Abstract The purpose of this study is to use Analytical Hierarchy Process (AHP) to find out success factors of small and medium-sized enterprises (SMEs) R&D alliances and relative importance of these factors, and then to get the key successful factors (KSFs) to discuss why these KSFs have important influence on SMEs R&D alliances. AHP and case study are used in this research. Through literature review, the researcher develops 4 criteria and 16 successful factors which are arranged in hierarchical structure chart. Next, case study is used to make this chart reflect better the conditions of Taiwanese SMEs R&D alliances. Finally, to find out the KSFs, AHP is used to design the questionnaire and do questionnaire survey. The results of this study are: 1. The relative importance of the 4 criteria is: business strategy (0.386), the mechanism of R&D alliance management (0.283), partners¡¦ relationship (0.207), and government policy (0.124). 2. The 6 KSFs are: identifying market demand (0.137), clearly defining roles and responsibilities (0.101), establishing mechanism of communication and mutual trust (0.091), using complementary resources and technology (0.079), routinely assessing and adjusting (0.074), and emphasizing the degree of commitment (0.074).

This dissertation investigates three sets of research questions. First, how can partner selection be used as a mechanism to minimize R&D alliance participants’ concerns about knowledge leakage? And what is the nature of the relationship among partner selection and two previously-studied protection mechanisms – governance structure and alliance scope? Extending this research question to the international context, the second set of research questions asks how international R&D alliances differ from their domestic counterparts in partner selection to protect their participants’ valuable knowledge, and how different types of international R&D alliances vary in this regard. Distinguishing bilateral from multilateral R&D alliances, this dissertation examines a third set of questions about how multilateral R&D alliances differ from bilateral ones in partner selection for the purpose of protecting participants’ technological assets. Hypotheses are proposed and tested with a sample of 2,185 R&D alliances involving companies in high technology industries. Results indicate that the more radical the innovation an R&D alliance intends to develop, the more likely the alliance will be formed between Friends than Strangers. However, under the same situation, firms are less likely to select Acquaintances than Strangers. A substitution effect was detected among partner selection, governance structure, and alliance scope used by firms to protect their valuable technological assets from being appropriated in R&D alliances. In addition, no empirical support was found for different partner selection preferences for firms forming domestic R&D alliances versus international R&D alliances. However, results show that firms, when forming trinational R&D alliances and/or traditional international R&D alliances, are more likely to select their prior partners than when forming cross-nation domestic R&D alliances. Moreover, this study shows that when an R&D alliance is formed by multiple companies, partner firms are more likely to be prior partners. I argue that concerns about knowledge leakage explain this result.

This dissertation investigates three sets of research questions. First, how can partner selection be used as a mechanism to minimize R&D alliance participants’ concerns about knowledge leakage? And what is the nature of the relationship among partner selection and two previously-studied protection mechanisms – governance structure and alliance scope? Extending this research question to the international context, the second set of research questions asks how international R&D alliances differ from their domestic counterparts in partner selection to protect their participants’ valuable knowledge, and how different types of international R&D alliances vary in this regard. Distinguishing bilateral from multilateral R&D alliances, this dissertation examines a third set of questions about how multilateral R&D alliances differ from bilateral ones in partner selection for the purpose of protecting participants’ technological assets. Hypotheses are proposed and tested with a sample of 2,185 R&D alliances involving companies in high technology industries. Results indicate that the more radical the innovation an R&D alliance intends to develop, the more likely the alliance will be formed between Friends than Strangers. However, under the same situation, firms are less likely to select Acquaintances than Strangers. A substitution effect was detected among partner selection, governance structure, and alliance scope used by firms to protect their valuable technological assets from being appropriated in R&D alliances. In addition, no empirical support was found for different partner selection preferences for firms forming domestic R&D alliances versus international R&D alliances. However, results show that firms, when forming trinational R&D alliances and/or traditional international R&D alliances, are more likely to select their prior partners than when forming cross-nation domestic R&D alliances. Moreover, this study shows that when an R&D alliance is formed by multiple companies, partner firms are more likely to be prior partners. I argue that concerns about knowledge leakage explain this result.

The R&D Alliance was developed as the third strategic option to face the environment in a rapid change world. Based on the operating mechanism of the R&D Alliance, the beneficial results such as resource gathering, development risk and capital dropping will be achieved. However, when all members in the R&D Alliance mutually cooperate for the given benefits and targets, another question about keeping the own characteristics risen and need to further reconsider it. Therefore, the connective patterns between members play an important role in determining whether these operations will be successful, especially for the Chinese-major communities which have more obvious interference hiding in relational capital. The present study focuses on pattern of the R&D Alliance from the view of the relational capital. Adopting the individual case to study two R&D Alliances related with the juridical-person institutions is the main framework of this research and the results are analyzed from the three subcomponents in the relational capital that are trust, friendship and respect. Conclusions are drawn as follows: 1.Impacts of the trust relationship in the R&D alliance: members were constrained by the long-run contact, mutual cooperation experience and the formal contract (e.g. cooperation signatures or nondisclosure agreements) to reduce member suspicions and lead the positive Impact to the R&D alliance. 2.Impacts of the friendship in the R&D alliance: through the way of the frequent interaction, the beneficial receptions, and the explicit cooperative objectives, a conflict or a distant feeling between each others will be reduced, instead of increasing communication or rapidly uniting members to smoothly work the alliance. 3.Impacts of the respect in the R&D alliance: through the way of the good-will interactions, suppressing the opportunistic behaviors, globally adopting the opinions, predicting the next move about members, regulations in the contracts as well as self-constraints, the harmonics and the advantages existed in the members will be benefited for the development of the R&D alliance. 4.Impacts of the achievements in the R&D alliance: In the operating process, the partnership in the R&D alliance achieved the goals by means of the well, routine and miscellaneous communications, an explicit objective management, and the good interactions.

The R&D alliance becomes a popular way to develop products by cooperating with external organizations in the face of severe global competition. The enterprises can improve core competence and reduce environmental uncertainty through R&D alliances. However, the success rate of alliance is not high. Consequently, how to organize and operate R&D alliances effectively and successfully is the key competence of enterprise to win in the future. In order to increase the success rate of R&D alliance, the purpose of this study is to create a conceptual and integrated model for developing the successful mechanisms of formation and operation on R&D alliances. VPDCA (Vision-Plan-Do-Check-Action) cycle was developed as a conceptual framework through literature survey and case study for investigating the successful mechanisms of formation and operation on R&D alliances, which is to be regarded as a ¡¥learning by doing¡¦ process. First of all, vision leading is the first step to assure alliance to be succeeded. SSO (Search-Select-Organize) was developed as a successful process model for organizing R&D alliances. R&D alliance operation was regarded as a teamwork operation in this study. Only has the good effective team operation, can achieve expected vision. LICTEL (Leadership-Integration-Communication-Trust-Execution-Learning) was considered as the key aspects to run alliances successfully. The key success factors of each aspect are as follows: Leadership: vision, inspiration vitality, integrity and delegation Integration: open, linkage, collaboration, leverage outside resources, synergy Communication: dialogue, open mind, passion, patience and positive thinking Trust: co-value, cooperation, communication, consensus and commitment Execution: discipline, push and pull Learning: connect, interaction and share The achievements of operation and management on R&D alliance should be evaluated finally. 3P (Pleasure-Performance-Profit) was considered as key measures to evaluate the outcomes of R&D alliance implementation. Furthermore, effectiveness, efficiency and competence build-up are regarded as key measures to evaluate implementation performance of R&D alliance.

近年來，研究廠商創新之觀點，從以往之產業群聚移轉至網絡演化，然而，影響網絡形成與演化之因素於以往探討廠商創新能力的相關文獻中較少受到關注，而合作，即為網絡關係的一種型態。從個體的角度觀之，廠商的合作行為往往面臨資訊不對稱的情形，因此本研究從廠商資訊不對稱的觀點出發，引入管理學門中訊號理論(signaling theory)的觀點，解構廠商訊息以及廠商過去所累積的社會資本與研發合作網絡建立之關聯性。並探討不同型態的空間地域屬性對於合作網絡的形成是否有所影響。 本研究以台灣ICT廠商為研究對象，該產業不僅在我國經濟發展的過程中扮演重要的角色，於世界的資訊科技產業鏈中亦占有一席之地。並且有著技術上需要持續創新，並且注重分工合作的特性。資料蒐集採用二手資料的方式，建立近似於整體性的廠商技術網絡資料以及廠商基本屬性資料，分析方法以社會網絡分析法、Pair-t檢定以及卜瓦松迴歸模型進行假說驗證。實證分析結果顯示廠商訊息的揭露對於合作網絡的建立有正面影響效果，並且廠商對於研究發展的相關訊號-研發資產的投入，有助於吸引其他廠商和其建立合作網絡的關係；而廠商於過去累積的網絡地位亦有助於合作網絡的形成。最後在空間地域屬性方面，實證結果顯示空間地域屬性對於廠商合作網絡的建立存在影響效果，創新氛圍較強的產業地域有助於廠商研發合作網絡的建立；此外，廠商若位於高網絡密度的產業群聚內部亦有助於其建立合作網絡，顯示廠商區位的挑選對於其外部網絡關係存在影響效果。 / In recent year, the research topic of firm's innovation is transformed from industry cluster to network evolution. However, the factor of network evolution was less mentioned in past research , and the cooperation activity is one type of network relationship.From the perspective of the individual , firm often faces the condition of information asymmetry , while cooperating with others. So our research begin with this problem, and we introduce signaling theory to understand the relation between R&D alliance and firm’s signal or social capital and also discuss whether different types of geography character have the effect on R&D alliance formation. This research concerns Taiwan’s ICT industry as study object. Taiwan’s ICT industry not only plays an important role in Taiwan’s economic development but also is a key part of the global ICT industry chain. Besides, ICT industry has the character of technical innovation and work division, so the firm’s cooperation behavior is important.We use secondary data to build the database, using SNA, pair-t test and poisson regression to analyze. The result shows that the information reveals a positive effect on alliance formation. In addition, firms investing in the property of research and their accumulating of network position in the past have the positive effect on R&D alliance formation. Finally, the result also shows that firm located on high-innovation and high network density environment is more easily to help them find the R&D alliance partner. It shows that firm’s choice of location affects the outside network relation.