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Address correspondence to Hung-Chun Huang,
Department of International Business Studies, National Chi Nan University,
1, University Rd., Puli, Nantou 54561, Taiwan.
Tel.: 886-49-2911249
Fax: 886-49-2912595
E-mail: anfang886@gmail.com
1
Abstract
effects of national innovative capacity via the international diffusion of embodied and
disembodied technology by two different social network models: the cohesion model,
based on diffusion by network position similarity. This investigation then utilizes data
national innovation performance through contagion effects, but that the international
network position than by interactions with others; and this study result provides a new
Keywords
2
1. Introduction
Technology capacity is closely related to national cultural [3, 4] and social setting
[9, 10]. In most countries, the main sources of technological progress leading to
determines its national technology development policy, its decisions depend not only
on its own situation [16], but also on the advice or experience of other nations [14].
the need for interaction between developers and global users of new technology to
enhance development and execution processes [18, 19]. However, previous studies
3
proximity influences national innovative capacity remains uncertain. Meanwhile,
obtaining foreign advanced technologies involves several different channels [20, 21].
questions raise above remain unanswered. Particularly, while these questions related
to multilateral interactivity are best understood as social network issue, few explicit
social network analyses of these questions exist. The related ideas of international
activity via network analysis have been extensively employed to study international
R&D networks [22, 23], national technological systems [24] and international
technology diffusion [25]. Therefore, this work examines social contagion effects,
using cohesion and structural equivalence models to explore the critical mechanisms
influencing national innovation performance. Thus, this study has the following
Subsequently, section 3 presents the research hypotheses related to the testing and
4
measurements and models of social network analysis employed to investigate the
This study employs the contagion effects derived from social network analysis
diffusion. Therefore, this section reviews the relevant literature concerning the
concept(e.g. [1, 2] ) and a suitable measure based on patent [26]. Innovative capacity
primarily depends upon the technological level and sophistication of an economy and
the investments and policy choices of both institutions and the private sector [2]. The
capability of national technology results from the hybrid of the improvement, creation
industry, and operation in social system [27, 28]. Thus, national innovation
performance is closely related to national cultural [3, 4], social setting [5], social
capital [6, 7], and knowledge diffusion network[16]. Measuring national innovation
All of these are products of innovation efforts, and even represent direct indicators of
innovative output [2]. Therefore, international patents are the most useful available
5
measure for comparing innovation output across countries and over time [8, 26, 29].
Furthermore, patents for the national implications not only demonstrate technological
capability changes [16, 26, 29-31] but also present national innovativeness [32-34].
national innovation effort [26, 35, 36]. Thus, based on previous studies (e.g.[1, 2, 4,
16, 26, 37]), patent output can represent innovative output. Additionally, Furman &
Hayes [8] note that PATENTS correlated positively with the true level of
new-to-the-world innovative output in their model, and that it appears to be the best
available indicator for comparing national innovation output across countries over
time. Trajtenberg [36] even considers international patents “the only observable
using patent data to investigate flows of technology across both developing and
Furthermore, recent research has demonstrated that in most countries the main sources
of technological progress leading to productivity gain are from abroad rather than
6
exceptional form of communication, and involves participants providing and sharing
international product life cycle theory; however, this theory focus upon production
sites shifting process and trade flow rather than the influence of technology diffusion
[42-44] divides international technology diffusion into rent spillover and pure
knowledge spillover.
The type of rent spillover, referring to the price of new products for which
innovation technology knowledge exists, cannot fully reflect the high quality of
intermediate products at certain price that does not mirror their actual value can enjoy
the benefits of R&D conducted by other countries; that is, the purchasing country
embodied technology are observable based on trade flows and foreign direct
investment [43, 46]. Moreover, most related studies (for example [10, 11, 47, 48])
New growth theory argues that the marginal profit from capital investment is not
certain to decrease over time, and accumulated capital can sustain long-term GDP per
capita; this theory also deems knowledge to be the public goods in the capital
7
accumulation and the creation of an increasing rate of return via the spread of
economic growth. Smith & White [49] demonstrate a positive relationship between
global economics through trade flows. Coe et al. [50] find it better to measure
trade-related spillover using trade in capital goods rather than total trade. Hence, this
numerous noncommercial channels. Thus this kind of diffusion can be called active
8
[52] indicates that based on the definition of a patent, technology includes not only
legally guaranteed patents and trademarks but also the sophistication technique for
tangible merchandise.
technology innovation performance [26, 30, 31]. Numerous researchers have taken
(e.g.[42, 56]) , with the importance of a patient increasing with frequency of citations.
knowledge spillover.
Lundvall [57] argues that the production and diffusion of new knowledge
occurs in the mutual learning of members, and that is conducive to the development
and diffusion of new technology. This if this study observes the influence of social
beliefs involuntarily follow those of others in the same social system [58]. Contagion
is often used to describe the processes involved in social influence. Restated, social
contagion arises from actor proximity in social structure using one another to manage
synapse over which innovation is transmitted. The related ideas of contagion effect on
9
diffusion[60], science and engineering technology diffusion[61, 62], efficiency
learning and diffusion networks[63]. This study employs network analysis to examine
process in social network analysis. While the ego hesitates to make a decision, he will
seek alters who he trusts for consultation, mostly owing to the relationship of
cohesion between them. The more intimate and frequent interactions between ego and
alter, the greater the influence of alter on the opinion and behavior of the ego [64].
The frequency, intensity, and closeness of interaction among cohesive actors leads to
increased recurrence of action than it does among non-cohesive actors, not only
increasing the opportunity to transmit social clues [65], but also resulting in network
constraints among them. Some social network researchers interpret cohesion from a
group perspective. Festinger [66] defines cohesion as “the result of all the forces
acting on all members to remain in a group.” Actors in cohesive groups exhibit greater
behavioral conformity and accordant relationship than those in less cohesive groups.
Social structure is a configuration of social relations among actors where the relations
opportunities for information sharing and thus government policies similarity between
partner countries [14]. This study thus examines the influence of cohesion mechanism
identity, before the ego acts, it observes alters’ acts, and then corrects its actions. Ego
10
compares himself with those alters who he sees as similar in network aspects [64].
The comparison is actuated if actors are competing [59]. Therefore, the comparison is
most frequently operated using the concept of equivalence. Equivalent actors are
another socialization process. The actors in the structural equivalence mode exhibit a
similar pattern of relations to other actors in the social configuration [65], despite not
necessarily having direct ties with one another. The similarity of patterns arising from
social context creates powerful internalized pressures with which actors must comply
the position of others. This study thus applies the structural equivalence model to
3. Hypotheses
social contagion effects, via the cohesion and structural equivalence models, and
the cohesion model, primarily the significant alter within a cohesive group influence
actors who directly contact one another. In the structural equivalence model, the alter
in the similarity of network position influence actors and they may not have direct
interactions with. Hence, the hypotheses in this study employed the contagion model
11
The social influence process of cohesion model is focused on the interaction
between the ego and alter. When actors encounter tough questions or deal with
something, their attitude and conduct will lean towards alters within the same group.
The cohesion model incorporates the opinions, behaviors, attitudes, and policies
connecting actors. Therefore, the policy making of a given country promptly follows
that of an alter country, since both share a common assessment of the costs and
benefits of interaction [59]. Consequently, this study assumes that countries belonging
to the same group can use cohesion mechanisms to influence national innovation
embodied technology.
disembodied technology.
Burt [68] argued that ego behavior is predicted more accurately by structural
competitors can readily follow changes made by egos [64]. Actors accept innovations
when they see them being applied by others structurally equivalent to themselves.
Owing to similarity, actors become aware of competition, and then take others as
behavioral paradigm. Therefore, the more similar the structural position of the ego to
12
alters, the more likely that alters will substitute for the position of the ego [59].
According to Burt, this study determines that actors within the structural equivalence
model are competitive with each other. Burt applied structural equivalence to the
study of industrial structures, and also concluded that actor adoption behavior is
triggered by structurally equivalent others within the network. This study thus
3.3. Comparison
numerous scholars argue that ego behavior is more likely to be affected by alter
having the same network position than by alter interacting with each other [14, 59, 60,
62]. Consequently, the contagion effect of the structural equivalence model should
exceed that of the cohesion model. The hypotheses used to compare the performance
13
Hypothesis 6: In terms of international diffusion of disembodied technology, national
4. Methodology
and significantly related to international technology diffusion [4, 16, 44, 69], Xu &
Wang[70] and Shih & Chang[25] propose that international technology diffusion is
weighted coefficient, this study considers total national R&D expenditure when
measuring the degree of international technology diffusion. Equation (1) shows the
Here, ITDij represents the degree of technological knowledge diffusion from country
i to country j, RDi is the R&D expenditure of country i; and rij represents the
formulas, rE ,ij ,t and rD ,ij ,t . This study defines the embodied form of diffusion as rE ,ij ,t
[25].
M ij ,t
rE ,ij ,t = l l
i ≠ j, i, j, l = 1,2 … ,42 ...........................(2)
∑∑ M
i =1 j =1
ij ,t
Mij,t represents country j importing capital goods from country i during year t;
14
l stands for numbers of countries, from 1 to 42. Regarding trade flows in this study,
the quantity of machinery and equipment imports in one country is multiplied by total
R&D expenditure in another country, and it imports from 42 countries while they
export to this country so it forms 42 by 42 matrix. Hence, this study assumes that if a
certain country imports more capital goods from other country, the net importer nation
linkage to prior knowledge; restated, the frequencies with which a certain country
cites patents from another country represent the density of pure knowledge spillovers
between the two countries. Thus, the weight of disembodied technology diffusion is
Cij,t denotes the frequencies of country j citing patents from country i during year t; l
represents individual countries by number, from 1 to 42. Patent citations are measured
by the citation frequencies and owing to the reference, a given country cites patents
from 42 countries while they are cited by this country, it also constitutes 42 by 42
matrix. This study thus assumes that when a given country cites more patents from
other countries, the patent citing nation will benefit from disembodied technology
diffusion.
diffusion [60, 62]. Actors tend to be affected by the opinions and behaviors of
15
structural equivalence. This influence process is the contagion effect.
cohesion and structural equivalence in the social network by observing the diffusion
of medical innovation. Thus, this study adopts the social contagion model devised by
as the patent output in country i, and represents the realization of national innovative
activities in country i. y*i denotes the expected patent output in country i based on the
response to other countries and ε represents the residual term. Weight wij is the crucial
term in this study, which can recognize the contagion effects of cohesion and the
structural equivalence model by operating wij, and it measures the social proximity of
country i to country j relative to its social proximity to other countries, except that
country i reveals the degree of closeness between countries i and j compared to other
⎛ ⎞
yi = ρ ⎜⎜ ∑ wij y j ⎟⎟ + ε j≠i ( )
or yi = ρ yi* + ε , j ≠ i ..................(4)
⎝ j ⎠
( proximity i to j ) v , k ≠ i ........................................................(5)
wij =
∑ ( proximity i to j)v
k
is reactionary in relying on other countries [25, 59]. This work operates the contagion
effects of the cohesion and structural equivalence models via wij., and thus the two
models can measure the social proximity of contagion effects by equation Eqs. (4) and
between countries i and j, then wij represents the cohesion model. On the other hand,
16
if social proximity is measured via the similarity of relation between country i and
country j, then wij represents the structural equivalence model. Since yi* = ∑ wij y j ,
j
the meaning of yi* is different from the relationship between actors. Consequently, if
wij is measured using the cohesion model, then yi* represents the degree to which
Conversely, if wij is measured using the structural equivalence model, then yi*
between yi and yi* represents the degree to which social contagion process
This study employs the two types of diffusion mechanism, cohesion and
structural equivalence models. As for the cohesion model, the weight matrix W is
measured using the row data, representing the effects of social contagion on national
is measured using the normalized column data, this operation exhibits the effect of
patent citations from countries i to j is represented by ITD ji . Summing the row ( ITDij )
and column data ( ITD ji ) can investigate the influence on the performance behavior of
trading or citing partners. According to Burt [59], the exponent v frames the scope of
the influencing process on ego conception, and a high value indicates a strong
17
relationship between the closet alters. The weight of influence wij is constituted as
follows:
(ITD + ITD ) v
= , k ≠ i ...................................................... (6)
C ij ji
w
∑ (ITD + ITD )
ij v
ik ki
k
As for the structural equivalence model, measuring the extent to which country i
and country j requires examining Euclidean distance, which is the most common
which ranges between zero and one. In this particular case, when this distance equals
zero it means that the two actors are precisely structurally equivalent. Since the
structural equivalence model measures the relations of the actors in terms of trading
or patent citations, row data and column data are included in the Euclidean distance
diffusion via export values or frequency of patent citation to each country in row i,
via import values or frequency of patent citation from each country in column i. If
their exports or patent are cited the duplicate proportions of outcomes to every other
country; and the degree of technological knowledge diffusion occurring through their
imports or patent cite the duplicate proportions of input from each country.
1
⎡ ⎛ ITD ITD jk ⎞
2
⎛ ITDkj ⎞
2
⎤ 2
d ij = ⎢∑ ⎜ ik
− ⎟ + ∑ ⎜ ITDki − ⎟ ⎥ , i ≠ k ≠ j ...... (7)
⎢ k ⎜⎝ Ri Rj ⎟
⎠
⎜
k ⎝ Ci Cj ⎟
⎠ ⎥
⎣ ⎦
After identifying the structural equivalence between countries i and j, this study
18
applies the value of Euclidean distance d ij to the weight wij. The weight wij of the
distance between country i and other countries in the global network. Shih [60]
suggests that the proximity of sector i to j can be represent as the extent to which
w SE
=
(d max − d )
i ij
v
, k ≠ i .........................................................(8)
∑ (d max − d )
ij v
i ik
k
4.3. Data
This investigation employs a sample of 42 countries over the period from 1997
aggregate R&D Expenditure and international patents granted in year t+3[2]. Trade
flow data are mainly obtained from Global Trade Information Services, Inc.. However,
data on imports are more accurate than those on exports [25, 49, 71], and this study
adopts an importing dataset. Furthermore, Coe et al. [50] found that it is better to
measure trade-related spillover using trade in capital goods than total trade.
For frequencies of patent citations, the dataset of patents granted by the United
States Patent and Trademark office, and frequencies of patent citations are obtained
from the NBER Patent Citations Database [38]. Owing to technical difficulties in
analyzing raw data, this investigation gathers data for the periods from 1997~2002
and contains frequencies of inter-country patent citing and cited. As for the total R&D
19
databank, IMD.
PATENTS represents the number of patents granted in year t+3 by USPTO due
to the average lag between the application and approval accounted by USPTO and
innovative output [2]. Thus, this study focuses on patent output during 2000 to 2005.
countries as the sample owing to materials for some countries being absent.
Appendix 1 lists the countries studied in this work. The initial levels of
This study examines national innovation capacity using social contagion effects,
the cohesion model and the structural equivalence model via international diffusion of
embodied and disembodied technology. Equation (4) tests contagion effects, and this
study examines the intensity of such effects on national innovative capacity at the
global level, as follows: Equation (6) is applied in Eqn. (4) to examine the cohesion
model; Eqn. (7) and (8) are incorporated into Eqn. (4) to analyze the structural
equivalence model. Table 1 reveals that all models are significant. As for the relations
between the contagion effects and patent output in each country as demonstrated by
embodied spillover via cohesion mechanism (model 1) and disembodied spillover via
20
equivalence mechanism (model 2) and disembodied spillover via Structural
between the contagion effects and NIC performance in each country. This study infers
that countries lean more towards influencing national innovative capacity through
Furthermore, comparison of the contagion effects in Table 1 reveals that the structural
mechanism remains more positive and significant than the cohesion mechanism in
study findings support hypotheses 3, 4, 5 and 6, and do not support hypotheses 1 and
2.
These empirical results confirm that the contagion effect in this study appears
inconsistent with that in previous studies [14, 25, 59, 62]. This study discusses the
reason for this finding, thus providing a broader perspective on exploring the
influence of national innovative capacity via two mechanisms of the contagion effect.
21
technology diffusion positive affects both ego and alter countries [11, 72]. However,
The reverse effects are observed when this investigation include developed and
form developed countries to upgrade their productivity and increase efficiency [21];
countries achieve economic growth and changes in productivity efficiency through the
embodied technology of the more innovative capacity partner. However, the rent of
but rather systematic and purposeful knowledge-based learning and construction [74].
Developing countries do not exert a valid influence on innovative activity via the
increase their production efficiency [21, 75]. At the global level, the several higher
innovative capacity countries flow their technology into numerous lower innovative
patterns [25, 41, 47, 50, 77], the findings of this study are consistent with those of
previous works.
22
Contrarily, the structural equivalence mechanism via embodied technology
that a ego countries and the alter countries are competitors; restated, they may not
communicate directly via embodied technology exchanges, but their similar network
position leads them to communicate indirectly by trading with third parties [59].
Owing to the existence of structural equivalence, a given country can mimic the
their national innovative capacity. On the one hand, countries with similar network
positions employ similar capabilities to acquire new technologies. On the other hand,
while trade action from competitors results in more innovative outputs, and owing to
competition, a focal country has a similar reaction and then increases its innovative
performance is more similar between countries with social proximity and structural
exceeds that measured by the cohesion model, and the R2 of the former model is
significantly larger than that of the latter model. The analytical results support
23
Hypothesis 5, indicating that the structural equivalence model exerts a more
significant contagion effect than does the cohesion model on the diffusion of
of others with a similar network position, since such learning can positively influence
in policy-making. This result is consistent with that of Koka et al. [14], namely that
countries seeking to develop a profitable trading policy must ensure their policies fit
and this result can be discussed from two perspectives. First, this investigation at the
global level included developing countries and developed countries; it may exhibit the
countries must cite more cohesive partner’s disembodied technology from to apply
their R&D and promote their technological advances[21]. Consequently, at the global
level, the strong relationship within cohesive groups has side effects on innovative
24
within a cohesive group exerts a negative influence on innovative capacity.
and significant. Due to the multi-collinarity between patent output and patent citation,
the structural equivalence model has higher explanatory power. However, the
requiring discussion. A country that is structurally equivalent not only has a similar
the form of patent applications. While the actions of competitor countries stimulate
increased patent output and raise national competitiveness, a ego country in the same
network position performs similar and active R&D to increase their innovation
ego country, their conduct positively affects innovation capacity. Consequently, alter
countries, as the role of competition in the same network position, provide a ego
the structural equivalence model significantly exceeds that measured using the
cohesion model, and the R2 of the former model significantly exceeds that of the latter
model. Analytical results still support Hypothesis 6, indicating that the structural
25
equivalence model yields more significant contagion effect than the cohesion model
positions remain the main influences on national innovative capacity of ego countries.
However, international pure knowledge spillover proves effective not only when
technology is obtained from abroad for less than the original cost to domestic
inventors, but also when a country can absorb and apply technology from abroad.
innovation efficiency.
but the measurement in terms of empirical data can capture and differentiate either
cohesion mechanism (Model 1 and Model 3), involving the coefficient of cohesion
and Model 4), involving the coefficient of structural equivalence model, demonstrates
than embodied diffusion does. This result indicates a difference in spillover rigidity
resulting from embodied technology diffusion are more rigid than pure knowledge
26
Utilizing specialized and advanced intermediate products that have been invented
foreign intermediate goods for producing final output. Furthermore, the technological
knowledge is obtained from overseas for less than the original cost to domestic
less rigid for knowledge spillover, and is termed active technology spillover. More
6. Conclusion
27
network contagion effects of cohesion and structural equivalence mechanisms via
Two types of potential knowledge generated by R&D activities are rent spillovers
and pure knowledge spillovers. Rent spillovers result from embodied knowledge
flows, while pure knowledge spillovers result from disembodied knowledge flows.
mechanisms, cohesion and structural equivalence, are used to examine the contagion
effects of two socially proximate actors, and those the performance of one actor in
terms of innovation ability can be expected to trigger that of the other actor. The
diffusion via embodied and disembodied technology, and empirically tested and
compared the two mechanisms. Social network analysis has been successfully applied
to study the contagion effects of international technology diffusion and identify the
contagion effect that most accurately predicts those countries mimetic behavior. From
the empirical results, this investigation identifies the distinguishable influence pattern
28
specifically, NIC are affected more by structurally equivalent countries than cohesion
countries. That is, country becomes more inclined to take same network position
disembodied technological rent spillover into domestic innovative activity will less
and more strongly influences productivity changes than does national innovative
network position of ego country, this expenditure is likely to become less effective.
Despite its contributions, this study has certain limitations, and these limitations
29
of should be acknowledged to identify future research directions. This work provides
some suggested directions for future research. Suggestions include the following: The
ego behavior and opinions are not merely determined by exogenous mechanisms (the
various other constraints and opportunities granted by the ego conditions). This
lack of an endogenous mechanism, this study highlights the need for further research
consider exogenous and endogenous mechanisms. Second, this work explores the
social contagion effect at the global level, but does not individually examine the
actions of focal countries at the block level (e.g. core, semi-periphery and periphery).
Global stratification patterns can be made more specific if researchers focus on the
interactions between certain countries and others. Finally, this study focuses on social
contagion effects to the exclusion of other social network analysis. A useful direction
for future works would be to apply more indicators and conceptions of social network
Acknowledgements
The authors thank Professor Daim and two anonymous referees for their
insightful and valuable comments on the paper. Les Davy, Pai-Yu Liu, Cheng-Chi
Hsieh, and Ted Knoy are thanked for their professional assistance. Also, this research
was supported by a grant from the National Science Council of Taiwan under
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Biographical Note
36
Nan University of Taiwan in 2008. She serves as a research assistant in graduate
institute of nursing in Chang Gung Institute of Technology. Her current research
interests are in the areas of Technology Management and Nursing.
37