在經濟全球化的後金融危機時代中，技術財產權的交易對於推動產業升級，推動新產品及市場發展和進一步推動技術移轉成對現實生產力仍然具有重要市場貢獻的實際意義。不斷豐富技術財產權交易的商業化方法及流程後充分發揮技術財產權交易在市場的領先及先發地位。本研究著重在技術移轉的成功關鍵因素之研究，所以會同時考量到技術應用、市場需求及供應鏈等方面的議題。另外，政府研究機構與企業間的技術移轉對其本身經營成效均是相當重要。對企業而言，此類型的技術移轉已成為其獲取新型技術的重要來源。對政府研究機構而言，政府研發投資的成效係決定於研發成果能否有效地移轉廠商。本研究主要以研究機構之一工業技術研究院技術移轉為主。研究對研究機構及企業而言，進行技術移轉的主要關鍵成功因素為何?研究有以下四個發現;(1)技術移轉業務牽涉層面廣泛、涵蓋多樣專業，包括技術、法律、管理、財務等，宜達到認知一致及雙方資訊回饋的情形下，一定要和對方保持在高頻率溝通。(2)技術移轉需要整合各方資源，所以為了使技術移轉時技術接受者方的技術達到同一個技術水平的情況下，研究機構應為對方隨時準備。(3)雙方背景的懸殊，會影響技術移轉績效;研究機構在避免開發出不符合市場競爭力的商品的情況下，研究機構應一開始就著手彌補這差異。(4)市場變化多端，建議甚至技術移轉期後，仍然應強化後續與企業在技術商品化的互動來因應市場在不同階段的變化。 關鍵字： 技術移轉、研究機構、技術商業化、新產品開發、成功關鍵因素。 / In the age of post global economy financial crisis, trading of intellectual properties still have real meanings to the market in pushing new products, developing new markets and further pushing technology transfer into producible. After continuous refining IP trading methodologies and processes, business entities will become leaders in their markets. This research will focus on success factor in technology transfer with topics in technology applications, market demand and supply chains. Moreover, we will discuss important factors in technology transfer between government research institutions and private enterprises. For private enterprises, it is an important source of obtaining new technology. For government research institutions, performance of the government research investment is determined by whether the result of research and development can be successfully transferred to private enterprises. In this research, we will be mainly discussing technology from Industrial Technology Research Institute in Taiwan. In this research, the author will discuss four main findings in key successful factors in technology transfer between the government research institution and private enterprises. (1) Technology transfer is very involved in many aspect of business including research and development, law, management and finance, etc. It is best to keep good communication between both entities to reach a common consensus and to keep good feedback. (2) Resources from both entities have to be integrated in the process of technology transfer. Therefore, the research institution have to be prepared to have a plan of support for private enterprises to reach the same technology level. (3) Difference in background knowledge between both entities will have impact in technology transfer performance. In the beginning, the research institution have to prepare to remedy this difference in recognition to prevent developing a product that is not competitive in the market. (4) Market changes fast. The research institution should reinforce interaction between itself and private enterprises in technology commoditization and responds to difference phase of product development and market development. keyword : technology transferring, research institution, technology commercialization, new product development, critical success factor.

國際經濟學者長期使用比較利益或規模經濟模型討論貿易問題，決定貿易型態及貿易 利得，但是卻忽略了某些命題的動態本質，例如技術進步在長期下會改變比較利益， 以及貿易政策及經濟成長的關係(Grossman & Helpman1988)，此乃近年來動態貿易理 論逐漸為人重視的原因，應用最適動態模型來處理這些新問題，較能了解其動員態調 整過程，本文的動機便是利用跨期性動態模型探討技術進步，在長期對經常帳，資本 累積的沖擊效果，是否能獲得與靜態貿易理論不同的內涵，及結論。 利用最適動態模型來分析經常帳及資本累積理論，根據其時間的界定可分為三類 (1) 兩期模型(Two-Period Model)(2) 跨代模型(Overlapping Generation Model)(3) 無 限期模型(Infinite-horizon Model)，此三類模型對此主題之研究是非常混亂旦不完 整，不同的模型會有不同的結論，本文所採用的模型乃第 (3)種，其主要依據為Abel & Blanchard(1983) 的單部門投資與儲蓄模型延伸為一個可以涵蓋兩部門的小型開放 經濟模型，試建立一個無限期動態化的兩部門小型開放國家的模型，本模型的特點在 於利用一個收益函數r(p,k,Q)取代了Abel & Blanchard的單部門生產函數f(k)，代表 一般化的兩部門生產架構來探討資本累積和經常帳的動態調整，利用及所沒有探討的 特性 (Dixit & Norman 1980)，我們可以探討文獻上所探討及所沒有探討的，有關技 術進步對資本存量及經常帳的影 。

在現今知識經濟競爭時代中，新興科技企業不斷地衍生成立，每家企業的技術能量更加地深化與專業化，但企業的技術光譜卻相對變窄許多。因此，企業在面對日益劇烈的產業競爭以及急遽被壓縮的產品生命週期時，能否迅速且確實的取得新技術或是互補技術，以便順利進行「新產品開發」，進而及早推出產品與服務於市場上（time to market），將是決定企業生存的重要課題。 然而，技術供給來源散佈在世界各地的研究機構、大學、與企業之中，如何降低企業搜尋其所需技術的成本，提昇整個經濟體的技術媒合效率，也將是知識經濟時代決定經濟體競爭力的關鍵因素。 再者，知識經濟時代的產業結構大幅轉變：企業從原本重視土地、廠房、生產設備等固定資產價值，轉而追求以知識為基礎的「無形資產」（包含法律所保護的智慧財產權，以及其他如：品牌、商譽、供應鏈或客戶關係管理能力、行銷能力等）。但是，此種發展亦帶來新的挑戰，就是傳統的有形資產評價標準並無法適用於此種無形的智慧資產，如何對知識型產業所重視的「無形資產」進行客觀的評價，乃成為發展知識經濟的另一個關鍵因素。 本研究係以策略性思考（範疇、網路、資源）的角度切入，參照國外知名智慧財產技術服務業者的營運成功特性，並藉由廣泛的次級資料、文獻收集，與多重個案、深度訪談的方式，來審視我國智慧財產技術服務業（以鑑價與技術仲介業者為例）的營運現況，進而對業者提出在經營管理上可行之建議，同時也作為我國政府推動智慧財產技術服務業之政策發展上的參考依據。 本研究所得之研究發現如下：（節錄） 一， 我國無形資產鑑價產業的市場需求持續增加，連帶使得鑑價服務業者的投入意願與服務經驗、能力不斷的向上提升；反觀技術仲介產業因為市場需求還不明顯，因此降低了仲介服務業者的投入意願，技術仲介產業發展因而較為緩慢。 二， 我國智慧財產技術服務業者之策略聯盟情形十分普遍，對於技術事業化的相關活動，如：營運計畫撰寫、協助尋找技術、商品開發、市場分析、投資評估、尋找投資資金、行銷管道……等，皆能透過與策略伙伴的合作搭配，提供全面性的智慧財產技術服務。 三， 我國智慧財產技術服務業之從業人員，具有多重背景（科技、法律、管理）的人才仍然不足；此外，目前政府對於無形資產鑑價與仲介機構仍然無法令可管，對於從業人員的資格也不加限制，使得無形資產「鑑價」與「仲介」服務業者呈現參差不齊的現象，嚴重影響公信力。 四， 無形資產融資貸款的關鍵瓶頸在於：1.「無形資產擔保品後續處置問題（如何再出售？）」。 2.「鑑價機構之公信力（不知如何評鑑鑑價報告？）」 3.無形資產融資貸款者的還款計畫（貸款人需提出完整且可行的營運計畫書，清楚說明現金流量與發生時機）。 五， 我國智慧財產技術服務業之政府主管機關過於分散，加上各部會的溝通、協調缺乏效率，導致政策、法令決策緩慢，使業者無所適從。 由以上各點研究發現，本研究提出幾項建議，如下所示：（節錄） 一， 政府應多加鼓勵產業界運用智慧財產技術服務（尤其是技術仲介服務），進而創造與增進市場需求。 二， 智慧財產技術服務業者應加強與策略伙伴的連結。（尤其是創投，投資顧問公司）。 三， 智慧財產技術服務產業中，老字號的服務業者應考量：如何增加與客戶之間的「專屬陷入成本」，以確保客戶與之建立長期且緊密的合作關係。而新進入的服務業者，則應考量如何降低顧客的「外顯單位效益成本」、「資訊搜尋成本」與「道德危機成本」。 四， 政府應多方釋出委託專案計畫，以協助智慧財產技術服務業者成長。同時政府也應儘速訂定智慧財產技術服務相關的法令、補助措施，促進智慧財產技術服務業的發展。 五， 智慧財產技術服務業之相關政府負責單位過於龐雜，應由較高位階的部會，統籌設立單一窗口，以解決政府跨部門之間的溝通不良與無效率。 / As new technological companies sprang up in this knowledge economies era, technological capacity of a company is getting deeper and more professional. Technological scope, however, becomes narrower. Therefore, it is an important issue for companies to survive that if it can quickly and accurately acquire new or complementary technology to develop new products when face to rigorous competition and shortened product life cycle so that they can smoothly launch products and service time to market. Nevertheless, sources of technology supply spread in research institutions, universities, and companies. How to reduce costs in sourcing required technology and improve the efficiency of technology transaction is one of the key factors to decide the competitiveness of an economy. Moreover, industrial structure has been changed a lot in this knowledge management era: companies turn to seek intangible assets instead of fixed assets. The former includes law protected intellectual properties, brand, good will, supply chain, abilities of customer relationships, and marketing, which are based on knowledge. The later includes lands, plants, and equipments. However, this kind of development brings new challenges. Traditional valuation method of tangible assets can not be applied to intangible intellectual properties. How to objectively valuate intangible assets focused by knowledge based industries is another key factor to develop knowledge management. This study is based on strategic points of view (scope, network, and sources), refer to characters of operational success of famous international intellectual property and technology service industry. Rather, this study examine the intellectual property and technology service industry in Taiwan (the case study on the valuation and technology transfer sectors) by secondary information gathering, literature collection, and several case studies and deeply interviews. Further, I propose feasible recommendations on operation and management. Meanwhile, this study could be one of references when our government forms policies to improve intellectual property and technology service industry. The findings of this study are shown as follow: (extracted) 1. The demand of valuation of intangible assets in Taiwan is continuously increasing, resulting in the increase of input willingness, service experience, and abilities of valuation service industry. On the other hand, the demand of technology transfer is not obvious, which lower the input willingness. Therefore, the development of technology transfer industry is slower. 2. It is quite popular for Taiwanese intellectual property and technology service companies to have alliance with other companies. By the corporation with alliance companies, one company can provide total intellectual property and technology service, such as business plan writing, new technology searching assistance, product developing, market analysis, investment evaluation, fund raising, marketing channel, and so on. 3. There are insufficient professionals with muti-background, such as with technology, low, and management, in Taiwanese intellectual property and technology service industry. Rather, no regulation could be applied to Taiwanese intellectual property and technology service industry. There is no criterion to judge professionals’ qualification, which makes valuation and technology transfer sectors uneven, seriously affect power of fairness. 4. The bottlenecks of intangible asset financing are: (1) how to deal with intangible asset collaterals (how to resell them?) (2) fairness of the valuation institution (how to valuate a valuation report?) (3) repayment plan of intangible asset loans (borrowers have to propose a complete and feasible business plan, clearly describing the time and the amount of cash flows) 5. The regulators of Taiwanese intellectual property and technology service industry are too diversified. Moreover, because of the lack of communication and efficiency among regulators, policies are made in a delay mode. Companies do not exactly know what to follow. Based on the findings above, I propose some recommendations as follow: (extracted) 1. The government should encourage industry to use intellectual property and technology service, especially technology transfer service. It could then create and increase market demand. 2. Companies in the intellectual property and technology service industry should improve connection with alliances, especially with venture capital and investment consulting firms. 3. The old companies in the intellectual property and technology service industry should consider: how to increase cost of Hold-up of customers, in order to ensure that they can establish a long-term and closely cooperative relationship with customers. New entry service providers should consider how to increase the benefit, and reduce information searching costs and moral hazard costs of their customers. 4. The government should release government’s funding projects to assist intellectual property and technology service industry developing. At the mean time, the government should set laws and subsidization policies related to intellectual property and technology service industry, improving the development of intellectual property and technology service industry. 5. Regulators in charge of intellectual property and technology service industry are too many to follow. Single window should be set by higher governmental department to resolve the poor communication and inefficiency among governmental departments.

知識管理在二十一世紀已成為世界的潮流，深深影響了人類的經濟活動，組織知識亦躍升成為企業內最重要的資產，在全球化的趨勢中為企業提供競爭力的泉源。現今大部份的知識管理系統研究，均從企業管理的角度，針對知識管理模型、知識管理成功因素等問題進行探討，但對於製造工廠基層中實際存在的核心知識管理方法，卻未見有相關的研究加以探討。在製造業中，企業最寶貴的工程製造技術知識是散佈在生產製造流程的各個工作程序與人員中，企業必須有系統的收集彙總後，始能有效運用、發展與持續企業的競爭力。 / 知識管理重在知識的分享，本研究建立的「製程整合知識庫」為知識的分享建立良好的基礎，對於新晶圓廠建廠生命週期運轉階段的製程技術移轉工作亦能提供協助，利用相似性移轉的方法，將「製程整合知識庫」完整移轉至新晶圓廠，可以提高製程的穩定度、提昇產品的良率，達到穩定製程的移轉安裝工作、縮短新晶圓廠量產運轉所需時間的目的。此外，對於營運中的工廠而言，「製程整合知識庫」也可協助檢視生產線上的缺失，以提昇產品品質與生產效率。

台灣模具產業具有交期短、品質好、價格具有競爭力、製程安排彈性大等優勢，因此在高科技產業供應鍊中扮演關鍵性的角色。唯近年來，台灣許多高科技產業的外移，造成模具業產值最近連續三年呈現下降與核心技術外流，成為模具業所面臨的嚴重考驗。如何留住核心技術人才，加強研發新的關鍵技術並將研發成果取得智慧財產權相關法律保護，並以必要的組織、制度、人才、措施等妥善加以管理，已經成為模具業以及關連高科技產業必須面對的重要課題之一。 本研究以策略管理的角度切入，探討由策略前提所形成之策略，與智慧財產權管理實際運作下，對「台灣模具業及其關連高科技產業的智慧財產權管理發展現況及當前問題」提出適當建議與解決之道。 研究對象為台灣五家經營績效良好之模具業者及關連高科技業者。模具業者包含金屬沖壓、塑膠射出成型、與壓鑄模具業者；關連高科技業者則包含連接器、筆記型電腦、與行動電話業者。其中三家模具業者尚未擁有專利保護，而兩家關連高科技業者之專利保護已有相當成效。本研究主要發現如下： 一、不同的企業規模，對改善技術能力作法有其差異： （一）共同研發新技術：中小企業傾向與國內研發機構共同研發，並取得新技術之全部或部份智慧財產權或取得授權使用新技術；大型企業則傾向自行研發為主。 （二）自國外引進新技術：中小企業傾向委託財團法人或智財科技服務公司從技術先進國家引進技術；大型企業則傾向自行引進技術為主。 （三）向技術相對落後國家移轉技術方面： 1.中小企業傾向透過財團法人或智財科技服務公司之協助移轉技術，對於較單純之案件可自行為之。 2.大型企業可自行為之或採上述方法，委託專業之單位或公司為之。 3.台灣企業對大陸投資之子公司，大部分並未針對技術移轉收取權利金，僅由子公司之獲利盈餘分配取得回饋，尤以持股比例較大者最為普遍。 二、國內模具業及關連高科技產業智慧財產權管理現況為： （一）制定「營業秘密管理辦法」，規範各業務或利害關係人之營業秘密保護要項： 1.影響製造精度之技術 2.訪客參訪流程與動線 3.與供應商相關之營業秘密 4.顧客之營業秘密 5.矯正預防措施單 （二）制訂「專門技術管理辦法」，加強專門技術保護 1.規範「提案改善制度」 2.培養技術專家 3.掌握專門技術人力資源，塑造： （1）尊重專業 （2）對等報酬 （3）生涯規劃等制度完善之企業文化。 （三）專利管理制度： 1.建立提案與獎勵制度： 對創新提案、申請專利、專利核准、與達成技術移轉等階段均核發獎金，以鼓勵員工技術創新。 2.專利維護： 對專利佈局同時重質與量之提升，專利權之維護，則以成本效益為主要考量，以具市場價值者為優先申請與維護對象。 （四）技術授權考量有二： 1.視技術生命週期採行不同之授權策略，如導入與成長期採技術引進、成熟期採交互授權、衰退期技術則對外移轉。 2.以對子公司持股比例，調整技術移轉之權利金分配，持股較高則以盈餘分配取代權利金，持股較低則傾向依市場機制收取權利金。 由本研究之策略意涵得知，個案公司目前所採行之策略，均能適當地反映出其目前所處環境。如鴻海精密以綿密之專利佈局保護其技術，鉅祥、竣盟、谷崧則實施營業秘密與專門技術管理，神達機構則是專利保護與營業秘密管理兼具。 由此可知，模具業及關連高科技產業之智慧財產權管理作法具有多種不同之形式，專利保護並非模具業與關連高科技產業智慧財產權管理之唯一解答。尤其對中小企業而言，注重營業秘密與專門技術保護，塑造良好的企業文化、工作環境，設計合理對等報酬、制度完備的人力資源管理措施，亦不失為智慧財產權管理的良好解決方案之一。 目前大型之關連高科技企業非常重視智慧財產權，並已發展出一套以專利保護為主軸的管理制度。展望未來，模具業與關連高科技產業之連動性將逐漸加深，模具業者今後亦必須加快建立智慧財產權管理制度之腳步。 / Taiwan's mold & die industry plays a very important role of the supply chain for the high-tech industry around the world due to its advantages of short delivery time, good quality, competitive price and production flexibility, etc. However, in recent years, the continuing migration of the high-tech industry is resulting in production decreases and movement of core technology out of Taiwan. How should we keep the core technology, human and financial resources left in Taiwan; what can be done to strengthen research and development (R & D) on new and core technology; how can the core technology be protected by patents managed by a sever system. This is a matter of great urgency and an important issue that Taiwan’s mold & die industry and its related high-tech industry are facing. In view of the above, this study offers Taiwan's mold & die industry and its related high-tech industry some suggestions and solutions for the problems that they faced, based on their current Intellectual Property Rights (IPR) management development situation. This study was researched from the strategy management view and included five (5) outstanding mold & die manufacturers and their related high-tech companies in Taiwan. These mold & die manufacturers are in the metal stamping die, plastic injection mold and die casting mold industries; these high-tech companies are in the connectors, notebook computer and cellular phone (telecommunication) industries. Three of the companies, the mold & die manufacturers, do not hold any patents, while the other two high-tech companies are well protected by their patents. The main finding of this research is as follows: 1.The strategy of technical improvement for companies of various sizes is different: 1) R & D for new technology- Small and medium companies prefer to cooperate with other local R & D institutes in developing, researching, and obtaining full or partial intellectual property rights protection; or obtaining the rights to use the new technology (invention). On the other hand, large companies tend to do the R & D in-house. 2) Technology transfer from overseas– Small and medium companies prefer to transfer the technology from high-tech orientated countries through local R&D institutes or an IPR service provider. However, large companies prefer to transfer the new technology by themselves. 3) Technology transfer to developing countries– (1) Small and medium companies tend to transfer the technology to developing countries through local R&D institutes or IPR service provider except in the case of simple projects. (2) Large companies tend to transfer their technology out by themselves or through a professional agency. 2.The IPR management situation of Taiwan’s mold & die industry and its related high-tech industries– 1) Establish “Trade Secret Management Regulations” to prevent the following trade secrets from being disclosed: (1) Technology that will influence the accuracy of machining. (1)-1 On site know-how – Limiting the visitors touring sensitive areas. (1)-2 Trade secrets of suppliers. (1)-3 Trade secrets of customers. (1)-4 Corrective action reports. 2) Establish “ Know-how Management Regulations” to: (1) Regulate “Proposal improvement systems” (2) Train and develop technical specialists (3) Retaining knowledgeable human resources by (3)-1 Professional appreciation (respect) (3)-2 Equal award (return) (3)-3 Good and complete system, employees’ career planning and enterprise culture. 3) IPR management system: (1) Establish a proposal and reward system: Encourage employees’ technology inventions by rewarding them for their proposals, applications, and completion of technical transfer for IPR. (2) Patent protection: Consider not only the number of patents, but also the quality of patents. 4) Technology transfer policy Different policy for different technique life cycle. From this research, we realized that companies apply different strategies in response to their recent situation. For example, “Hong Hai” is applying the practice of IPR management in protecting his technology; G-Shank, Giant Union and Coxon are applying the practice of trade secret and know-how management; MiTac is applying the practice of both IPR management and trade secret management. From the above, we also realize that patent protection is not the only solution for IPR management in the mold & die industry and it’s related high-tech industries. Trade secret management and know-how protection, a good corporate culture, good business and human resource management, an improved working environment, reasonable and rewarding work are also the major solutions for IPR management. For the time being, large high-tech companies highly respect IPR and have developed a good management system, especially for patent protection. Therefore, due to the close relationship between the mold & die industry and high-tech industries, speeding up the development of IPR management becomes an urgent issue for the mold & die industry.

台灣TFT LCD產業在國內六家主要廠商的帶動下，由草創期邁向快速成長期，成為世界舞台上矚目的焦點。本研究以台灣TFT LCD產業為研究對象，一方面為台灣TFT LCD產業記錄略盡微薄之力，一方面藉著技術知識特質與內外部技術網路的探討，深入瞭解台灣TFT LCD產業組織知識流通以及能耐打造的情況。 本研究以個案訪談為主要研究方式，共訪問六家主要的TFT LCD廠商。本研究以「技術知識特質」、「外部技術網路」、「內部技術網路」探討其對台灣TFT LCD產業廠商「組織知識流通」的影響。本研究之研究發現如下： 壹、技術知識特質對外部技術網路之影響 一、本研究發現當組織技術知識路徑相依度不同時，與技術知識吸收來源關係緊密程度亦不相同。當組織技術知識路徑相依度愈高時，與技術知識吸收來源關係愈寬鬆。當組織技術知識路徑相依度愈低時，與技術知識吸收來源關係愈緊密。 二、本研究發現當組織技術知識路徑相依度不同時，組織在吸收供應商的技術知識上採取不同的模式。當台灣TFT LCD廠商技術知識路徑相依度愈高時，其在吸收技轉廠商的技術知識上採取共同開發模式。當台灣TFT LCD廠商技術知識路徑相依度愈低時，其在吸收設備供應商的技術知識上採取交付模式，且設備供應商會提供文件資料、派人駐廠協助。 貳、外部技術網路對組織知識流通之影響 一、本研究發現當組織與技術知識來源關係緊密程度不同時，組織在管理知識吸收上會採取不同的互動方式。當台灣TFT LCD廠商與技術知識來源關係緊密時，其在管理知識吸收上會採取持續互動的方式。當台灣TFT LCD廠商與技術知識來源關係寬鬆時，其在管理知識吸收上不會採取持續互動的方式。 參、內部技術網路對組織知識流通之影響 一、本研究發現知識經驗的分享有助於組織知識在轉換過程中創造與蓄積。知識經驗透過師徒制、在職訓練分享，有助於知識在共同化過程中蓄積與傳播。知識經驗透過文件資料撰寫，有助於知識在外化過程中蓄積與傳播。知識經驗透過面對面溝通分享，包括會議召開、空間設計，有助於知識在結合過程中創造。知識經驗透過內部網路分享，有助於知識在結合過程中蓄積與傳播。 二、本研究發現組織擁有知識創造型團員有助於組織知識的流通。台灣TFT LCD產業的知識操作員在知識共同化過程中，藉著親赴日本實地學習促進組織知識的吸收。台灣TFT LCD產業的知識操作員在知識外化過程中，藉著將受訓內容進行文件化記錄，促進組織知識的蓄積。台灣TFT LCD產業的知識主管屬於T型人，透過會議傳遞、溝通組織願景，有助於知識的創造。 三、本研究發現組織內研發部門與生產部門間的連結與轉移，有助於解決知識創造過程中的問題。台灣TFT LCD各家廠商皆藉著研發部門與生產部門間人員的互動來促成問題的解決。 肆、台灣TFT LCD產業創新特色 一、本研究發現台灣TFT LCD產業這兩年快速發展的過程中，廠商為了避免技術風險與市場風險，採取下列的作法：以共同開發、獨家授權、合資等模式，與獨有的日本技轉廠商維持緊密的合作關係來降低技術風險；以產品銷售母公司、為技轉廠商進行代工等方式來降低市場風險。 二、本研究發現當母公司進行跨業投資台灣TFT LCD產業時，會透過集團協助組織知識流通，其中包括高階主管、生產人才的調任，以及技術知識、管理經驗的提供。 三、本研究發現在產品開發能力移轉上，台灣TFT LCD廠商成功邁向第二個層次—調適與零件本土化的能力移轉，並建構本身在實體系統、管理系統、技術與知識、價值觀各方面的核心能力。 四、本研究發現在台灣TFT LCD產業崛起過程中，工研院除了提供技術知識給廠商外，亦扮演人才提供的角色，協助台灣TFT LCD產業組織知識的流通。 五、本研究發現在台灣TFT LCD產業崛起過程中，創新的CEO透過容忍智慧型失敗、塑造關懷（Care）與學習的組織環境，協助組織內知識的流通。

本研究目的在探討我國大專院校的技術授權績效影響因素，並探討各變項的中介及調節效果解釋。透過相關文獻的整理，本研究將影響因素可分為五個族群種類，包含：投入資源、智慧財產、專業技轉組織、環境因素及學校因素等五個族群，而觀察指標則採用學校的授權績效，據此五類因素設計出三個主要的研究假設。 本研究收集採用2007年我國大專院校全體164所完整資料，整理出34個變項資料，對於我國技術移轉迴歸模型的有效解釋能力為71.5%至68.0%，認為各校的美國專利數是具有顯著中介效果的變項。具有顯著意義的調節變項中，可以歸納出TTO影響績效的三個主要變項群組，包含：(1)TTO總員工數能增強研發資源產生專利權的解釋；(2)推廣活動辦理能增強研發資源產生專利權與授權績效的解釋，唯發明人引介數與專利權有較顯著相關性；(3)TTO職員的專業背景也是重要的調節變項，當學校研發資源充足時會聘請技術及法律背景的員工。 另學校鄰近科學園區、設置醫學系、公立一般大學，這三項具有調節效果的環境及學校變項，對於解釋能力具有增強的效果，但是因果關係上傾向解釋為資源優勢，本研究認為環境變項具有顯著影響，但相對難以透過管理機制產生績效的實質影響，相對地，TTO影響的因素卻可以透過管理產生績效的實質影響，是當前各學校在發展技術移轉上可參考的重要實證資料。本研究最後提出針對大學技術移轉研究的侷限問題，以及五種能夠修正本研究限制的建議。 / The purpose of this study is to analyze the factors of technology transfer performance in the universities and colleges in Taiwan. Furthermore, this study finds the mediation variables within the factors. This study differentiates the factors into 5 major elements, including investments, intellectual property, TTO, social environments, and the university itself. The annual royalty is the dependent variable. The study builds three hypotheses according to the 5 major elements mentioned. The study collects the complete data in 2007 of 164 universities and colleges in Taiwan. The intervening and mediation variables are taken into the regression model; the higher R-square is 68.0% to 71.5%. The study divides the significant mediation variables into 3 groups, including (1) The TTO scope will increase R-square of the patents. (2) The promotion actives will increase R-square of the patents and royalties. However, there is the high correlation between inventor promotion and patents. (3) When there are sufficient RD resource in the universities, TTO will employ employees of legal and technology background. About the environments and university issues, there are three significant mediation variables, including the distance to Science Park, the faculty of medicine, the public or private universities. The environmental variables were the significant impact on regression model, but the variables were controlled difficultly by universities. Comparatively, the universities controlled the TTO variables easily, and its will be significant impact on the performances of TTO. The study argues that variables are the effect issues with resource advantage. At last, the study recognizes some limits about the research of technology transfer and proposes 5 suggestions for future research.

西元2005、2006年間，臺灣數家知名手機代工業者，或是從手機代工兼跨經營自有品牌的手機業者，透過與國內、外企業所進行之整併活動，上演多幕併方與被併方商業資源之切割、位移與重新整合的戲碼，而除決意退出賽局的企業不論，其他繼續競逐的業者，似正利用整併活動，快速囊闊並整合企業繼續成長壯大所需的商業資源。 其中，在明基整併西門子手機事業案例中，併方明基集團明確指出，透過整併，希望能取得被併方手機相關之智慧財產資源，包括核心專利、有限期的商標使用權及人員、技術等。且併方亦表示，取得被併方手機相關核心專利與品牌使用，是該整併案中重要標的，更是決意整併與否的關鍵因素，故在本件整併，併方對於取得被併方手機相關核心專利與品牌使用，顯然有高度之期許與重視。 讀到上開資訊，腦海中所伴隨著的問題意識，包括：究竟台灣手機業者透過整併活動，取得知名手機大廠所擁有之核心專利，其商業目的為何？倘若取得此等核心專利，有其商業價值，依據併方擬達到之商業目的，併方應於整併前，進行何等相應評估與規劃作業？此外，在取得國外知名手機廠商授權商標使用權能部分，此等商標使用權能之取得，究竟併方商業目的何在？倘併方看中的是，被併方商標具有品牌價值，那麼奠基手機品牌價值之價值活動為何？且併方應透過何等途徑，才能順利位移被併方之品牌價值到併方身上，並讓併方據此更佳蓬勃？ 本論文以上開問題意識出發，於論文各章節中，進行相應之探討。而明基整併西門子手機事業之案例，恰好提供豐富的商業基礎事實，故本論文援引此一案例，作為研究與論述基礎，並藉由實際案例所提供資訊，讓學術討論更具意義。 經本論文研究結果認為：倘若併方將被併方核心專利與商標使用權能之取得，列為整併重要標的，在進行此等整併作業時，併方應依據所設定之商業目的，事先應有一套完整的評估作業（本論文嘗試提出評估作業架構圖），亦需規劃後續相應配套執行作業，如此，始能提高商業目的既遂的機率，並且避免讓『大機會』變成『大風險』，而且，在併方取得被併方商標使用權能部分，併方應先明辨商標與品牌之不同，併方於使用被併方之商標，也應事先確定其具品牌價值且無嚴重的負面印象存在。 基於以上研究結論，筆者進一步提出幾項建議如下，作為本論文研究成果： 一、併方整併被併方智財資源之具體標的，倘在於核心專利取得。建議併方應於整併前，對所取得之專利是否為核心專利先予驗明正身，而且必須設定取得核心專利之明確商業目的，後續也應依據商業目的，具體規劃相關評估與執行作業。 二、若欲讓整併目的既遂並降低相關商業風險，整併前之評估作業，至為關鍵，建議未來進行類似整併案件之併方，務需於雙方拍板定案簽約前，即投入相當人力物力資源進行評估與資訊情報蒐集作業，而不是於拍板定案後，才臨機應變並見招拆招。 三、併方取得被併方之核心專利，本質上存有有哪些風險，建議併方亦需清楚臚列評估，並應於雙方併購合約中透過合約約款之設計，讓併方之商業風險有效控制與降低。 四、在取得被併方商標使用權能部分，建議併方事先應評估被併方商標是否具有品牌價值，並找出奠基被併方品牌價值之因素，且併方應明確區分品牌價值與品牌知名度之不同，進而仔細評估被併方品牌究竟是有真實價值，還是徒具知名度而已。 五、確認被併方商標具品牌價值後，若欲將被併方品牌價值真實位移到併方體內，建議併方應將被併方企業價值活動盤點，並進行去蕪存菁作業，進一步將有價值之企業活動加值，亦需將雙方企業活動整合與融合，如此被併方之品牌價值始能真實位移，而不是曇花一現。 六、又，不論併方品牌策略之操作，是採單一品牌或雙品牌操作模式，如果被併方授權商標使用是有期限的，併方應考慮到使用期限屆至後，儲蓄在被併方商標上的品牌價值應如何順利位移承接到併方商標上，以及在採行雙品牌策略後，當併方之品牌脫離了被併方之品牌，要如何自立不受影響。 / In 2005 and 2006, several renowned mobile phone OEM or branding companies in Taiwan were merging, sinning off and/or restructuring through their local or foreign affiliates. Except some were intended to exit the market, most were utilizing the merger and acquisition to combine various resources to grow in their sizes. In one of the cases, the merger of mobile phone business units of BenQ – Siemens, BenQ clearly indicated that through the merger, BenQ intended to acquire the intellectual property resources from Siemens including the essential patents, license of trademarks, technical supports and know-how, etc. BenQ also indicated that the acquisition of licenses of Siemens’ essential patents and brand name usage regarding mobile phone business would be the major target in the merger deal, as well as the turning point as to whether the merger should proceed along. In that case, therefore, BenQ highly expected to obtain licenses of Siemens’ essential patents and brand name regarding mobile phone business. The foregoing paragraph raises certain issues: what is the business purpose of a Taiwan mobile phone company to obtain the essential patents from other renowned and sized mobile phone branding companies? Assuming such business purpose is found, what kinds of evaluations and feasibility studies the merging company should conduct before the merger closing, in order to warrant the business purpose? Besides, what is the business purpose for the merging company to acquire from the renowned company a license to use the trademarks? If the merging company views such trademarks not as merely trademarks, but largely focuses the branding value added by the merged company with such trademarks, one would ask a question: where are the activities that have created and supported the mobile phone branding value? Through what ways, the merging company is able to successfully transfer the branding value from the merged company to the merging company and develop its business prosperously with the transferred branding value? This thesis starts with the above issues and discusses the relevant topics in various theories, using the ample business materials and facts in BenQ – Siemens merger as a base for case study so as to make the theory discussions in this thesis in a more practical sense. The research conclusion in this thesis indicates: If the major target in the whole merger deal is to acquire essential patents and trademarks from the merged business, the merging business must establish a complete feasibility assessment program in accordance with the intended business purpose (the thesis intends to provide a illustration charts for such assessment program) before the closing, and a well coordinated implementing procedures for post-closing operation, in order to higher the probability of meeting the intended business purpose while lower the possibility of spoiling a “great opportunity” into a “huge risk”. In addition and beforehand, the merging business should be able to tell the specific differences in nature between the brand names and trade marks. The merging business should also clearly identify the merged branding value, and further, ensure there is no negative impact in applying the merged branding in its business. Based on the conclusion stated in the preceding paragraph, the author thereby submits the following recommendations as a result of the research in the thesis: 1.If the specific target for a merging business seeking to combine intellectual property resources of the merged business is to obtain the essential patents from the merged business, it is advisable for the merging business to, before the merger, identify whether the patents proposed to be acquired are indeed essential patents in relevant industries, establish a clear business purpose feasibly achievable by acquisition of such patents, and establish an assessment program and a well coordinated implementing procedures operation in accordance with the established business purpose. 2.It is extremely imperative to conduct a solid and full-scaled pre-closing feasibility studies so as to reduce the business risks in merger deal. It is advisable for a merging business to devote considerable resources to conduct evaluation and information gathering before merger closing, and not to remedy and mitigate the case in post closing days. 3.It is advisable for the merging business to identify and list in detail the risks in acquiring the core patents from the merged business, and further structure through merger related contracts to effectively control and minimize such risks. 4.It is advisable for the merging business to clarify whether the proposed trademarks are having true branding value, find the factors within the merged business creating and supporting such branding value, clearly tell differences between branding value and brand popularity, and then carefully assess if the proposed brand name is powered with the true branding value or merely covered with a wide popularity. 5.After identifying the branding value of the proposed trademark, if the branding value is intended to be transferred into the merging business, it is advisable for the merging business to conduct a full examination on the previous branding value activities of the merged business, and adjust/develop the value-added items of new activities by continuing joint efforts of corporate businesses, not a flash show in the market. 6.No matter the marketing strategy is by single brand name or combined dual brand name, if the proposed trademark usage is limited by time expiration, the merging business must consider after the expiration, how to successfully transfer the branding value of the proposed trademark to existing trademark originally held by the merging business, and how to maximize or maintain the independent branding value of the existing trademark after the expiration.

台灣高科技公司的技術來源主要有兩種途徑，一是自行或共同研發，另一種就是直接移轉量產技術。台灣高科技公司建構生產線的資金來源不外乎獨資或合資生產。因此，台灣動態記憶體產業與國際各大廠之間的技術互動，影響了臺灣動態記憶體產業發展。 本研究採用個案探討之方式，參考知識管理及智慧資本存量的構面，同時將組織由外部及內部輸入資源的機制一起考慮，以 (1)、智慧資本的存量，(2)、有助於累積智慧資本的知識管理相關之組織活動及組織系統 (知識管理四大構面)，兩大類別來分析個案公司。 個案分析中的兩家台灣動態記憶體公司，分別採用不同營運策略模式，以兩種不同類型的技術引進方式，累積本身的核心能力；一家採用與結盟公司共同研發，另一家採用合資及移轉生產技術。 本研究經由訪談、實際案例等方法推演出個案，藉此比較不同營運策略的兩家公司，在知識管理構面和智慧資本存量的差異，並提出分析討論。 本研究發現，營運策略模式的選擇，對公司的知識管理構面和智慧資本存量會產生影響，主要發現這兩家公司有下述的異同，不同的營運策略模式的選擇，會使得兩家公司有下述的差異： (1)、關係資本存量不同，(2)、結構資本存量不同，(3)、獲取外界技術的途徑不同，(4)、取得知識的機制不同，(5)、輸入技術知識的外部來源不同，(6)、創造與整合量產技術的方式不同，(7)、內隱技術知識蓄積的手法不同，(8)、導入生產與整合新技術時機有差異，(9)、在知識創造的過程中，科層組織與專案組織兩者是不可或缺的，但運作方式及目的並不相同，(10)、有相似的知識市集形態，但內容有些差異；技術性的研討活動及組織人員輪調，有利於研發環境的培養。 除了上述較大的差異外，兩家公司在下述知識管理構面也有些相近的地方，但內容因策略選擇而有些差異： (1)、管理外顯知識蓄積的手法相近，(2)、解決問題之手法相似，(3)、運用系統化的管理方式，將分散各地的人力資本所擁有之資訊和智慧，轉化成組織性的知識。 本研究最後並提出一些實務上與後續研究上的建議。 / There are two major technology sources of Taiwan Hi-Tech companies, first, they develop technology by themselves or joint develop technology with technical cooperation partners; second, they transfer the production technology directly from technical cooperation partners. They set up their production line either by themselves or joint venture with other companies. So the technology alliance relationship between Taiwan DRAM companies and world wide major DRAM supplier will affect the long term development of Taiwan DRAM industry. This research takes the utilization of internal and external resources of the organization into consideration and focus on the knowledge management and the intellectual capital constructs of a company. I base on the following two categories to analyze the cases: (1) the stock of the intellectual capital, (2) the knowledge management related organizations and activities contributing to accumulate the intelligence capital (four major constructs of knowledge management). The research takes two Taiwan DRAM companies as an example; the two companies have different operation strategy and different technology implementation strategy to accumulate their core compentance. One company joint develops technology with technical cooperation partners; another company sets up the joint venture production line and transfers the production technology directly from technical cooperation partners. This research digs deeply into these two companies and wishes to find some useful clues to compare and explain the differences between these two differerent operational strategy companies about the constructs of the knowledge management and intellectual capital. This research finds the selection of the operation strategy will affect the constructs of the knowledge management and intellectual capital; the differences can be summarized as bellow: (1) the stock of relational capital is different, (2) the stock of structual capital is different, (3) the ways to get external technology are different, (4) the mechanisms of making knowledge are different, (5) the external sources of inputting technology knowledge are different, (6) the ways to create and integrate production technology are different, (7) the tactics that accumulate tacit technical knowledge are different, (8) the time to implement technology to mass production and integrate new technology is different, (9) while knowledge creation stage, the hierarchical organization and project team are both needed, but the operation method and purpose are not the same, (10) having the similar knowledge market, but the content is different; Technical workshop and job rotation are good for the research and development environment. Beside the above major differences, there are some similar knowledge management constructs, but the contents are different: (1) The tactics of managing explicit knowledge are similar, (2) the tactics of problem solving are similar, (3) to transfer the information and intelligence everywhere into the organization knowledge by using the systematic management tactics. Finally, this research proposes some suggestions for working level and future study reference.