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    20 February 2020, Volume 41 Issue 2 Previous Issue    Next Issue

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    A survey of the enterprise technology innovation project fund expenditure: A case of innovation-oriented enterprises in China
    Zhang Chidong
    2020, 41(2): 1-10. 
    Abstract ( 228 )  
    Based on a long-term tracking questionnaire survey of 499 innovation-oriented enterprises (IOEs) in China, the characteristics of the expenditure structure of enterprise technology innovation project fund in IOEs are analyzed. It is all known that the research on the characteristics and rules of technology innovation at the project level of enterprises is critically important and distinctly difficult because the enterprises questionnaire need to open some even systematic information of their innovative activities which they never disclosed to the public. National IOEs are chosen as the survey object, rather than by random sampling to select enterprise investigation, because these national IOEs technology innovation ability is not only outstanding, but also has a good industry distribution, type distribution and size distribution, as well as higher efficiency of the enterprise innovation management, and it′s more important of their greater willingness to accept the questionnaire survey so that they could collect and send back a clear, accurate and effective information feedback of their innovation project. 
    An object method was used in order to gain micro-data of expenditure of enterprise technology innovation project. In terms of content design of the questionnaire, expending items of enterprise technology innovation projects are divided into five categories, which are R&D expenditure, technology-introduced expenditure, pilot plant test expenditure, new product market research and test marketing expenditure, and personnel training expenditure. Among them, the R&D expenditure is further divided into basic research expense, applied research expense and experimental development expense. 
    The results of the survey show that the median value of an investment amount of single enterprise technology innovation projects is relatively concentrated at less than RMB 30 million, while the average value of it is larger than median value. This is a very important data, which could reflect the basic structure and most advantage of national IOEs on technology innovation input. It is worth noting that these data comes from the best part of national IOEs, which is in fact the cost data of the most successful technology innovation project in the past three years of national IOEs, so that it can not represent the technology innovation situation of all enterprises while it could be valuable to hint the future development trend of enterprises technology innovation in China. 
    The results of the survey also show that R&D expenditure is the main expending item, pilot plant test expenditure accounts for relatively low, technology-introduced import expenditure is an important cost, the ratio of above-mentioned three items is 1:0.5:0.4, as well as distinctions of expenditure structure of different technology-starting points of projects or different industry of projects. This result is obviously different from the empirical conclusion of some experts that the pilot test cost is significantly higher than the R&D expenditure, its ratio is nearly 10:1. After several discussions, we believe that the ratio does reflect the typical characteristics of technology innovation on the project level of national IOEs in the current stage of economic development, which is the characteristic of micro technology innovation behavior that is often ignored.
    After further investigation of IOEs basic research activities, we know that the R&D funds are divided into three categories: basic research, applied research and experimental development. In terms of the number of enterprises, only 11 out of 208 surveyed IOEs have basic research activities, accounting for only 5%. The ratio of enterprises carrying out basic research, applied research and experimental development is 1:10:8. It is worth emphasizing that a breakdown analysis of R&D expenditure in technology innovation projects of IOEs shows that a few leading IOEs carrying out basic research have emerged in China′s innovative enterprises, which is a very important phenomenon. The survey results also show that the starting point for research, development phase of technological innovation projects is the most, accounting for 60.1% of all survey items; then, technological innovation projects starting from the production stage, accounting for 27.4%. Finally, the technological innovation projects starting from engineering and trial production, accounting for 12.5%. This result reveals an important feature that most of the technical innovation project of IOEs is no longer on improving of existing technology to match the market, but for some innovating demand that has not yet had a supply of technology, to organize to carry out R&D activities, for meet the needs of new technology, namely the IOEs technology innovation projects have more originated in the atypical supply market demand. 
    In addition, the questionnaire has classified the IOEs by industry, and found that these IOEs were relatively concentrated in 13 industries. In order to distinguish the industrial characteristics of technology innovation projects, this survey introduces the classification method of industrial technology intensity, and then divides 13 industries into high-technology intensity industrial group, medium-technology intensity industrial group and low-technology intensity industrial group. So some industrial traits are revealed that distribution of three technology intensity industrial group is more balanced including 4, 5 and 4 industries, respectively.Moreover, the proportion of R&D expenditure in the three technology intensity industrial group is characterized by "high-high-low" distribution characteristic, etc. 
    Then, there are three main conclusions drawn from this study. First, a few IOEs in China have entered into a new stage of innovation development requiring carrying out basic research activities, and openness is the typical characteristic of their current basic research activities. Second, IOEs have begun to initiatively organize large-scale industrial technological innovation cooperation in the market, highlighting the main position of technological innovation of firms in a national innovation system in China. Third, the technology innovation of IOEs is still remaining at a stage of paying attention to technology acquisition while making light of technology application development, which is regarded as its significant feature of technology innovation that is "building a new tower on the foundation of others". At the same time, it also puts forward some policy enlightenments such as supporting the basic research of IOEs and strengthening the expenditure of pilot plant scale in firms.
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     An analysis of measurement and visualization of international science and technology policies
    Zeng Li, Li Zili, Li Yang
    2020, 41(2): 11-25. 
    Abstract ( 265 )  
     Science and technology policy is the policy and related regulations formulated by the state to achieve the goal of scientific and technological development in a specific period. Its core mainly involves how to allocate supporting resources for scientific behavior to achieve the goal of best serving the public interest.In order to quantitatively demonstrate the landscapes and emerging trends of science and technology policy research in the past 70 years, besides a survey of domestic research, this paper uses a new data search strategy to comprehensively evaluate the research of science and technology policy by using 12170 relevant literature records in the web of science Database from 1947 to 2018. In data display, the latest development trend in this field is comprehensively displayed by more abundant means.
    The research data of this paper is based on the time limit of 1900-2018 in the web of science database, according to the subject search formula "(TS = ("science policy" or "technology policy" or "S & T policy" or "R & D policy" or "science and technology policy" or "research policy")) or (so ="research policy")" to retrieve and delete the irrelevant literature, 12170 literature records are obtained.The research methods in this paper include bibliometrics and research methods. Specifically, using the self-researched document analysis tool TVIZ, the knowledge elements of the literature in the field of “science and technology policy” were separately counted and corresponding charts were drawn. Using Citespace and VOSViewer, Keyword, Institute, Author, etc. are selected as the analysis objects, and the analysis object is analyzed by keyword co-occurrence analysis, institutional cooperation analysis, author collaboration analysis, and the corresponding scientific knowledge map is drawn.
    Through the comprehensive use of the self-research literature systemTviz, CiteSpace, VOSViewer and other tools, the research literature of the Web of Science database for more than 70 years (1947-2018) was deeply analyzed, the technical maturity curve was drawn, and the organization cooperation map and author cooperation were constructed. Maps, keyword clustering maps, and emergent word detection maps, the study draws the following conclusions.
    The technology maturity curve shows that science and technology policy as a special research direction is gradually receiving the attention of researchers, but the current research is still in the development stage, and the maturity is 30.91%. There are still a lot of unknown areas to explore. It is necessary to increase the research efforts, and will enter the mature period in 2055.
    The statistical distribution map shows that from the perspective of international cooperation, countries have strengthened scientific cooperation and the R&D network has become increasingly dense. The United States, the United Kingdom, and Germany are active promoters of research in this field. They are located all over the world, regardless of the number of documents or the number of institutions. In terms of research focus, countries are different. The United States and the United Kingdom focus on "science and technology interface, ecosystem services, innovation", etc.; the Netherlands focus on "science and technology interaction, border operation, uncertainty", etc.; Canada and China focus on "innovation,bibliometrics, research and development, scientific exchange", etc. In terms of scientific influence, the United States, the United Kingdom, Germany and the Netherlands have great influence in this field. From the perspective of cooperation, Australia, Sweden and the Netherlands have a high proportion of international cooperation, while the United States and China have a relatively small proportion of cooperation.
    In the field of research, science and technology policy is an interdisciplinary subject of education, society, economics, politics, medical treatment, ecology,etc, with main research fields include management, environmental science, interdisciplinary, education, economy and public management. From the perspective of journal distribution, policy research, scientometrics, environmental science and policy, health service policy research, science and public, technology prediction and social change, social science and human value, technological innovation and social science and medical treatment. There are many journals published in terms of policies, technology predictions and social changes. In terms of research institutions, among the 6032 research institutions in this field, 1168 institutions with a H index of more than 3 mainly focus on universities to promote the development of this field. Among them, University of Sussex, University of Manchester, Georgia Institute of Technology, Massachusetts Institute of Technology and University of Amsterdam rank the top five. Harvard University, Georgia Institute of technology and Sussex University started earlier with rich achievements and close cooperation. In the cooperation of authors, there are 21762 scholars in this field and 331 with H index above 5, indicating that there are a large number of researchers in this field and a large number of highly influential authors. Among them, the research team represented by truffer Bernhard, leydesdortf loef, Salter Ammon is of great importance and worthy of attention.
    The keyword co-occurrence map shows that high-frequency vocabulary such as “innovation, science, knowledge, policy, performance, company, management, influence, patent, university and market” represents the research hotspot of current science and technology policy. "Communication science, uncertainty, experience, risk assessment, internationalization, competitive alliance" and other key words with turning and intermediary functions represent the new theory or bridge research in this field. From the perspective of keyword clustering, the earliest clustering is # 6 (R & D policy), and the average year is 1998, which shows that the early research of science and technology policy mainly focuses on R & D policy, innovation, industry, academic consultation, emerging technology, research policy, strategic group, cluster analysis, regional economy, export and other issues. The latest two clusters are cluster #22 (International Science and Technology Policy) and cluster #23 (Trinity), with an average year of 2010, among which the representative words are "transition period, international climate agreement, management function, impact assessment, technical style, technology spillover, priority, organization scale, specialty, scientist", etc., which are the concerns in the past decade.
    The detection pattern of emergent words indicates: from 1990-2000 "biotechnology, government, ethics, innovation, risk assessment, basic research" to 2001-2010 "industry, information technology, globalization, company, patent, innovation system "Economy", after 2011, "vulnerability, China, challenges, flexibility, science policy interface, social science", etc., the research frontier in the field of science and technology policy has been changing dynamically with the changes of the times.
    In summary, through the use of bibliometrics, knowledge maps and visualization, the development degree, research status, research hotspots and frontier development trends of science and technology policies are revealed. The research results have certain reference value for promoting the development of science and technology policies. However, this study is not comprehensive enough, and the follow-up work needs further improvement.
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     A research on innovation-driven effect of two-way FDI interactive development in the manufacturing industry
    Xu Lei, Tang Shanshan, Zhang Ximing
    2020, 41(2): 26-39. 
    Abstract ( 234 )  
     Over the past 40 years of reform and opening-up, China has deepened its industrialization process stimulated by factors such as demographic dividends. In 2018, China ′s manufacturing industry accounted for 29.4% of its GDP, far exceeding that of developed countries such as the United States, Japan, and Germany, and continued to consolidate China ′s status as a “big manufacturing country”. At the same time, however, problems such as "big but not strong" and "lack of innovation" in China′s manufacturing industry are becoming increasingly acute. Hence, in order to get rid of the hat of "world factory" and to complete the transformation and upgrade from "made in China" to "created in China", "innovation-driven" must be taken as one of the most important guidelines. Under the current increasingly prominent trend of globalization, however, relying solely on our country′s own R&D investment to enhance manufacturing innovation capabilities is no longer the best choice. International direct investment provides an important way. For a two-way investment country like China, it is particularly important to use two-way FDI to enhance manufacturing innovation capabilities. This paper reviews the research on the impact of international investment on innovation capabilities, and finds that most studies focus on the impact of one-way FDI on innovation capabilities, while only a few studies integrate two-way FDI into an analytical framework at the same time. However, the coexistence of two-way FDI has long been an indisputable fact in China, and it is biased to simply study the impact of IFDI or OFDI on innovation capabilities. In addition, since manufacturing industry is the main body of China′s real economy and the main battlefield of innovation activities, it is unavoidable to deeply investigate the impact of two-way FDI interactive development on the innovation capacity of China′s manufacturing industry. This study is of important practical and theoretical significance for the transformation and upgrading from "made in China" to "created in China", the promotion of "innovation-driven development strategy" and the realization of high-quality development of China′s manufacturing industry.
    Given the above reality and theoretical background, this paper collects and sorts out a panel data of 27 industries in China′s manufacturing sector from 2003 to 2017 from China Statistical Yearbook, China Industrial Statistical Yearbook, Statistical Yearbook of Scientific and Technological Activities of Industrial Enterprises, and China Statistical Yearbook of Science and Technology. The research process is conducted through the following procedures. Firstly, this paper uses the Granger Causality Test to verify the interactive development relationship between two-way FDI in China′s manufacturing industry, and adopts the Capacity System Model in Physics to measure the degree of two-way FDI interactive development. Secondly, this paper constructs a panel data model to empirically analyze the innovation-driving effects of two-way FDI interactive development in China′s manufacturing industry. Finally, this paper divides the data of China′s manufacturing industry into three groups of industries such as labor-intensive, capital-intensive and technology-intensive manufacturing data, and empirically analyzes the industry heterogeneity of the innovation-driving effect of two-way FDI interactive development among the three groups of manufacturing industries.
    Empirical research finds that, firstly, there exists a significant interactive development relationship between IFDI and OFDI in 27 manufacturing industries, and that different factor endowment and other industry characteristics in manufacturing enterprises also lead to significant industry differences in the extent of FDI interactive development, whereas the highest level of two-way FDI coupling and coordination is found in technology-intensive industries. Secondly, the extent of two-way FDI interactive development in China′s manufacturing industry has a significant positive effect on the innovation capacity of various industries, that is, the two-way FDI interactive development in China′s manufacturing industry does have a significant innovation-driving effect; There is significant industry heterogeneity in the innovation-driving effect, of which the highest level of the innovation-driving effect could be found in technology-intensive industries, followed by labor-intensive industries and the lowest level in capital-intensive industries. In addition, the input of scientific research talents and scientific and technological funding are still key factors in improving innovation capabilities, but the effect of these two factors on the improvement of innovation capacity varies across industries, which may be subjected by the comparison between the "incentive effects" and "cost effects" of innovation input into innovation activities in various industries. Moreover, the enhancement effect of government support, openness, foreign trade competition and other factors on the innovation ability of various industries may present industry heterogeneity due to the different possibilities of occurring phenomenon such as "innovation erosion" and "false innovation" in various industries.
    Based on the above conclusions, this paper draws the following policy implications. On the one hand, at the current stage, in order to improve the innovation capability of manufacturing industry in China, the driving effect of two-way FDI interactive development on the innovation ability of China′s manufacturing industry cannot be ignored. While insisting on "Bringing in" and "Going out" strategy, the government should carry out more institutional innovations in the areas of investment, trade, finance, supervision, and legal protection when constructing "Free Trade Zones" in various regions, and make great efforts to optimize the international investment environment, to promote the formation of interactive two-way FDI development and to enhance the innovation capability of the entire manufacturing industry in China. On the other hand, the impact of industry characteristics on the two-way FDI interactive development and its innovation-driving effects should be fully emphasized. Different industry policies should be formulated based on industry differences such as factor endowment, industry size, institutional environment, and market players. In addition, since the highest level of innovation-driving effect of two-way FDI interactive development is found in China′s technology-intensive manufacturing industry, among which industries such as "communications equipment, computers and other electronic equipment manufacturing", "transportation equipment manufacturing", "electric machinery and equipment manufacturing" are particularly prominent. When implementing the strategies of “Bringing in” and “Going out”, the government should pay more attention to these technology-intensive industries and implement a corresponding policy in order to give full play to the innovation-driving effects of two-way FDI coordination and interaction in these industries.
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     An evaluation of creational and original innovation capacity of regions based on AHP-TOPSIS and SOM cluster analysis methods
    Zhu Mengfei, Chen Shouming, Shao Yuexin
    2020, 41(2): 40-50. 
    Abstract ( 254 )  
      With the development of society and cooperation, science and technology increasingly affect people′s well-being. Innovation is closely linked to the future and destiny of the whole country. To improve the creational and original innovation capacity is not only the essential requirement of regional high-quality development, but also the strategic choice to meet with the international challenges. The improve of the creational and original innovation capacity becomes an important starting point for transforming the mode of economic growth. Therefore, what is the creational and original innovation capacity and how to evaluate the capacity of a region are important topics. Through the design of a reasonable evaluation index system, this paper evaluates the creational and original innovation capacity of 31 provinces in China, in order to provide references for all regions to carry out activities to improve the creational and original innovation capacity.
    The main work of this paper is as follows. First, this paper sorts out the definition and connotation of the creational and original innovation capacity, and establishes the corresponding evaluation index system. Since the connotation of the creational and original innovation capacity is complex with many interacting factors, it is of importance to select multiple interrelated and dependent evaluation indexes accurately and comprehensively. Based on the principles of systematization, comparability,scientificalness and practicability, this paper designs an evaluation index system of the creational and original innovation capacity, with 4 first-level indexes, 12 second-level indexes and 40 third-level indexes. These indexes are selected from 4 aspects including new academic thought, new scientific discovery, new technological invention and new industrial direction. Meanwhile, three dimensions are also considered including innovation foundation, innovation input and innovation output. The evaluation system built in this paper comprehensively covers the relevant factors of the creational and original innovation capacity. 
    Second, this paper selects the real data of 31 provinces and regions of China in 2017, uses AHP method to determine the index weight, and combines TOPSIS method to evaluate and rank the creational and original innovation capacity. AHP and TOPSIS are two classical decision-making methods, which are widely used in evaluation. The combination of the two methods can make the evaluation more scientific and reasonable. It not only reflects the idea of hierarchical analysis, but also pay attention to the characteristics of each index data itself. The integrated method can deal with the comprehensive evaluation information objectively and is suitable for the evaluation of the creational and original innovation capacity. According to the built evaluation index system, a three-level analysis model is established. The target level is the creational and original innovation capacity. The middle level includes 4 secondary indicators, and the indicator level includes 40 tertiary indicators. According to the experts′ opinions, the weight of each evaluation index is determined. The comprehensive evaluation values are calculated by TOPSIS. By calculating the distance between the data to the positive and negative ideal solutions, the relative closeness can be obtained. In this paper, the relative closeness shows the creational and original innovation capacity, which means the larger the relative closeness is the better the capacity will be. The combination of AHP and TOPSIS improves the operability of evaluation and the reliability of the results.
    Third, this paper also uses SOM algorithm to cluster the evaluation values of the creational and original innovation capacity, which aims to divide provinces and cities in China into various groups. SOM is a kind of unsupervised machine learning method. Through repeated learning, SOM can capture the pattern characteristics of each input. Compared with other clustering algorithms, SOM can automatically find the internal regulations and essential attributes in the data and the operation result is stable. SOM method can effectively solve the problem of unclear grouping boundaries caused by small differences in data, reduce the subjectivity of artificial observation ranking, and make the grouping results more objective and scientific.
    The main conclusions of this paper are as follows. First, through the interpretation of relevant policies and concepts, this paper illustrates that the concept of innovation in the new era should include the following two features:on the one hand, it should completely cover technological innovation and industrial innovation; and on the other hand, it should provide a good environment for cultivating innovation elements and innovative behaviors. Therefore, the creational and original innovation capacity refers to the innovation capacity of from scratch in the aspect of technology and industry. Moreover, a province with good creational and original innovation capacity should not only focus on innovation activities, but also guarantee the continuous progress of innovation, which means to make every potential innovation subject have the chance to innovate and grow continuously. Second, the evaluation results of AHP-TOPSIS methods show that Beijing has strong creational and original innovation capacity, followed by Jiangsu and Guangdong, while Hainan, Guangxi and Xinjiang are in a backward position. Third, the SOM clustering divides China′s 31 provinces into 4 categories. The first category is the provinces and cities with relatively excellent creational and original innovation capacity, including the first-tier cities such as Beijing and Shanghai. The second category is the provinces and cities with better creational and original innovation capacity, represented by Zhejiang and Shandong. The third and fourth categories are areas with relatively weak creational and original innovation capacity, represented by traditional agricultural provinces and some remote provinces such as Guangxi and Xinjiang. 
    This paper is one of the earliest attempts to evaluate the creational and original innovation capacity of provinces and regions in China, which helps the public to better understand the differences of the creational and original innovation capacity among various provinces and regions in China.
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     A research on the evaluation of emerging gerontechnology industry and its regional development
    Huang Lucheng, Li Jin, Miao Hong
    2020, 41(2): 51-59. 
    Abstract ( 204 )  
     The population is aging increasingly rapidly along with the advancement of emerging technology applications. Encouraging innovation in science and technology may lead to the aging industry being poised to be practical. Although the term gerontechnology industry is used universally, there is no definition of its concept, characteristics, nor categorization at the industry level. Although domestic research in theory and industry has cubes on the aging or pension industry, the research topics and research methods rarely involve science and technology or technological innovation, and there is no related research on the emerging gerontechnology industry.
    Given this, this paper firstly defines the concept of the emerging gerontechnology industry and distinguishes it from aging-related concepts. Then it demonstrates five inner-structures and five main characteristics of the emerging gerontechnology industry. The five characteristics are science and technology-intensive, industrial convergence, growth and emerging, supply and benefit for people, economic potential. 
    Secondly, it analyses the influential factors of the emerging gerontechnology industry development and proposes an evaluation index system, in which the weight is based on the Maximizing deviation method. The TOPSIS method is used to evaluate the development of the emerging gerontechnology industry in China′s province-level administrative regions. It shows that the development of the emerging gerontechnology industry differs: Most of the regions have not reached the average of the development index of the emerging gerontechnology industry, nor the average of secondary indicators; the innovation ability of the emerging gerontechnology industry is weak, which industrial R&D investment accounts for less than 1% of the sales revenue, and the number of effective invention patents granted by enterprises is less than one. 
    Thirdly, the paper proposes the concept and calculation method of pension sharing value. The pension sharing value refers to the benefits the elderly received from the development of the emerging gerontechnology industry. The growth rate of the development index of the emerging gerontechnology industry is higher than the growth rate of the population aging index. It reveals the compatible development of both and the guarantee of pension sharing value, yet the pension sharing value of most province-level administrative regions has not reached an average of 14 province-level administrative regions. 
    Finally, to solve the problems in the development of China′s emerging gerontechnology industry, three suggestions are put forward: to develop a plan of the emerging gerontechnology industry for improving the policy and strengthening the foundation of industrial development; to nurture the actors of industrial innovation and enhance industrial supply capacity; to enhance the innovation capacity of the emerging gerontechnology industry.
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     A research on evaluation of disciplines in universities based on ESI data
    Zhang Wanshu, Wang Xuefeng, Yu Xuan
    2020, 41(2): 60-72. 
    Abstract ( 209 )  
     Discipline construction is an effective way to improve the academic level of universities. Essential Science Indicator (ESI) ranking has become one of the most important evaluation indicators in the world, which widely be used to evaluate the international academic level and influence of universities. ESI ranking also be widely used in China, however, there is a tendency of "quantity only" in discipline evaluation in Chinese universities at present and ESI ranking. It should be pointed out that ESI Category combine a wide range of other sub categories, but the ESI ranking cannot represent the same raking in these sub categories. Most scholars based on the the amount of articles, total article times cited and other amount indicators in discipline evaluation, whose suggestions for discipline construction in universities stay at a macro level. Also the same amount of the same discipline in different universities or regions does not mean the same development status of these universities or regions. The development of its sub discipline may be different. These kind of evaluation method may obscure the key problems in the development of discipline construction in universities. Based on the former analysis, a new discipline evaluation method is conducted, through the perspective of the composition of disciplines, hoping to provide suggestions for discipline construction in universities and to explore a new perspective of discipline evaluation.
    In order to connect the relationship between the discipline and its sub disciplines, firstly, establish the correspondence between ESI category and Web of Science Category through the correspondence between ESI category and literatures, and between literatures and Web of Science Category. Web of Science Category have been seen as the sub discipline of ESI in case study.Referring to the summary of Stirling′s article to diversity, diversity can be evaluated by two dimensions for variety and balance. Diversity can represent the development of a system. Also, discipline diversity can represent the development of a discipline: a well-developed discipline first needs to develop in various sub disciplines, and at the same time, these sub disciplines need to develop well at the same time. While discipline variety and discipline balance can respectively evaluate the development of discipline.The coverage fraction of discipline in sub discipline and the one substation Gini index have been chosen to respectively measure the discipline variety and discipline balance.
    In the case study, C9 League in China, Excellence 9 League in China and the top three universities in ESI ranking in January 2019 amounted 20 universities as research object. 13,676 ESI high cited papers from 20 universities which are derived from 1,433 journals were obtained to evaluate the development status of 22 ESI categories. The high cited papers collection time is in January 2019 and collected from Web of Science database. The journal list provided by ESI database is used to establish the correspondence between ESI category and Web of Science Category. Discipline variety and discipline balance is computed by the number of high cited papers in Web of Science Categories to evaluate the development of ESI categories in 20 universities. Furthermore, to combine two indicators of discipline diversity, three typical disciplines are evaluated in depth through Skyline Theory. Chemistry and Materials Science are the advantage disciplines in Chinese universities at present, while Computer Science is the basic discipline needed for the developing of science and technology facing the information age and big data age. Therefore, these three disciplines have been chosen as the typical disciplines. Skyline Theory is used to combine the two dimension of variety and balance for discipline diversity. The performance of two indicators in twenty universities is showed in the skyline figure and the skyline dot set representing the best performance in typical discipline is also showed. Also the impact of the amount of high cited papers to the two indicators is considered. Finally, in order to further explore the distribution of Web of Science Category in three typical disciplines and verify the rationality of the evaluation of discipline diversity and discipline balance, the cumulative figure of top ten advantage Web of Science Category in typical disciplines have been drawn.
    The research shows that, firstly, the differences between discipline variety and discipline balance is showed in different ESI categories in twenty universities, the twenty universities shows better performance in Chemistry, Materials Science in discipline variety and discipline balance, and little differences between universities. The above could be regarded as advantage disciplines in China; In Social Science, Economics and Business, twenty universities show poor performance and little difference in discipline variety, but great differences in discipline balance. The above subjects can be regarded as weak disciplines in China. Secondly, among the three typical subjects, the development of Materials Science in twenty universities is relatively balanced, while there are differences in Chemistry and obvious differences in Computer Science. This conclusion can also be confirmed through the analysis of the cumulative figure of Web of Science Category. In general, a discipline evaluation method based on the perspective of discipline diversity is conducted by discipline variety and discipline balance. This evaluation method can be extended to the limited Web of Science Category range and specific Web of Science Category weight. Through case study, this method can effectively evaluate the status of discipline development in universities, help to discover the problems in discipline development in universities, provide new ideas for effective discipline evaluation, and provide decision support for building a balanced and coordinated discipline ecology. There are following deficiencies: firstly, the membership degree of Web of Science Category in different ESI Categories is ignored; Moreover, the author in different order has different contribution. And the impact of order of authorship in high cited paper is ignored; Then, only high cited papers is considered.The above three points may have influence on the conclusion and the supplement of theses factors needs to be further discussed in the follow-up research.
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     Additional deduction policy, R&D manipulation and independent innovation of private firms
    Wan Yuanxing, Xu Yongbin, Xu Wenhan
    2020, 41(2): 83-93. 
    Abstract ( 310 )  
     The independent innovation and sustainable development of private firm have been highly valued by the Chinese government. At the executive meetings of the State Council in December 2018 and January 2019, Premier Li Keqiang pointed out that increasing support for the private economy and SME must be the first item on the agenda, and the tax burden for private and SME is estimated to be reduced by 200 billion yuan per year. A large number of studies have also proved that tax incentives can reduce innovation cost and make them more market-oriented, which has been widely used in practice (Jia and Ma, 2017; Lee and Bell, 2018; Ni and Wang, 2018). The additional deduction policy is a main policy for the government to encourage firms to innovate, which has been continuously revised from the aspects of preferential intensity, applicable industries, the collection scope of R&D expenses and so on. However, in recent years, some firms have manipulated R&D expenses to obtain the policy benefits, resulting in the capital market failure and the loss of national fiscal and tax resources. Therefore, the research of R&D manipulation is helpful to improve the additional deduction policy, and of a great practical significance for the development of Chinese private economy.
    The researches for additional deduction policy are numerous, and most of them have adopted qualitative paradigm in early years (Song et al., 2009; Fan et al., 2011;Lian et al., 2012). In recent years, only a few of them have adopted empirical methods to analyze the impact of the additional deduction policies on the innovation of listed firms, and the research results are controversial. For example, Ren and Song (2017) believed that the additional deduction policy could reduce the innovation cost by indirectly increasing capital supply, which could further encourage firms to make independent innovation. Many other researches, such as Zhang et al. (2016) and Xi (2017), also prove this incentive effect. However, Wang (2017) found that additional deduction policies was not as successful as expected in micro high-tech firms. Furthermore, Wang and Ye (2018) used DID model to find that it is not conducive to independent innovation by using both additional deductions policy and tax rates policy. Therefore, the effect of additional deduction policy remains to be tested.
    Different from the above literatures, this paper evaluates the effect of additional deduction policy from the perspective of R&D manipulation. Yang et al., (2017) and Sun (2018) are the documents closest to the topic of this paper. Based on the innovation data of Chinese listed companies from 2008-2014, Yang et al., (2017) found that the effect of tax policy was distorted, and somefirms were encouraged to manipulate R&D expenses by adjusting accounting items, actual business and other means, resulting in a phenomenon that the proportion of R&D investment was clustered near the policy threshold. From the perspective of principal-agent, Sun (2018) explained the formation motivation of R&D manipulation such as "innovation for identification" and "pseudo-high-tech". The above research focused on " Target achieved type " R&D manipulations, which may be just the tip of the iceberg. Just as Wan and Xu (2019) point of view, both capitalized or expended R&D investment can be deducted. In order to reduce tax burden, firms that have reached the policy threshold still have the incentive to participate in R&D manipulation. Different from the above studies, this paper takes the more inclusive additional deduction policy as the evaluation object, trying to systematically and comprehensively analyze the law and consequences of R&D manipulation. The main content of this paper is as follows:
    Firstly, this paper discusses the effect of additional deduction policy on private firm independent innovation from the perspective of R&D manipulation,and proposes three hypotheses: H1, there is a positive effect of additional deduction policy on private firm independent innovation; H2, R&D manipulation has a negative moderating effect on the relation between additional deduction policy and private firm independent innovation; H3, the effect of R&D manipulation is more remarkable on the firms which are profitable, non-family controlled, non-high-tech, or in the regions where tax regulation is weak. 
    Then, the data of Chinese private listed firms from 2008-2017 is applied for the empirical tests. The test results are as follow: 1. The additional deduction policy encourages private firms to innovate independently. Because of the deductions, the amount of taxable income and innovation cost will be reduced, and meanwhile the profits of R&D products will be increased as well as the innovation willingness; 2. R&D manipulation are not conducive to the stimulation of additional deduction policy. R&D manipulation includes the fees of non-R&D activities fee or non-operation equipment into the R&D expense item, which reduces the allocation efficiency of firm innovational resources. Meanwhile, senior executives can take advantage of the regulatory vacuum and information advantages brought from R&D manipulation to realize their personal interests, resulting in the firm′s short-sighted decision-making; 3. The effect of R&D manipulation is more significant on the firms which are profitable, non-family controlled, non-high-tech, or in areas where tax regulations are weak. The intention of additional deduction policy is to encourage firms to make independent innovations, but this paper finds that additional deduction policy has a stimulation distortion effect, inducing private firms to manipulate R&D expenses.
    Finally, based on the previously research, this paper gives the following suggestions: 1. To raise the violation cost. The additional deduction policy should clearly stipulate that the R&D manipulation must be subject to more serious penalties, so as to increase the R&D manipulation costs; 2. To improve the audit quality. With the guidance of industry experts, the government should cooperate with accountants to make a reasonable judgment on the collection scape of R&D expenses; 3. To improve the tax supervision. This paper finds that R&D manipulation is more significant in regions where tax regulations are weak. Therefore, the government should regulate the tax collection activities of the tax departments, and improve the tax supervision reasonably. Policy makers should explore more effective tax incentive policies so as to grasp the new round of scientific and technological revolution and industrial transformation, and further implement the strategy of innovation-driven development.
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    Global industrial structure evolution driven by innovation diffusion: A study of agent-based simulation
    Zhong Zhangqi
    2020, 41(2): 94-103. 
    Abstract ( 221 )  
     At present, as the trend of economic globalization and regional economic integration becomes increasingly prominent, the recovery in advanced economies such as the U.S. and EU is relatively weak, and more seriously, the adverse effects of the economic recession on these countries′ industry development are continuing. At the same time, with the rapid development of economic industries in emerging countries such as China and India, the global institutions of international power are undergoing a profound restructuring, and more importantly, of particular concern is that the geopolitical game between countries and groups of countries is rapidly intensifying. All of these are hindering the development of global economy industry. In addition, due to the differentiation of innovation diffusion, the global geo-economic structure caused by the difference in industrial development will vary significantly. A large number of previous studies had shown that the international geopolitical position of each country will vary with the interests of its economic and industrial structure. In other words, the global industrial structure will have a significant impact on the geopolitical stance of each country or region. This will not only affect the current development of international relations among regions, but also seriously affect the sustained growth of the global economy. Therefore, in this context, for the related stakeholders, it is of great practical significance to discuss the evolution of global industrial structure driven by innovation diffusion. 
    Overall, using theoretical analysis or statistical analysis models, previous studies primarily focused on the impacts of innovation diffusion on the evolution of regional industrial structure at the macro level, but further expansion and deepening are needed in the following two aspects. The one aspect is that the evolution of global industrial structure is not revealed from the perspective of the whole world in the prior studies. Another aspect is that studies regarding how firms′ innovation diffusion affect the evolution of macro industrial structure from the micro level are relatively small. In addition, with the advent of the era of knowledge and information economy, economic and industrial competition between countries is becoming also more prominent. In order to make the development of regional industrial structure gain more advantages in the global geo-economic competition, for the related stakeholders, performing actively technical innovation to promote transformation and development of regional industrial structure has become an important strategic measure in various regions. In the context of new economic geography, technical innovation diffusion occurs and develops in a multi-regional environment, and it could promote the transformation and upgrading of regional economic industrial structure through driving the evolution of industrial structure, and thus a new global geo-economic industrial structure characteristics among regions could be formed accordingly. In other words, firms′ technical innovation diffusion may bring about a new round of restructuring of the industrial structure of the global economy. Currently, there are few studies on this problem, and this paper attempts to make up for it. 
    Given that, based on the method of agent-based simulation, through combining and integrating firm behavior in terms of innovation diffusion at the micro-scale, this paper conducts a new analytical framework to further explore the impact of large sets of heterogeneous firms′ behavior on the evolution of regional industrial structure, and then examine the global industrial structure evolution driven by innovation diffusion. Our primarily conclusions are as follows.
    One finding from this study is that, for different countries of regions in the worlds, process innovation is more conductive to promoting their secondary industry development, while product innovation would be more helpful for driving their industry structure development in terms of tertiary industry. Specific to see, driven by process innovation, the output share of the primary industry and the tertiary industry in these regions decreased, and the output share of the secondary industry increased. Driven by product innovation, except for the United States, the share of output in the primary industry declined slightly. The output share of the primary industry and the tertiary industry for all other countries or regions increased significantly. Also, the output share of the secondary industry in all countries declined to some extent.Driven by both product innovation and process innovation, for the developing countries like China and India, from the perspective of output structure, the output share of the primary industry and the tertiary industry increased, while the output share of the secondary industry decreased. Generally, compared to driven by process innovation and driven by product innovation, driven by both product innovation and process innovation is more conducive to promoting regional industrial structure upgrading. 
    Another important finding is that, for some developing countries like China, Russia and India, a downward trend regarding the ratio between economic output in the primary industry and total economic output in the national economy is particularly apparent. However, an upward trend of economic output from the tertiary industry in China is the most obvious, followed by the U.S and Russia, respectively. Furthermore, as for economic output in the secondary industry from most regions in the world expect for the U.S and Russia, the share of economic output in the primary industry to total economic output in the national economy all is in a rising trend. In general, our results find that driven by firms′ technical innovation diffusion (both product innovation and process innovation) is more beneficial to promoting the global industrial structure toward the tertiary industry evolution and development. In terms of innovation governance policy, this result could provide an important theoretical basis for the related stakeholders to formulate global economic industrial governance policies.
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    Thoughts on organization and management of key scientific research projects 
    in colleges by taking the “National Key R&D Program” as an example 
    Liu Junliang, Wang Yanchao
    2020, 41(2): 277-282. 
    Abstract ( 272 )  
     After the reformation of the national science and technology system, the national science and technology plan have significant strategic, guidance quality and directivity. The establishment of the national science and technology plan project highly reflects the will of the State and the needs of national development. Major changes have taken place in the formation mechanism and management mode of projects of the national science and technology plan projects, which put forward new requirements for the application, organization and management of the national science and technology plan projects. As an important base of enhancing national independent innovation ability, the universities should make full use of their advantages and solve their shortcomings, striving actively to undertake national science and technology projects, which is of great significance to enhance the original innovation ability of universities and accelerate the cultivation of innovative talents. 
    Taking the National Key Research and Development projects as an example, the research on the special projects and implementation of the National Key Research and Development plans mainly focuses on a specific field or a specific organization. However, it is fall short of summarizing and analyzing the common problems of universities in the process of special declaration of the National Key Research and Development projects plans. In this paper, some suggestions and advice are made on the effective participation of universities in the National Key Research and Development projects of universities based on combing the formation mechanism and organizational management characteristics of the National Key Research and Development projects and analyzing the advantages and disadvantages of universities in participating in the National Key Research and Development projects. 
    According to the characteristics of the National Key Research and Development projects, including their strategic feature, exclusiveness, and coupling effects, as well as the whole chain innovative design from the front, major general key technology and application examples, and integrated requirements for organization and implementation, the universities should make full use of their advantages of solid foundation, complete disciplines and abundant scientific research personnel to solve the issues of insufficient demonstration ability, low transfer rate of achievements and relatively backward management idea. Based on the advantages and advantages, they should actively strengthen cooperation with scientific research institutes and enterprises, seek breakthroughs, establish and improve the cooperative innovation mechanism of joint tackling key problems of "big corps", construct the management mode of efficient sharing and cooperative innovation, strengthen strategic research, combine their own characteristics and regional characteristics, give full play to their advantages, perfect the relevant system construction, and make the rights, obligations and management procedures of management departments. We should improve the system basis, innovate management methods, and do a good job of service guarantee, so as to focus on improving the original innovation ability of universities and the ability to solve major national needs, accelerate the training of innovative talents, and promote economic and social development.
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     An analysis of the driving factors of the growth of projects supported by the 
    National Natural Science Foundation of China in IAS, CAAS since the implementation of the 12th Five-Year Plan
    Xu Zhe, Zhou Lingyun, Tang Xiangfang
    2020, 41(2): 283-288. 
    Abstract ( 174 )  
     Institute of Animal Science, Chinese Academy of Agricultural Sciences was established in 1957 and it is a national multi-discipline research organization in the field of animal sciences. The Institute of Animal Science, Chinese Academy of Agricultural Sciences sets up 5 research departments, namely: Animal Nutrition and Feed Science, Animal Biotechnology and Reproduction, Animal Germplasm Resources and Production, Grassland Science and Veterinary Medicine as well as a central laboratory for chemical analysis. Institute of Animal Science, Chinese Academy of Agricultural Sciences carries out applied and fundamental research and technical development and research with swine, poultry, cattle, sheep and goats as main research objectives. The institute puts emphasis on the areas of germplasm resources, genetics and breeding, reproduction, feed science, nutrition and animal bio-technology, veterinary medicine, in order to solve the scientific and technical problems in animal production which are crucial, basic, commonly encountered or orientation-determining for the animal production. Moreover it is also engaged in organizing and coordinating key national research projects, extension of research achievements and advanced techniques, training of high-ranking scientists and technicians, promotion of domestic and international scientific exchange and collaboration. 
    The National Natural Science Foundation of China(NSFC) plays an important role in promoting the ability of undertaking national scientific and technical projects, enhancing the basic research and independent innovation, supporting the industrial development, training research teams and extending the international academic influence for the Institute of Animal Sciences of the Chinese Academy of Agricultural Sciences. 
    Based on the summary and analysis of the number of applications and projects funded by NSFC, the funded rate and the distribution of disciplines and fields since the implementation of the 12th Five-Year Plan from the Institute of Animal Science, Chinese Academy of Agricultural Sciences, we analyzed the overall development trend and the major driving factors of the growth on projects supported by NSFC from Institute of Animal Science, Chinese Academy of Agricultural Sciences in three aspects. They are the macro level of the State, the medium level of the institute and the micro-level of NSFC′s delicacy management. Besides, we summarize the refined managerial experience of the institute′s projects funded by NSFC, propagate the culture of NSFC and build up the mechanism of mobilization and examination. Furthermore, based on the gap of the National Natural Science Foundation of China undertaken in our institute, we put forward some ideas about designing the strategic layout in top-level, constructing and developing the discipline and training the talent team. Meanwhile, we also take some measures to tap potential in the application of NSFC, widen application type and increase application quality. At last, we expect to further improve the management and service level of NSFC and move forward the work of NSFC into a new phase, which will provide strong scientific and intellectual support for establishing world-class agricultural research institution and innovation-oriented country.
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