美國因拜杜法案頒佈，將研發成果下放研發機構的推波助瀾下，不論是授權或成立新創事業，專利成功商品化的例子大量增加，同時為了將研發成果推展到產業創造經濟價值，許多專責單位紛紛成立，大學或研發機構普設技術移轉辦公室（Technology licensing office, TLO）。 而不論是大學或研發機構，其技術與研發成果，唯有透過商品化的過程，才能獲取真正的利益；商品化的方式依其技術特性的不同，可以區分為「專利授權」與「創立衍生企業」兩種方式；兩者沒有優劣之分，端視技術本身特性進行選擇。 鄰近我國的日本，擁有豐沛的研發能量，日本大企業在國際產業也多居領導地位；然其大學與研發機構研究成果的授權或實際創立企業的成績，長期以來都不理想，為了提升日本的國際競爭力，日本政府十年來陸續頒佈許多相關法案，學校與研發機構更積極配合運作。 本研究訪問東京大學、早稻田大學、AIST與東京工業大學等單位後發現，技術移轉辦公室在研發成果商品化的過程中，同時扮演導正研發方向與輔導廠商成長的雙重角色：其藉由業師輔導（Mentoring）、創業教育（Education）、激勵誘因（Incentive）、專利行銷（Marketing）、投資資金（Investment）與衝突解決（Resolution）這六個構面作為，使組織內人員之研發方向不偏離市場所需，並協助廠商提升承接技術移轉的能力，進而提升研發成果商品化的成功機率。 關鍵字：技術移轉辦公室、TLO、商品化、技術授權、衍生企業 / With the passage of the Bayh-Dole Act, the transfer of exclusively controlled research efforts to research and development organizations as well as business operation fosters successful commercialization of the patent-licensing business and new ventures; meanwhile, university or research institutions establish Technology Licensing Office (TLO) performing a wide variety of highly specialized patenting and licensing functions of inventions to develop research outcomes to commercial marketplace in order to create economic value. From universities to research institutions, commercialization process is the only way to extract profit from technology research efforts. The patterns of Commercialization can be split into two forms by its characteristics: Patent-licensing and Spin-off ventures. Choices between the above two commercialization patterns are not based on pros and cons but the characteristics. Japan owns powerful research energies and Japanese enterprises pioneer on international industries; however, the outcomes from licensing of new ventures or Japanese universities and academic research laboratories’ research results have been lack of success. To enhance international competitive advantages, Japanese government has enacted many related regulations and laws; meanwhile, universities and research laboratories are compliant aggressively with patenting and licensing regulations. After a series of researches have been conducted with Tokyo University, Wesada University, AIST and Tokyo Institute of Technology, Technology Licensing Office (TLO) enacts dual roles of engaging in correcting research direction and supporting the development of new industries during the process of commercialization: through the following six aspects: Mentoring, Education, Incentive, Marketing, Investment and Resolution to ensure research direction best meet market’s needs and enhance business entities’ abilities of technology transfer; furthermore, to increase the success rate from commercialization of research outcomes. Key Word: TLO、commercialization、licensing、spin-off venture.

近年來，在全球化市場競爭之衝擊下，企業競爭日益激烈，誰能較早取得關鍵技術，並將之轉化為公司內部的技術能力，將是一個公司開拓或保有市場的一項關鍵因素；對那些知識及技術本位的企業，更是如此。然而，在如此激烈競爭的環境中，為求快速、正確且有效率的取得技術知識，已無法由企業內部獨自完成。據此，尋求外部的技術知識來源已是企業決策者所必須正視的課題。 因此，就國內的企業研究環境而言，如何運用產學合作機能，利用學校與企業資源，雙方在合作上發揮科技資源整合互補效應，以減少學校基礎研究與企業應用研究之間的差距。不過，為何在同一個研究單位，執行技術移轉的績效成果有顯著的差異。什麼是產學績效的評定標準、什麼是它影響技術移轉執行的顯著因子、它們之間的關係如何？本研究討論主軸專注在專案技術移轉執行過程。 目前國內及國外對於產學合作的相關研究很多，有些學者對於產學合作的機制、動機、合作成效、關鍵成功因素作討論；也有些學者針對某特定區域中的產學合作現況作研究，但是研究方向大多以學校的角度評估產學合作的績效，很少看到以公司研究單位的角度來了解影響因子。因而，由公司端探究企業影響產學合作執行績效的要素，也是本研究另一個特色。 希望藉由影響執行過程的因素和績效這兩個構面，所產生的問題，逐一的討論，希望能了解這些因子的因果關係。在未來產學合作專案中，加強做好不足的地方。使合作的結果更加理想。 / In recent years, it’s a key factor for a company to develop or to keep market by getting a core technology earlier and converting it into a company’s internal technical competence. Such scenario is also applied for those enterprises which are knowledge and technology -oriented. However, it is very difficult for an enterprise alone to get a core technology promptly, correctly and efficiently under highly competitive environment. Therefore, seeking outer source of technical knowledge is an essential lesson for an entrepreneur. As for domestic setting of enterprise’s research, it is important to shorten the gap between academic theoretical research and industrial applied research through integrating technical resources from both university and enterprise to obtain compensatory effects for each other on the cooperative basis. However, there is an obvious discrepancy on the performance of executing technical transfer in the same research unit. What are the criteria for evaluating industrial performance and academic one? What are the obvious factors which affect execution of technical transfer? And what are their relationships? This research focuses on the executive process of technical transfer. There are many domestic and foreign researches done on the topic of cooperation between the industry and the academy. Some scholars have discussed about the system, motive, result and key successful factor of the cooperation between the industry and the academy. Some other scholars have done research on present situation of cooperation between the industry and the academy in certain area, but many researches have been done in the academic way of evaluating performance of cooperation between the industry and the academy. Fewer researches have been done in the industrial way of estimating the influential factors. Another special feature of this research is the executive performance of cooperation between the industry and the academy could be affected by the industry. I hope those problems caused by the factors which affect the executive process and its performance can be discussed individually, and the relationship between cause and effect can be understood properly. Also, I wish I can do well in those areas needed to be enhanced in the future project of cooperation between the industry and the academy, and make it better for the result of such cooperation.

新藥開發是需要大量的資金投入，同時需要專業的技術實驗人才、以及具產業經驗的管理團隊，但是其所獲取的價值和領域也是相對較大的。生技製藥產業包括新藥、學名藥、中草藥、基因及蛋白質製劑、遠距醫療、預防醫學、醫療器材等。台灣在生技製藥已經投入許多資源，但是所獲得的成果並不如預期，主要原因除了缺乏像國際大廠的充足資金之外、且沒有完整的生技製藥產業鏈，更重要的是缺少了對生技製藥智慧財產管理的經驗、沒有國際行銷能力去取得市場。起因點則為台灣生技製藥公司仿照國際成功的生技製藥大廠模式，卻沒有自己的價值創造和創新模式，為了替台灣生技製藥廠商尋找新的利基和成功模式，本文分析了國內與國外的生技製藥公司，以尋找適合台灣的價值創造模式。 台灣生技製藥廠商主要缺乏的並非是技術，而是結合智慧財產的法律議題、並且發展出市場導向的生物技術研發模式。智慧財產相關議題在生技製藥產業更是最關鍵的因素，因為新藥研發動輒10年，而一般資金來源的銀行和創投都無法忍受所投資的公司必須要十年才可以獲利退出，因此透過不同臨床時期開發的新藥，其價值也會有顯著的不同，再透過技術移轉、授權和相關合約的簽訂，才能促使台灣中小型的生技製藥公司可以生存。本文要提出價值創造模型之前，必須要針對生技製藥產業的技術研發特性進行分析，接著必須透過智慧資本與財務會計的方式計算生技製藥產業無形資產的價值，最後透過個案中不同公司的營運策略，找出最適合現今生物製藥產業發展的模式。 生技產業需要相當多的資金去做新藥研發與市場行銷，這也是生技產業特殊的供應鏈上最重要的一環。因為，創投公司不只會投資金錢，它還會幫忙被投資公司尋找人才、市場、和策略發展。因此，本文第三個個案公司Burrill&Company為美國生技創投公司，最近幾年也可以看到它在大中華地區尋求投資機會。Apex International公司選對人才創造出優良品質的委託臨床試驗、和NexMed透過技術授權所產生平台技術，三家公司所創造的價值，去印證本文所提出的生技製藥產業價值創新模式的適用性。 論文研究結果顯示生技製藥產業最成功的關鍵因素至少有兩點，第一點就是核心能耐(Core Competence)的建立、第二點就是選擇對的人才。由本論文的價值創造模式中心出發，便是透過紮實的研究發展技能；建立優良的管理技巧以降低研發風險；透過創造新的技術和產品價值的核心能力建立，再選擇正確的人才組合，創造出外部的價值，最後達到整體價值創造的綜效。希望台灣不光只是擁有科技基本法與生技新藥產業發展條例等政策，而是可以透過本論文提出之價值創造模式，有效提升整體生技製藥產業的環境，以期產生更多成功的故事。 關鍵字：生技製藥、智慧財產、實體審查、無形資產鑑價、價值創造、技術移轉。 / Biopharmaceutical is driving force of the global healthcare economy transformation. In order for a biopharmaceutical company to gain value from a new drug during its clinical development, capital investment, professional talents, and management team with industrial experience are needed. Biopharmaceutical industry are included of new drugs, generic drugs, Chinese herbal medicine or traditional Chinese medicine, genetic and protein preparations, tele-medicine, preventive medicine, medical devices and so on. Taiwan has invested a lot of resources at biopharmaceutical fields but the results are not as expectation. The main reason is the lack of adequate funding from international big pharma, and the operation is no integrity of the value chain at biopharmaceutical industry. More importantly is the lack of management experience on Intellectual Property, and no marketing ability to access to the global technology supply and demand market. The key point is that they copy of the format of big pharma but lack the spirit of the creativity and innovation. I analyzed the three cases in the thesis and tried to find a niche and successful model for the value-adding on the Taiwan’s Biopharmaceutical industry. Taiwan does have the technology know-how, but most of the companies’ problems are the lack of market-oriented R&D model and the Intellectual Property issues. IP issues including management know-how related to biopharmaceutical industry are the most crucial factors. Most companies tends to spend ten years on developing a new drug. Most of the investment banking and venture capitals are hard to endure by the long-term exit mechanism. The value will be totally different if the investors can exit at various clinical stage of new drugs at various stages with the strategy of technology transfer and licensing agreement. Such business model can make Taiwan’s small and medium-sized biopharmaceutical companies easier to survive. To verify this value creation model, I analyzed the characteristics of the industrial research and development and calculate the value of intangible assets on the technology by the methodology of intellectual capital and financial accounting. Finally, I will identify the most suitable model by compared with the different business models in three representative cases. The biotech industry needs a lot of funding to do R&D and marketing of new drugs which is the most important on this special supply chain. Not only to invest money, venture capitalist should help the company to recruit the talent, target the market, plan and execute the strategy. Therefore, the third case is the U.S. venture capital firm called Burrill & Company. In recent years, it moved to the Great China region to seek the investment opportunities. Apex International recruit the right talents to the right position and create a great world class quality project on the clinical trial, and NexMed bring their value through the platform technology and technology licensing. All the cases are selected to examine the availability and suitability of the value creation model. At least two key successful factors for biopharmaceutical industry has been revealed by the research of the thesis study. The first one is the establishment of the core competence on the technology in their respective business, and the second one is the management know how in putting the right person on the correct position. Overall, the value creation model is build on a solid research and development skills, a great management know-how to reduce the risk, and the spirit of entrepreneurship to create the true innovative products or services. With all the core competences, we can integrate the team with multidisciplinary talents to expand the value with the outside resources, and give the synergy of the whole value-added model. Hope that with the recent enactment of the Basic Science and Technology law and New Pharmaceutical Development Act in Taiwan, more successful stories can be created by this value-added model discussed in this thesis.

知識經濟時代的來臨，財富的創造已不是來自土地與勞工等傳統生產要素，而是在於知識的創造與累積，台灣土地貧瘠、缺乏天然資源，但擁有豐富的科技人力資源，能有效運用這些知識資本，將是台灣經濟發展的重要關鍵。大學研究經費豐足、聚集博士級以上頂尖研究人才、其研究領域多屬前瞻、初期階段的發現，雖具開發成為新產品或服務之潛力，但現階段未必為業界所青睞的應用科技解決方案。如何尋求具備遠見，願擔風險投入早期技術研發的合作廠商，建立長期的合作關係，將大學強大的研發能量擴散、釋放到民間，有效地將政府資助大學所得的研發成果，移轉予產業界進行商業化的步驟，是促進產業升級經濟發展的重要機制。 是以近年來各國極力推動產學間的合作，希冀在大學知識傳授與探索研究之基本任務仍得確保的前提下，建立有效的技術授權機制，將學界創新研發的能量，引導入產業界，協助產業提升創新研發之競爭力，同時也能為學校的研發成果創造新的價值，而達產學雙贏的局面。 授權契約是技術移轉流程的最後一步，但往往為人忽視，前階段的評估協商與最後的擬約訂約被切割處理，特別在欠缺法務資源的大學技轉單位，簽訂授權契約時，僅使用制式、簡陋之契約範本，填入授權時間、授權金、權利金、授權標的等項目，少就契約文字進行訂正，並檢視契約範本設計之用字遣詞是否符合該次授權協議談判之內容。在此背景下，本研究即欲將策略思考帶進契約的設計，探討大學技術授權之策略考量，以及如何將之轉化成契約文字，使技術授權之目的能被落實。 本研究試圖從探討產學合作之機制與困難、大學技術移轉模式相關之豐富文獻中，整理出大學技術移轉授權的策略考量，並進一步分析在確定策略考量與策略目標之下，可能的授權模式為何，各種授權模式在實際運用時常遭遇何種的困難，這些困難是否能透過契約設計之安排，使技術移轉的策略目標順利達成。接著將進一步以美國技轉績效傲人的史丹福大學，與台灣研發能量最豐、學術資源最足的台灣大學兩校之授權契約範本作為研究個案，比較契約設計的應然與實然。 本研究透過對我國與美國技術授權相關文獻的分析，並以美國史丹佛大學與國立台灣大學之契約範本作為個案研究對象，歸納整理後得出結論為台灣各大學因為技轉的風氣未盛，契約的使用量與重要性自然被嚴重低估，我國大學並未設計與其策略與發展領域、特色相符的契約範本，大部分都直接沿用國科會提供之契約範本，契約條款的設計不夠細緻，容易流於只是策略的宣示，未能透過交易條件的安排達到授權策略預設的目標。相較美國史丹福大學因技轉風氣興盛，契約的類型發展成熟，契約內容與授權策略高度呼應，使授權的進行與大學原始的教學研究使命可以相輔相成。我國大學之技術授權契約存在很大的改善空間。 本研究建議大學應制訂明文之技轉策略書，向廠商宣傳大學技術授權之使命，並儘快對現行使用契約之契約進行撤底檢視與修正，完備契約範本的內容，可以有效增進締約的效率，同時可以思考契約作為宣傳性質的工具，例如因應技術特性，設計技術移轉的定型化契約，讓潛在被授權人清楚瞭解大學技術授權契約的交易條件，透過網路將完整的資訊揭露與友善便宜的締約程序，以有效提高的授權活動的效率與成功率。 / In knowledge based economy, how to create and accumulate knowledge assets dominates the fortune-making. Taiwan is short of natural resources but full of technology human reseources. Hence, how to apply knowledge adequately become the key factor to improve Taiwan’s economic growth. The abundant funds and outstanding research professionals are the advantages of university. However, the researches usually belong to early-stage ones and hardly meet the practical needs of industries. Universities need foresighted industry partners who is willing to risk investing in technology commercialization. University-Industry Cooperation is the important mechanism that helps the industry development through knowledge transfer. Thus, governments encourage enthusiastically the cooperation between university and industry. The target of Univeristy-Industry Cooperation is to assure the essential function of education and research of the university and build up an effective mechanism of technology licensing to introduce academic R&D energy into the industry. The cooperation can thus enhance the innovation competency of industry and create new value for the R&D results of academia, to build a win-win situation. License agreement is the last mile of the whole technology transfer process but its importance is usually ignored. For the limited legal resources of university TTOs (technology transfer office), all Taiwan universities use a formulaic contract provided by NSC (National Science Council) and seldom amend the details to meet their own need for individual transactions. However, licensing approaches, even for comparable technologies, can vary considerably from case to case. This thesis will bring licensing strategy into contract design, analyze university licensing strategy, and elaborate the transformation from strategy to contract for the purpose of technology licensing. This paper reviews literatures concerning university-industry cooperation and the technology transfer models and outlines university licensing strategy. The discussion further elaborate goals of licensing, possible licensing models and pathways, and find out the difficulties during license process. The design of contract also try to solve all these problems and fulfill the purpose of technology transfer. The thesis also compare the difference between the ideal and practice of licensing contract design through the study of contract format of Stanford University and National Taiwan University. Through the studies, the thesis propose that the significance of licensing contract is much underestimated due to the immaturity of university-industry license transactions in Taiwan. Unlike universities in the U.S., Taiwan’s universities do not design licensing contracts according to their licensing strategy and academic developments. The disregard of contract design will cause the impracticality of licensing strategy and thus be unable to achieve the original goal of technology transfer. A mature contract design which corresponds to the licensing strategy will connect the technology transfer to the academic research purpose, which can be observed in the case of Stanford University. This paper suggests that universities should set up a clear licensing strategy book of their own and widely announce to industry. Taiwan universities should reform the contract format as soon as possible and learn to take licensing contracts as a marketing tool, to promote a model contract for special technology licensing with detail information on it, to help potential licensee to understand the bargaining condition of the contract. Universities can provide complete information and easier contracting process through the internet, to improve the efficiency and prosperity of technology transfer.

知識經濟時代的來臨，代表知識早已經取代勞力、土地、資本，成為最重要的生產要素，而知識創造的具體果實就是智慧財產，此項無形資產占企業財產的重要性已遠超過有形資產。個人、企業和國家唯有專注在智慧財產的創造、保護、管理和運用上，方可成為知識經濟下的大贏家。 近年來，隨著人類科學知識與生活智慧的增長與演進，與人類日常生活和生命安全息息相關的生物醫學技術日益突破且其重要性與日俱增，國際間生技產業發展迅速，並帶領生技產業走向多元化的發展；除此之外，生技產業也是台灣兩兆雙星計畫中所追求的新興產業之一。然而，台灣在這股趨勢洪流中，整體生技產業的發展上並不蓬勃。歸根究柢，生技產業乃為典型的高附加價值、知識導向型產業，智慧財產的重要性不言可喻並且更加突顯。智慧財產如同其他企業資產一樣，需要善加管理與運用才能發揮其價值，若企業擁有大量之智慧財產，但對該智慧財產欠缺有效之管理運用，亦無法為公司創造任何價值。因此，如何為智慧財產尋求正確的運用管道，應是智慧財產所有人最為關心的議題。由於生物技術產業十分重視技術的掌握與應用，故本論文研究將焦點放在與技術知識保護有關的「專利授權與技術移轉」上，並特別針對屬於智慧財產行銷管理層面的策略進行探討。 《時代》雜誌年度風雲人物華裔科學家何大一曾說過要用人才賭生技，其需要的是什麼樣的人才?又該如何賭?本論文研究希望能提出相對應之見解，藉由個案研究方法分析找出台灣生技企業在「專利授權與技術移轉」上的策略思考邏輯，並更加釐清智慧財產行銷管理對產業發展影響的角色與位置。 由於台灣生物技術公司目前本身先天條件不佳且資源不足，無法透過商品化與產業化之智慧財產實施方式來創造最大利益，因此透過智慧財產交換方式乃是其最佳模式，而考量相關環境條件後，其中又以「專利授權與技術移轉」為最具經濟效益且最可能成功之智慧財產商業模式與型態，因此本論文研究便針對此方面進行深入探討，以提供產業後續發展之參考借鏡。 本論文研究目的包括：1.探討推動台灣生物技術產業公司發展過程中，考量「專利授權與技術移轉」的重要因素。2.瞭解台灣生物技術產業公司目前在「專利授權與技術移轉」方面的運作機制。3.介紹台灣生物技術產業公司之指標性個案，分析其智慧財產行銷策略，歸納其關鍵成功因素，以茲其他業者參考。4.了解智慧財產行銷策略的核心結構，提出智慧財產行銷策略規劃上的建議。5.綜合研究結果，提出對台灣生物技術產業公司「專利授權與技術移轉」策略之建議，並分析該產業之潛在問題與可能限制。 本論文研究提出理論強調台灣生物技術產業公司必須考量智慧財產行銷的六大要素(6P)，以『主導產業鏈』、『控制價值鏈』、『分配供應鏈』等三鏈為目標，因而決定採取「專利授權與技術移轉」之正確的智慧財產商業模式後，站在目標被授權人的立場思考，透過「策略九說」來作檢驗，以找出最適合的智慧財產行銷之執行策略，並在執行時確實考量組織行銷之特性。 本論文研究方式採用個案研究法以及質化研究法，獲得以下結論： 1. 「專利授權與技術移轉」必須著重於專利品質，以更貼近產業與市場需求，進而強化技術移轉之成效。 2. 「專利授權與技術移轉」是屬於相當複雜且專業性高的領域，與市場互動至關密切。 3. 任何產業的任何公司當其智慧財產行銷策略之方向目標正確，且手段方法合理，則成功便是可以預期的。 4. 一旦擬定正確的智慧財產行銷策略，則後續的執行力，便成為是否成功之唯一重點。 / The coming of Knowledge-based Economy Era indicates the fact that knowledge had taken the place of labor, land and capital to become the most important production factor. The results of knowledge creation are Intellectual Property (IP). The Intangible Assets are much more important than Tangible Assets for industries in nowadays. It becomes crucial for individuals, industries, and countries to achieve success in the Knowledge-based Economy Era to concentrate on the creation, protection, management and application of intellectual property. In the recent years, because of the developments of scientific knowledge and life wisdom, the progress and importance of the biomedical technology which closely related to human life and safety advances rapidly. Besides, the biotechnology industry is also one of the booming industries of Taiwan “Two Millions, Two Stars” projects. However, the Taiwan Biotechnology Industry does not follow the trend well. The biotechnology industry is a typical high value added and knowledge oriented industry, and the importance of IP is much more distinct. Same as other corporation’s property, intellectual property needs to be managed and put to use well to manifest its value. If a corporation owns a lot of IP without effective management and application, none value or benefit will be produced for the corporation from the IP. Therefore, for the IP owner, how to find out the correct application ways of IP will be the most important concern. Since technology familiarity and application is a highly emphasized issue for biotechnology industry, this study will focus on the technology knowledge protection concerning “Patent Licensing and Technology Transferring,” especially on the IP Marketing Management Strategy. David Ho, a Chinese American scientist and the Man of the year 1996 of “Time” magazine, once said that “we have to bet on biotechnology with talents”. The question is what talents are needed, and how to bet? This study aims to provide some corresponding thoughts and find out the strategy of “Patent Licensing and Technology Transferring” for Taiwan biotechnology corporation through case study. Furthermore, the study will manifest how IP Marketing Management will influence industry development. Due to the immature company structure and small business size of Taiwan biotechnology corporations, these corporations are unable to create the best profit through IP commercialization or industrization. Thus, the best model for them will be through IP Exchange and the “Patent Licensing and Technology Transferring” will be the most effective and feasible IP Business Model given the conditions of Taiwan biotechnology industry. This thesis will concentrate on this aspect and provide advices for industrial developments. The purposes of this study include: a. the important factors and the significnace of “Patent Licensing and Technology Transferring” in the promotion of Taiwan biotechnology corporation development; b. the current mechanism of “Patent Licensing and Technology Transferring” of Taiwan biotechnology corporation; c. a case study of Taiwan biotechnology corporation, including the IP Marketing Strategy analysis and the key successful factors as reference for other corporations; d. the core structure of IP Marketing Strategy and IP Marketing Strategy planning; and e. strategy suggestions for “Patent Licensing and Technology Transferring” and the potential problem analysis of the industry to Taiwan biotechnology corporation. This study proposes that the Taiwan biotechnology corporation must put the 6P factors of IP Marketing into consideration and target to dominate Industry Chain, to control Value Chain, and to allocate Supply Chain. They should also take the correct IP Business Model of “Patent Licensing and Technology Transferring”, and then think in the position of the targeted licensee through the examination of “9 Theories of Strategy” to find out the most suitable IP Marketing strategy. They should also take the characteristics of “Organizational Marketing” into consideration in practice. This study comes to the conclusions below with case study and qualitative methods: a. The quality of patents is always important in “Patent Licensing and Technology Transferring” to meet the industry and market demand and thus to reinforce the technology transferring achievement. b. “Patent Licensing and Technology Transferring” is complicated, highly professional and closely related to the market. c. The success of any corporation of any industry lies on a correct IP Marketing Strategy and a legitimate method. d. Once the correct IP Marketing Strategy is settled, the only key factor to success will be how to enforce the strategy.

鑒於大部分知識管理對技術移轉的研究傾向於以高科技產業及其技術的移入為素材，又傳統產業整廠外移大陸已蔚成趨勢，本研究乃選擇探討台商機械製造業外移大陸的技術移轉過程及子公司如何將移入的技術知識儲存蓄積、擴散等整理整合以形成核心能耐的過程為內容。研究內容涵蓋「跨疆域的組織間（母子公司間）之技術移轉」與「接受者（子公司）組織內部技術知識的整合」兩個程序，並導引出「移轉的標的」、「移轉的過程」與「知識整合的程序」三個研究主體，而分別與「知識流通理論」、「知識移轉理論」、「知識整合理論」相印證。 本研究採用「個案研究法」，只選擇台灣鑫昌機械、上海鑫水機械一個母子公司的個案以深度訪談與實地觀察的方式，深入地報導該母子公司的實際做法並將完整知識流通的過程結合理論文獻分析發展相關的命題。共計發展有十七個命題，而主要的結論為：技術知識的特質為「技術知識的複雜性內隱性與學習的累加性特質會影響技術移轉學習的難易度」；技術移轉機制之設計為「以師徒制為基礎，採階梯技術移轉的模式，由簡而繁逐步累積學習成果與能力，因應了技術知識高度的複雜性與內隱性」、「建構了由依附於文件的知識→依附於實體的知識→依附於人的知識，之移轉程序，循序漸進克服了技術移轉障礙」、「為消弭高度內隱帶來的遺轉難度，推動了中介者設置，使技術知識在移轉者、接受者、中介者間的知識流更順暢」；技術吸收與內化之做法為「以實做為技術吸收之基礎，透過展示與觀摩、共同實做、接受者獨做，三項過程反覆循環運作，落實了接受者技術的吸收」、「三代同堂教學相長的技術移轉機制，有利於技術接受者知識的內化與移轉者知識之精進」；知識整合與組織學習的做法為「同時建構單向、雙向及多向的多層次溝通方式，有利於組織的技術知識分享與擴散」、「技術接受者在實做過程後，再檢視移轉者原提供的各項文件知識，並加以補充修正，可提升知識的外顯化與知識整理之效果」、「技術跨疆域的移轉，其技術知識須經歷調適與零件本土化，方能完成技術的儲存蓄積」。 最後，本研究對實務提出一些建議：「對外合作投資時，應評估技術知識特質的不同再研儗雙方合作模式」、「技術移轉過程，尤其是跨疆域，應設置中介者以強化知識流通過程的溝通」、「採用三代同堂教學相長的技術移轉機制，讓技術接受者在學會某項技能時教導新的接受者，既可確定這項技能會真正深入接受者的記憶而成為個人知識的一部分，對於知識之擴散與移轉者技術之精進亦有所助益」、「技術移轉應結合資料庫的管理知識移轉」。

日本總合商社近來開始從事「技術仲介」，利用其龐大的業務網絡及對國際間產業發展之洞察力，介入為其客戶尋求適當的技術移轉，拉攏雙方合作成立新合資公司，並參與部分股權，取得銷售設備原料之權利和未來經營成功之資本利得。現有技術移轉之文獻，甚少探討第三者如技術仲介者或日本總合商社介入技術移轉所產生的影響，故本文擬針對日本總合商社之介入技術移轉加以研究。 本研究以三菱商事對統一企業進行技術移轉並於台灣設立合資公司之統清公司、統健實業、捷盟行銷、和台灣肯德基等4家公司作為研究對象個案，探討技術提供者及技術接受者與商社間的互動關係，商社對合資企業之競爭優勢有何影響，和商社在國際技術移轉中的角色扮演與功能。 本論文共分為七章。第一章緒論，說明本研究的研究背景、機動與目的，並介紹本論文的章節組織。第二章文獻回顧，為相關文獻的探討，闡述過去學者專家對於這些議題的研究與看法，作為本論文研究的理論基礎。第三章研究方法，是由文獻探討中，提出研究架構，定義架構中的變數，並說明本論文的研究方法、研究對象，以及研究限制。第四章背景說明，乃針對研究的合資企業之母體作一詳盡介紹，以求瞭解其相關組織及歷史演進，作為研究分析的基礎。第五章個案整理，針對這些個案，說明商社如何透過合資企業之設立來進行技術移轉。第六章個案比較分析，針對個案所整理的資料，彙整分析本研究相關的變數與關係。第七章研究結論與建議，根據第六章的分析，針對研究問題提出研究發現，再進一步歸納出本研究的結論，並給予後續研究者相關的建議。 本研究試圖對於日本總合商社在國際技術移轉過程中所扮演之「協力仲介」之角色功能作深入的分析探討，經由第二章的文獻回顧及第五章的個案研究與觀察及第六章的比較分析，探討商社對於技術提供者與技術接受者間的關係，並進一步觀察合資企業競爭優勢之變化，探討商社的功能對此有何影響。 本研究根據研究發現得到以下結論： 一.技術提供者(尤其是日本中小型廠商)利用總合商社作為國外技術移轉的策略夥伴，可以降低風險，增加成功率。 二.若所移轉之技術是內隱性高且在成長階段者，共同設立合資企業來做技術移轉，應是較佳策略。 三.技術接受者本身的技術能力與經驗為技轉成敗之關鍵因素；若由既有部門獨立出去做合資企業，則成功機率頗高。 四.商社對競爭優勢之貢獻主要為成本降低、風險降低、資源增加，而差異化方面則比較有限。簡言之，商社的功能在於降低合資企業之成本與風險為主。設立合資企業進行技轉之首要目的當為「差異化」，商社雖提供眾多服務與資源，但對此貢獻較少。 五.日本總合商社在國際技術移轉過程中，主要功能為「協力仲介」其主要內容包括：金融投資、貿易物流、情報服務、和網絡協助等四大功能。商社在技轉中多扮演「配角」而非「主角」，提供週邊配合作業，增加合資企業的成功率。

台灣的產業型態已逐漸由勞力密集的傳統產業轉型為知識密集的科技產業，已成為資訊電子生產大國，共有十多項資訊設備佔有率高居世界第一。而我國以中小企業為主的產業結構，研發經費的投入往往無法與國外大廠相比，產學研合作研發便成為我國產業創新中相當重要的一個環節，大學與研發機構在研發創新上的成果是提升產業技術水準的重要來源。 智慧財產權在科技業可說是重要的競爭武器之一，智慧財產權管理更為各企業亟欲增進的能力。立法院於1998年底通過科學技術基本法，通過將合作研發成果的智財權中政府出資部分的權利下放給研發單位，對我國產學研合作的智慧財產權管理具有相當之影響，而後如何執行以達成技術擴散，更是需要深入探討。 本文希望從管理面與法律面來探討產學研合作的智慧財產權管理，透過（1）國內外文獻探討；（2）專家深度訪談；（3）先進國家產學研合作與智財權管理之探討；（4）國內產學研合作與智財權管理之個案分析等方式來進行探討。借重國外經驗，發現國內實行時的問題，以期經由良好的合作與技術移轉制度，使學研單位獲得經費補助與權利金回饋，且亦使廠商獲得切合需要之技術的使用權，讓創新成果獲得保護，並讓知識能充分移轉流通，強化我國國家創新系統。 本研究建議如下： 一、 對政府而言 （一） 以藏富於民的原則將智財權下放 （二） 例外介入以使成果充分使用 （三） 專利成果應用的限制 （四） 建立產業技術移轉服務體系（ITTS） （五） 修改相關法令 二、 對大學而言 （一） 應設立專責的智慧財產權管理單位 （二） 與中介機構合作執行智慧財產權管理 （三） 將研究方向分為基礎研究導向與產業技術導向 （四） 鼓勵大學教授投入產業服務 （五） 設立創新技術公司 三、 對研發機構而言 （一） 研發機構應更積極鼓勵研發人員投入研發 （二） 積極與民間企業合作並從事技術推廣與技術移轉 （三） 加強智慧財產權管理能力 （四） 落實R＆D人數/智財權業務人數比例 四、 對廠商而言 （一） 培養本身研發能力與技術承接能力 （二） 善用外在技術資源 （三） 建立智慧財產權權管理制度 （四） 與學研單位合作應秉持多次合作的誠意 （五） 與學研單位建立長期合作關係並合理的給予回饋 目錄 表 目 錄 3 圖 目 錄 5 第一章 緒論 7 第一節 研究背景 7 第二節 研究動機 10 第三節 研究目的與問題 12 第四節 研究大綱 13 第二章 文獻探討 15 第一節 智慧財產權 15 第二節 科技基本法 26 第三節 產學合作 29 第四節 產研合作 39 第三章 研究方法 45 第一節 研究取向 45 第二節 研究方法 47 第三節 訪談對象 48 第四節 個案範圍 49 第五節 研究限制 50 第四章 先進國家產學研合作與智慧財產權管理 51 第一節 美國產學研合作與智慧財產權管理 51 第二節 日本產學研合作與智慧財產權管理 83 第三節 德國產學研合作與智慧財產權管理 101 第五章 國內個案分析 119 第一節 工業技術研究院 119 第二節 台大慶齡工業中心 155 第三節 宏□電腦 175 第六章 結論與建議 191 第一節 結論 191 第二節 對政府的建議 195 第三節 對大學的建議 201 第四節 對研發機構的建議 204 第五節 對產業界的建議 206 第六節 對後續研究的建議 209 參考文獻 213 / Taiwan’s industry has transferred from traditional labor-intensive industries to knowledge-intensive technology industries. Furthermore, Taiwan has become a leading country for information and electronics manufacturing industries. According to statistical data, Taiwan has leaded more than ten items of components in their industries in the world and their marketing shares are getting up. But our industrial structure is based on Small Middle Enterprise (SME). The R&D capability can’t keep up with the oversea big companies. The collaboration between industry, university, and research institute is very important for Taiwan’s industries. SME depend universities and research institutes’ research outcomes to bring up the industrial technology level. Intellectual Property Right (IPR) is one of the most important competitive weapons for industry. As a result, IPR management ability is what every firm would like to cultivate. In 1998, the Legislative Yuan passed the Science and Technology Basic Law which allowing the IPR releasing from the government sponsored projects to the research institutes and universities. It would have a tremendous effect on the IPR management in collaborated research between industry, university, and research institute. From the management and law’s point view, the purpose of this thesis is to (1) clarify and analyze the international and domestic data of IPR management; (2) compare the collaborated research between industry, university, and research institute in advanced countries such as the United State, Japan, and Germany; and (3) study the case of Industrial Technology Research Institute (ITRI), Taiwan University, and ACER to discover the practical IPR management problems in Taiwan. With proper university and industry collaboration and technology transfer system, universities will get proper return for the research fund and industry will be able to utilize the invention well. Therefore the innovative research outcomes would be protected and the knowledge would diffuse smoothly that reinforce Taiwan’s National Innovation System (NIS). Consequently, this thesis makes the following suggestions for government, universities, research institutes, and industries: 1. For Government (1) Allow the university and research institute to own the Intellectual Property Right. (2) Government own the exceptional involvement right in order to apply the R&D outcomes well. (3) Proper restriction to patent application. (4) Establish Industrial Technology Transfer Service (ITTS). (5) Amend the relative regulations and laws. 2. For University (1) Establish specific IPR management office. (2) Collaborate with the agency institute to executive IPR management. (3) Divide research direction into basic research orientation and industrial technology research orientation. (4) Encourage professors devoting the industrial service. (5) Fund the innovation technological company. 3. For Research Institute (1) Encourage R&D staff devoting more effort in their job. (2) Actively collaborate with industry and engage in technology transfer and promotion. (3) Enhance IPR management ability. (4) Improve the R&D staff / IPR management staff ratio. 4. For Industry (1) Cultivate R&D ability and technology receiving ability. (2) Utilize outside technology resource well. (3) Establish IPR management system. (4) Remain condor when collaborate with universities and research institutes. (5) Establish long-term partnership with universities and research institutes then give them reasonable feedback.

本研究係針對資本額在四仟萬以下之海外廠商台灣技術移公司作問卷調查 ，調查的地區包括中國大陸、泰國、越南、菲律賓、韓國等開發中國家， 探討台灣產業的技術發展過程、台灣中小企業的技術移轉方式、技術價值 認定、以及技術移轉成敗的關鍵因素。研究發現得到下列結論：一.台灣 技術移轉廠商在台灣經營時間愈久，海外技術愈易成功，顯見基礎穩固公 司較易成功。二.以獲取技術利潤為動機的台灣廠商，技術移轉失敗率較 高。三.海外控股比例愈高的台灣廠商，技術移轉的成功率愈高。四.對海 外經營層愈重視的廠商，技術移轉的成功率愈高。五.對海外法律愈重視 的廠商，技術移轉的成功率愈高。六.移轉對象為海外產品代理商或上下 游廠商，技術移轉的成功率愈高。七.台灣廠商技術移轉前有先從事產品 輸出的廠商，技術移轉的成功率較高。八.具有市場面控制能力的台灣廠 商，技術移轉的成功率較高。九.台灣廠商事前能簽定技術移轉協議書且 經過地主國法律保護，技術移轉成功率較高。十.資本力愈高的台灣廠商 ，技術移轉成功率較高。

在全球一片經濟不景氣的環境下，IMS 仍預測2009年全球藥品市場將會成長4.5-5.5％達到8200億美金，這顯示醫藥產業是一個值得投入的領域，台灣政府亦透過政策大力扶植醫藥產業發展，但是醫藥產業知識密集度高，投資金額高，開發時程長，失敗風險也高，台灣醫藥企業要如何擬定經營管理策略，將是影響成敗的重要因素。本文的目的是提出適合台灣藥廠的經營管理策略。 目前國際醫藥產業概況為，受到藥品安全事件影響，FDA對新藥審查越趨嚴格，加上研發新藥的投資成本越來越高，在得到明星新藥的速度追不上失去暢銷藥速度的壓力下，國際藥廠開始削減成本，將部分研發工作分工委外，進行企業聯盟與購併，以充實專利技術與產品版圖；由於眾多專利暢銷藥喪失專利，與政府鼓勵使用低價藥，學名藥市場備受看好。台灣醫藥產業多屬中小型企業，資金與研發能量不足，因此發展學名藥是第一項建議的策略。舊藥新用可以降低研發失敗風險與成本，是第二項建議的策略。技術移轉與授權是第三項策略，由外引進技術可以解決研發能力不足的問題，對外授權技術可以解決資金不足以撐完研發全程的問題，順應國際藥廠分工委外的趨勢，在醫藥產業生態鏈中合適的點進場與出場，能避免資金不足，減輕研發失敗的負荷。 學名藥廠如果能夠提早學名藥上市的時間就能增加獲利，熟悉簡易新藥申請程序、專利延長與資料專屬權保護規定對於學名藥上市時程的規劃有很大的幫助。美國最高法院對Merck v. Integra 的判決擴張藥物研發實驗實施免責權，鼓勵使用他人具專利的化合物進行與藥物審查相關的臨床前期試驗，有利於開發既有藥品的新用途，台灣的專利法相關規定亦在研討修法，希望結果對台灣藥廠採取舊藥新用的策略有所幫助。依據公司專長，研發能力強的公司可以將臨床前期獲得的專利技術授權給國際藥廠，而擅長臨床試驗的公司可以由外授權引進專利候選藥物在台灣進行臨床試驗，之後再對外授權，政府亦頒訂生技新藥產業發展條例，幫助企業應用技術移轉與授權找到生存的利基點。熟悉並活用法律知識是發展醫藥產業必備的工具。 / Even though people are worried about global economy recession, IMS still optimistically predicts that global pharmaceutical market will have 4.5 – 5.5 Percent growth in 2009, exceeding $820 billion. It means that pharmaceutical industry is a field worth investigating. The Taiwan government also provides fully support for pharmaceutical industry development through laws and regulations. However pharmaceutical industry is characterized for requiring high technology, lots of money, long developing time, and high risk of failure. The strategies pharmaceutical companies token will influence their fate to success or failure. The goal of this thesis is to propose suitable management strategies for Taiwan pharmaceutical industry. After several drug safety related incidents in recent years, FDA becomes more conservative and blocks new drug approval. More over, it takes more money to investigate a new drug, and the speed of getting new drugs can not catch up the speed of losing patent of blockbuster drugs. Under such huge pressure, international pharmaceutical companies adopt strategies as outsourcing part of drug developing work to achieve cost down. They also conduct strategic alliances and mergers, which can enrich their patents and products portfolio. Generic drug has great market potential because of several blockbuster drugs losing patents and government favoring cheap drugs. Pharmaceutical companies in Taiwan are all small and medium size enterprises. Their research capacity and capital are insufficient. So the first recommended strategy is developing generic drugs. The second strategy is drug repurposing which can minimize the risk of failure. The third strategy is technology transfer and licensing. Complying with the trend of outsourcing, Taiwan companies can adopt technology transfer and licensing strategy and determine proper points to enter and out of the chain of drug development. Licensing-in can resolve the problem of insufficient research capacity. License-out can prevent shortage of money. If a generic drug company can advance the timing to launch generic drug, it can earn more money. Thus well study of Abbreviated New Drug Applications, patent term expansion and data exclusivity can help plan market schedule. The Supreme Court decision in Merck v. Integra expands the protection of Safe Harbor which exempted from infringement all uses of patented compounds "reasonably related" to the process of developing information for submission under any federal law regulating the manufacture, use, or distribution of drugs. Using patented compound in pre-clinical trials is exempted and it encourages drug developer to use patented compound owned by other companies to explore new usage. The patent ruling law experiment exemption in Taiwan needs further discussion and amended. Hope the result of amendment can help drug repurposing strategy in Taiwan. Research oriented company can license out patented result to big pharmaceutical companies, while companies good in clinical trial study can license in patented drug candidate and do clinical trial in Taiwan. Taiwan Government also set rules to encourage pharmaceutical companies to adopt technology transfer and licensing. Having well knowledge relating to drug approval and patent law is a must to run a successful pharmaceutical company.