological innovation in China. The results show that at present, financialization has a pull effect on technological innovation of non-financial enterprises in China, whether from the perspective of innovation investment or innovation performance; the difference of profit margin between financial investment and real operation is an important factor affecting innovation investment of enterprises, when the profitability of main business is weak, Only when enterprises are financialized can they show “crowding-out effect” on innovation investment; moreover, the management efficiency and innovation performance of non-state-owned enterprises are higher than those of state-owned enterprises, and the “pulling effect” of financialization on technological innovation of non-state-owned enterprises is also higher than that of state-owned enterprises. The research expects to examine the mechanism of the impact of enterprisefinancialization on technological innovation in theory, and to explore its current situation in China, so as to provide guidance for the choice of development path and technological innovation strategy of enterprise financialization under the “new normal” situation. From the empirical results, China has not yet seen excessive financialization, and the impact of enterprise financialization on technological innovation is more manifested in the “pull effect”. At present, the financial development of Chinese enterprises plays a promotive role in improving their operating capacity and optimizing the allocation of resources. It has a positive impact on technological innovation of enterprises. Enterprises should be encouraged to rationally improve their efficiency through financialization, but also to prevent the weakening of the real economy caused by over-virtualization of the economy. For non-financial enterprises with poor performance, they should be guided to realize transformation and upgrading through technological innovation, so as to avoid excessive “crowding-out effect” on the real economy. In addition, the efficiency of state-owned enterprises still has much room to improve, financialization can be an effective way, but essentially still lies in the reform of the system and mechanism and the improvement of the management and control system. State-owned enterprises are facing the dilemma of weak innovation ability, inefficiency and rigid control. Their operating efficiency and innovation efficiency are still lower than those of non-state-owned enterprises. In the period of economic transformation, facing the problems of industrial restructuring and eliminating excess capacity, it is an effective way to make rational use of financial resources to enhance profitability and capital operation ability. But fundamentally, it is necessary to make a painful determination to improve the system and mechanism, enhance the level of management and control, give full play to the advantages of innovation and speed up enterprises. Related Articles | Metrics

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Effect of assets of newness on the marketing performance of small and micro enterprises Yang Yan, Jing Fengjie 2019, 40(10): 250-258.  Abstract ( 276 )    Small and micro enterprises (SMEs) contribute significantly to China’s economic development and people’s livelihood but have high failure rates. This prominent contradiction has aroused great concern in the management field. However, previous related research addressing this issue seems to be cut into two independent fields: entrepreneurship and marketing. Researchers in entrepreneurship field have been overemphasized on the liability of new ventures, neglecting the fact that new ventures can also benefit from their distinct advantages. Marketing scholars have fully studied the strategies to improve the marketing performance of enterprises, but mainly focusing on large and medium-sized enterprises. SMEs possess the characteristics of both small enterprises and start-ups. The feature of SMEs including the organizational structures, management means and market environments they facing is quite different from those of the mature large and medium-sized enterprises, so that the traditional marketing theory is often ineffective for SMEs in some degree. Therefore, it is necessary to integrate the research findings from these two areas above to establish a marketing performance improvement model which fully considering the special characteristics of SMEs. The previous study usually identified newness of start-ups as various disadvantages. Indeed, new ventures actually have some unique strengths that mature enterprises do not possess. Assets of newness (AoNs) are defined as some positive characteristics that start-ups rather than mature enterprises possess. This kind of asset is only related to the age of the enterprise, and often manifested as a novel appearance. It originates from the short time of the establishment of the enterprise and in turn has been endowed with many positive characteristics by stakeholders. Nagy et al. (2014) first propose that AoNs comprise of seven dimensions, including the technology level, organizational age, reliability, usability, responsibility, organization elasticity and energy. When start-ups make use ofAoNs, they only need to make use of the external image of the enterprise rather than substantive marketing activities to show all kinds of benefits that only new ventures own. All these characteristics, as well as the related positive associations and perceptions of customers, will contribute to growth of start-ups in their early stages. Meanwhile, unlike other types of legitimacy, cognitive legitimacy can be enhanced through knowledge development based on symbolic language, symbolic action and myth. The majority of SMEs often use symbolic information resources to create legitimacy because of their lack of resources and ability to conduct any substantive marketing actions. AoNs show potential customers a positive "stereotype" of new organizations. These impressions are just fit with the consumers ideal image of corporations. Therefore, they could increase customers’ perception of cognitive legitimacy of new ventures. In light of the characteristics of AoNs and the positive impacts of cognitive legitimacy on the marketing performances, three hypotheses are put forward: H1:AoNs could have positive influence on marketing performance of SMEs ; H2: AoNs could have positive influence on customers’ perception of cognitive legitimacy of SMEs ; H3: Customers’ perception of cognitive legitimacy plays a mediating role on the relationship between AoNs and marketing performance of SMEs. Customer orientation usually doesn’t have a direct impact on the marketing performance of SMEs, but it can take indirect effects through various mediating mechanisms, such as innovation, product quality, etc. It is urgent for new ventures to gain legitimacy in order to show their stakeholders that they have the qualifications and abilities to participate in the market and ultimately get essential resources from stakeholders. Star-ups can conduct substantive marketing actions to satisfy the requirements of the external environment to achieve cognitive legitimacy. Through the implementation of customer orientation, new ventures can respond quickly and appropriately to customer needs, thus they can quickly obtain customers’ perception of cognitive legitimacy of new ventures, and ultimately lead to the improvement of customer satisfaction and the improvement of enterprise marketing performance. three hypotheses are put forward: H4: Customer orientation has a positive impact on the marketing performance of SMEs; H5:Customer orientation has a positive impact on customers’ perception of cognitive legitimacy; H6: Customers’ perception of cognitive legitimacy plays a mediating role between the relationship between customer orientation and the marketing performance of SMEs. When competitors in the market are aggressive, they not only draw the attention of the target customers, but also enhance customers’ expectations for the excellent enterprises in the industry. Consequently, it becomes more difficult for start-ups to satisfy the potential customers. We propose two hypotheses: H7:The higher the market competition intensity is, the smaller the impact ofAoNs on customers’ perception of cognitive legitimacy is. H8:The higher the market competition intensity is, the smaller the impact of customer orientation on customers’ perception of cognitive legitimacy is. Based on legitimacy theory from entrepreneurship research and marketing strategy theory from the marketing field, this study builds up an integrated theoretical framework on how to improve SMEs’ marketing performance from the perspective of the customer. The model is empirical tested by conducting a structural equation model and multi-level regression analysis based on the questionnaire survey data of 653 SMEs from online sample service. The results show that：(1) The marketing performance of SMEs could be improved by utilizing AoNs as well as conducting customer orientation, while AoNs have greater impacts than customer orientation. (2) Customers’ perception of cognitive legitimacy contributes greatly to the marketing performance of SMEs, and also mediates the relationship between AoNs and the marketing performance of SMEs, customer orientation and the marketing performance of SMEs. (3) Competitive intensity exerts a moderating effect on the relationship between AoNs and customers’ perception of cognitive legitimacy. When the competitive intensity is high, the role of AoNs on customers’ perception of cognitive legitimacy will become smaller, and the influences of customer orientation on customers’ perception of cognitive legitimacy will decrease, either. This study enriches our understanding of the marketing performance of SMEs in China, and sheds light on theAoNs in the marketing research field. It provides a new perspective and direction for the new small and micro enterprises to improve and enhance their marketing performance practice. Chinese entrepreneurs are encouraged to make full use of their own advantages and should pay more attention to the cognitive legitimacy from the perspective of customers. Related Articles | Metrics

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Identifying lead users in open innovation community based on extended netnography Wang Li, Li Qinfang, Ma Yunlong 2019, 40(10): 259-267.  Abstract ( 434 )   Lead users have the characteristics of being ahead of market trend and high profitability expectation. On the one hand, they have the novel demand that will be popularized in the target market in a few years or months; on the other hand, they can obtain great benefits from the solution that meets the novel demand. With the development of information technology, lead users play an important role not only in traditional environments but also in open innovation community. Nowadays, lead users have become a powerful enabler of product innovation. However, identifying lead users online is a new topic, and related research is scarce. According to previous research, methods to identify lead users in the era of Internet include virtual stock, online forum survey and netnography. Among them, virtual stock adopts experimental methods, so it is difficult to be applied to online communities; online forum survey distributes questionnaires to community users, but the rate of responses is usually low. Relatively speaking, netnography is a more objective and feasible method of identification. Netnography is composed of Internet and ethnography. It adopts techniques used in ethnographic research and the observation method to study online communities. It follows four steps, the online community selecting, data collecting and analyzing, reliability testing, and research ethics following. It can analyze user behaviors in online communities, and its advantages are fast, simple and inexpensive. But when netnography is used to identify lead users, there come some defects. First, it only pays attention to users with high activity who post more while ignores users with low quality. Second, it is only for food industry, not concerning about high-tech industry. Third, it does not classify lead user characteristics. Last, testing the effectiveness of extended netnography method only use the questionnaire method, lacking a more objective method. Therefore, Belz & Baumbach (2010) suggested that future research should use an extended netnography methods to solve these problems. The extended netnography method is aimed to (1) improve the original netnography method and to study various user behaviors in online community; (2) pay attention to both the users who post more and post less at the same time when selecting research objects; (3) become suitable for analysis in the research fields of consumer goods as well as high-tech products; (4) not only use qualitative methods, but also combine quantitative methods, which classifies users by factor analysis and cluster analysis, and uses the grounded theory to test effectiveness of the identification method. This paper studies the lead user characteristics in the open innovation community at first, and proposes three characteristics, which are demand leading, active expression and community power. Demand leading refers to the demand for products from lead users before the birth of new products. These advanced demands help to realize new products, indicating that these users have the ability to innovate. It reflects quality of participation, including the ability to grasp market trends, dissatisfaction with existing products, relevant product knowledge and experience. Active expression refers to the initiative of knowledge contribution and the enthusiasm of answering questions or helping other users, indicating the great enthusiasm of user participation. It reflects the quantity of participation characteristics, including the number of questions and answers from users. Community power refers to the ability to radiate and influence other members in the community, and reflects the characteristics of interaction effects, that is, it can attract the attention of other users, and be responded by other users. Then, based on the extended netnography method, qualitative netnography and quantitative data analysis are combined to identify lead users. First, according to Kozinets’ (2002) criteria, we selected an open innovation community, in which community members can conduct in-depth and full discussion on a topic. Then, we paid attention to both the active and inactive users in the community, collected relevant data, and identified lead users by the factor analysis and cluster analysis. At last, the grounded theory was used to sort out and compare the posting content of lead users in community and market trends, and to test the external validity. In this study, we took 103 users of the community as research object following the community selection principle. Based on Java in MyEclipse 2014, we took the web crawler method to obtain users’ data, including 7 indicators such as the user’s most valued posts, numbers of entries extracted from lead-users database, number of questions, number of answers, number of fans, number of praises, and number of other users’ responses. We standardized these data, and performed factor analysis and cluster analysis. At last, we identified 2 lead users among them. By taking grounded theory, we used theoretical sampling, open coding and selection coding to analyze and compare the content from lead users and the new product functions on the market, to verify the external validity of the identification method. In this study, after comparing the post contents and the new functions of sweeping robots in the future market, we found that most of the suggestions put forward by lead users will be reflected in the future new product functions, which proves the effectiveness of the extended netnography method adopted to identify lead user.  Based on previous research, this paper further expands the research on lead user identification in the open innovation community, echoes Belz & Baumbach’s (2010) suggestion that future research should adopt the extended netnography method. This study clarifies the method in selecting online community guidelines, and follows research ethics and steps consistent with the original netnography method. Moreover, it highlights that the extended netnography method is superiority to the original netnography method in community and user selection, data collection, data analysis, etc. The research helps to improve the lead user identification method and lays a solid foundation for future behavioral research on lead users. In terms of practical value, this research helps companies to identify lead users from massive online user data in this big data era with an improved online approach that is easier, more efficient, and cost-effective to fully exploit its value. Related Articles | Metrics

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Causes and effects of organizational routine updating in the context of environmental uncertainty Wang Yongwei, Han Yafeng 2019, 40(10): 268-277.  Abstract ( 238 )   The subject of organizational routines updating has always been the main content referring to organizational behavior science and some studies on enterprise strategy, and also such research plays an important role in addressing issue in the research field of organizational routines. The specific objective of this study was to mainly discuss what are the main factors influencing organizational routines updating and how organizational routines updating has an impact on organizational performance. Also, this research makes a respective discussion about two relationship, they are the relationship between the behaviors of CEO transformation leadership and organizational routines updating as well as the relationship between organizational routines updating and organizational performance. In the meanwhile, the moderating effect of environmental uncertainty on the relationship between the behaviors of CEO transformation leadership and organizational routines updating has also been found and demonstrated in this paper. This study seeks to obtain data which will help to address these research issues. Specifically, this research collected data by holding a great deal number of questionnaire investigations in 232 the different companies of Shanghai city, Wulumuqi city of Xinjiang province, Zhengzhou city of Henan province. The subjects of investigation this research mainly aiming for are manages who work in middle-high post of companies. After arranging data from the questionnaire investigations, SPSS and AMOS statistical analysis software was used to hold a deep data analysis. The results of this investigation indicate that: (1) The behaviors of CEO transformation leadership could have an obvious and positive effect on organizational routines updating and promote effectively organizational routines updating. (2) The behaviors of CEO transformation leadership could exert an obvious and positive influence on organizational performance, organizational routines updating could exert a mediating effect between the behaviors of CEO transformation leadership and organizational performance among those factors. (3) Environmental uncertainty would have a moderating effect between the behaviors of CEO transformation leadership and organizational routines updating. In the environment with a high uncertainty, the behaviors of CEO transformation leadership have an obvious influence on the organizational routines updating. On the contrary, in the environment with a low uncertainty, the behaviors of CEO transformation leadership have a slight influence on the organizational routines updating. The findings of this study have a number of important implications for future practice. In the end, this paper put forward some management solutions and suggestions. (1) The principal theoretical implication of this study is that CEO have to keep the heterogeneity in terms of employees, innovations and actions in organizations. In the business environment with many frequent and fast changes, if managers of companies are willing to provide a lot amount of motivation and source for organizational routines updating, they have to make use of diversity and heterogeneity at three aspects including talent level, innovation level and action level. Furthermore, the behaviors of CEO transformation leadership are the strong points to provide supports to the talents, innovation and action in companies, they even should encourage employees to make some mistakes during the work and give employees enough support in order to help them make more innovations, which can provide motivation to form a promotion in the organizational routines updating. (2) The current data highlight the importance that enterprises should keep balance of redundancy between the core departments in some degree. Managers should offer the certain amount of redundancy among the core departments, which can make buffer in order to resist unknowable risks so that provide more redundancy for organizational routines updating. At the same time, such redundancy among the core departments supply foundation for organizational innovation and organizational routines in terms of exploration, variation and choice. (3) The results of this research support the idea that managers of companies should be capable to manage the environmental uncertainty effectively. Dealing with environmental uncertainty effectively by setting a series of reflection and self-adapting system of organizational routines updating is a necessary and important ability that an excellent enterprise manager should own. In the enterprise internal, mutation and choice of organizational routines is a process during the management. The inherence of diversity, choice and innovation in one company could happen only in a positive conditional environment. Therefore, CEO have to cultivate and build a set of mechanism that reflect and circle and self-adapt organizational routines updating, which give a guide on exploration, variation and choice of organizational routines to manage effectively environmental uncertainty. This study is an important part in the field of organizational routines. The study of organizational routines upgrading focuses on the relationship between organizational routines and environmental adaptability, is the extension of organizational routines study. By illustrating the positive effect behaviors of CEO transformation leadership on organizational routines upgrading and the mediating effect in high environment uncertainty and low environment uncertainty, this study became an important part in the field of organizational routines and at the same time, provides valuable insights for managerial practices. How to promote organizational routines upgrading? How to effectively copewit the uncertainty in management environment? At the end of this article, it offers suggestions from the perspectives of employees, managers and departments, that is: by maintaining diversity within employees to boost innovations, by keeping a certain amount of redundancy between departments to create space for the "search", "mutation" and "selection" of organizational routines and by improving managers’ ability to cope with future uncertainty to promote the upgrading of organizational routines. This research is of important theoretical significance and practical significance for enriching the research results referring to organizational routine studies. Related Articles | Metrics

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Current situation, problems and countermeasures for management of the results of projects funded by Guangdong Natural Science Foundation Duan Yizhu, Zhang Yinling, Lin Zhenliang 2019, 40(10): 278-281.  Abstract ( 284 )   Outcome management plays a critical role in the middle and later stage of project management. By gathering up the outcomes of funded projects, the research achievements and funding effect of funded projects are unveiled to the scientific and technological circles and the public. Besides, outcome management of funded projects contributes to sharing the outcomes with society and their conversion. Generally, the outcomes of fundamental research are not directly applied to society and of no practical application value. Nevertheless, they feature original innovation, which can be the base of further research and makes the outcomes a component of the integrated application to provide related knowledge for applied research. Moreover, outcome management of funded projects is good for discovering disciplines′ growth points and optimizing discipline arrangement. By years of management practice, Guangdong Province Natural Science Foundation has built a relatively complete management system in project application, review, approval, etc. In contrast, outcome management, which is carried out in the middle and later stage, remains a huge weakness. There are too many result analyses and management work summaries and inadequate systematical and constant collections, analyses, and presentations of outcomes. Moreover, project research achievement data was not fully extracted, achievements were not manifested enough, and there was a lack of crucial feedback of comments and advice for improvement, which led to vagueness in the effect of funded projects and didn′t reflect the integration profit of outcomes as well.  Currently, the National Natural Science Foundation has the most integrated project outcome management system which includes special management system, annual report and service sharing website. In comparison, there′s a universal lack of special systems or regulations on outcome management of provincial and municipal natural science foundations throughout China, while related regulations for outcome management are generally listed in the documents of provincial and municipal natural science foundation management methods. In this paper, based on the analysis of current situation of outcome management of projects funded by Guangdong Province Natural Science Foundation and practical management situation of the foundation, main issues of the outcome management of projects funded by the foundation is pointedly analyzed to work out new ideas in the mode of outcome management of funded projects, including developing outcome management measures for the projects funded by Guangdong Province Natural Science Foundation, and to provide institutional basis for realizing science-based, legal, and efficient outcome management of funded projects; the outcome management system is perfected in aspect of outcome evaluation, statistical analysis of outcomes deep in the system, and outcome gathering; based on outcome data collection, outcome analysis framework is established, and the type, structure, effect and conversion result of the projects funded by Guangdong Province Natural Science Foundation are analyzed by means of statistical methods and professional statistical tools to pave the way for performance evaluation and achievement sharing of Guangdong Province Natural Science Foundation. Related Articles | Metrics

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A study of the countermeasure in informationized scientific research management in the era of big data Wang Xiaoxia 2019, 40(10): 282-288.  Abstract ( 369 )   The informationized scientific research management is one of the main channels to improve the level of research management. By imploring adaptable patterns of research management in institute, functions of the informationized system in scientific research management, and effects of the informationized system in the innovation of research management, this article presents some thoughts on the innovation of the informationized research management in the era of big data to deal with the problems therein. 1.Current problems of research management informatization (1)The information construction of research management is outdated and presents lower level, while research institutes lack their own research management information system. (2)The recognition and emphasis by the leadership and researchers of institutes have direct impacts on the information construction of research management. (3)Lack of interdisciplinary talents. (4)The leadership and researchers have biased perceptions on research management. (5)Inaccurate orientation of research management, and the lack of innovative thinking and awareness on it. (6)The misunderstanding of project management that only the project approval and declaration are highlighted as the project closure is neglected. 2.Discussions on information construction model of research management in research institutes At present, network construction has provided flawless basic service for information construction. We can completely utilize computer information technologies based on the network, to speed up theinformatization course of research management, and improve its level. For better processing of research management information, a complete information system must be developed. To start from the management of information content and combine with the management requirements, we can realize theinformatization of research management, as well as the feedback and utilization of information collection, processing and storage in a good information system, which can make research management play a great role in a short time. With the increasing number and funding of research projects in research institutes, information construction has made higher and more stringent requirements for research management. The core of research management in research institutes is to establish an efficient and orderly management system, and to build a dynamic, passionate, and competitive management team. With regard to the current problems of research managementinformatization, we have made the following suggestions for its development: (1)Improve the leadership′s awareness on the development and construction needs of research managementinformatization. (2)Increase the investment for the buildup of research information resources. (3)Strengthen the talented workforce construction for research managementinformatization. (4)Design and development of suitable research management information system for research institutes. 3.Practical cases of research management information construction -- Core functions of research management information system Naturally, the research management information system has multiple functions, but the more prominent ones definitely are project management, result management and personnel authority priority management. Ultimately, the higher requirement and upgrade function of the system are to set up research management knowledge system. 3.1 Research project management function: Research project management is the focus and lifeblood of research management; therefore, the project management module naturally is the uppermost priority within the research management information system. 3.2 Intelligent analysis and decision-assisting function: Through its backstage database, the system can provide data aggregation, statistical analysis and intelligent decision analysis for users to get the overall situation of the research, and create favorable conditions for the formulation and implementation of research policies to timely adjust research direction and integrate the predominance of disciplines. 3.3 Personnel information authority management: Research management is inseparable from users of different roles, such as ordinary researchers, experts and scholars, research assistants and management staff. In consideration of the confidentiality of research work, the research management system should set different permissions for each type personnel according to the needs of research management jobs. Another consideration is that research management must have a comprehensive and dynamic understanding about researchers and research-related information, to integrate research information and academic resources, to optimize research academic teams and make breakthrough on high-level scientific research problems, and also have an accurate and comprehensive knowledge about the research results such as books, papers, patents and achievements rewards published and got by researchers.  3.4 Establish research management knowledge system: The system of research management information platform can collect and sort out research management data, including in-depth recording of cases and information interactions drew from the research management process, providing system data resources, and promoting the integration of research institutions to form a knowledge-based management system through classified storage and knowledge extraction, thereby to improve the self-learning and technological innovation abilities of research institutions. 4.Role and effect of research management information system on research management innovation The research management information system is able to: (1) make research topics be scientific; (2) prevent duplicate funding requests or results-reusing for the same topic; and (3) conduct repeated research on different levels or among different fields for the same or very similar problems. 5.Reflections on information construction innovation of research management in research institutesin the era of big data 5.1 The research management in research institutes is essentially inseparable from research. 5.2 The research management in research institutes needs the management of business technologies. 5.3 The research management in research institutes demands research management staff to act with international vision. 6.Main conclusions and epilogue Research managementinformatization is a major innovation in the transition from traditional to new management methods, an important part of the information construction, as well as the trend of popularization and development of informatization. Research institutes should pay adequate attention to it, while overcome various difficulties and develop a feasible development strategy, to virtually improve the efficiency of research management. We should stand on a new starting point, adhere to the guidance of the scientific outlook on development, forge ahead in an innovative and enterprising spirit, and further deepen the reform of the research management system. Information system construction is a systemic project. Each research institute should conduct demand analysis, set up system plans and objectives, and design various modules for the system according to its own situation. In fact, at every stage of the development of system implementation, it is more important to broaden minds and lay foundation for the information system of multi-intelligent research services in the future. Related Articles | Metrics