摘要 全球化的浪潮和企業競爭日益激烈，企業所需要的學習服務，將越來越顯得迫切與多樣化。不受侷限空間和時間的限制的數位學習必然是企業所選擇的一條途徑，專業的學習服務提供者將尋求結合將所有的學習資源（如學習輔導業師、學習社群），來提高學習的成效和降低企業的成本。 因此，企業數位學習(corporate e-learning)將成為一個充滿機會的產業，組織/機構開始將推動企業數位學習業務視為一項重要營運目標。對於經營企業數位學習業務而言，促使組織/機構中知識擁有者¾研發人員的積極參與，是非常關鍵的因素。這些研發人員平日都已經擔負著相當多的任務，當組織/機構一旦決心投入企業數位學習業務的經營，研發人員的參與程度將決定了這項新的業務是否能夠成功。他們不但要繼續進行既定的工作，還要另外配合組織/機構的政策，提供知識和經驗給企業數位學習部門來推動業務進行。 本研究的目的在探討這些具備專精知識的研發人員對於企業數位學習的看法、新業務對他們既有工作的影響、與企業數位學習業務其他成員的互動合作、企業數位學習的工作特性、如何引導或促使專業領域人士能夠投入此一嶄新領域，以找出影響研發人員參與企業數位學習業務的各項因素，希望能給有心經營企業數位學習業務的機構和企業作為規劃與執行的建議。 本研究以工業技術研究院目前參與企業數位學習業務的研發人員為研究對象，採用深度訪談法進行研究，並藉由企業數位學習業務相關參與成員的訪談作為檢測依據，比對找出企業數位學習的工作內容與工作特性、研發人員參與此業務的動機以及組織機構推動企業數位學習業務的關鍵因素。 本研究之研究發現如下： 企業數位學習仍然處於演化階段，業務營運模式還需要不斷調整。 企業數位學習目前的工作特性具有高度技能多樣性、深遠的工作重要性、偏低的工作可辨識性、高度的工作自主性以及尚不顯著的工作回饋性。 企業數位學習具有需要跨領域團隊合作以及吸引追求高層次需求滿足的研發人員的業務特質。 企業數位學習的動機潛能分數(MPS)還有再提昇的空間。 研發人員需要很強的內在動機才會參與企業數位學習業務。 研發人員參與企業數位學習業務的外在動機需要仔細設計並且落實。 研發人員傾向於追求更高層次的需求滿足。 研發人員對於朝向於從事企業數位學習的業務變革表現出抗拒或觀望的態度。 能夠同時擁有知識創造和知識擴散的力量的企業組織/法人機構，對於推動企業數位學習業務相當有幫助。除了在課程內容和工作知識可以相互流通之外，既有業務和新業務在規劃和執行層面上都要整合，以尋求綜效(synergy)。 經營企業數位學習業務需要建立適當的內容審核機制並結合企業組織/法人機構內部知識管理的運作。 企業組織/法人機構把知識創造過程自然融入企業數位學習當中，並且加進入實地操作與臨場經驗(Hands-on experience)，將使得技術知識擴散可以更具備完整性。 企業組織/法人機構的決策階層執行力不夠貫徹、空有宣示而無配套策略、缺乏宣導措施是企業數位學習業務遇到瓶頸的主因。 關鍵字：研發人員、企業數位學習、工作動機、工作特性、知識創造、知識擴散、組織變革、變革抗拒 、工業技術研究院

學術研究機構向來是科技創新的主要動力來源，許多與人類生活息息相關的發明多半來自於學術研究機構此一孕育創新的搖籃。此外，一個國家的學術研究能量往往也反映了該國的技術能力與競爭力，因此世界各國無不投注大量資源於大專院校及研究機構，期望除了學術產出之外，亦能將原始的創新概念透過研發活動轉化為智慧財產，並進一步將其商業化，滿足市場需求，實現知識之最大價值。 我國之學術研究能量並不落於美、歐、日等主要技術領先國之後，從我國政府投注於學術研發活動之經費、歷年發表於SCI、EI等期刊論文以及取得美國專利之數量等科技發展成果指標便可說明此點，然我國於1999年通過與美國拜杜法案意義相當之科技基本法至今已滿九年，各學研機構之專利申請量雖有成長之勢，然而2007年實際之智慧財產權收益卻僅佔研發總投入費用的0.87%；2005年全國技術貿易額收支比僅達0.23，與美、日、英等國相較，實可謂差強人意，顯見我國在研發成果商業化上已面臨一定瓶頸。 在知識大爆炸方興未艾的二十一世紀，可以預見的是將有越來越多的研發成果持續產出，學研機構花費於取得並維護智慧財產之費用亦將持續提高，如何在產出的眾多研發成果及專利中，篩選出真正有商業化潛力之標的，以將有限的人力、時間、資金等資源投注於其上並轉化為實質的經濟效益，將是學研機構進行研發成果商業化時的重要課題；此外，在學研機構法人化之潮流下，若未來大學等學研單位須自行負擔大部份資金之籌措時，此一評估機制將更顯重要。另，在資訊高度不對稱的情況下，技術需求方難以辨認技術供給方之技術是否為適合之交易標的，因此若能建立一套商業化可行性評估機制，亦能使雙方間之資訊交流更為順暢，促進技術之移轉與商業化。 因此，本研究嘗試提出一研發成果商業化可行性評估機制，以供學研機構進行內部評估，使國內「悶住」的研發能量得以透過有效的評估機制而活化。又，由於不同科技領域所適用之商業化可行性評估方式將有所差異，而生物科技領域為二十一世紀科技發展中之重要領域，且列為政府政策下的重點發展產業之一，加以作者本身之相關學經歷背景，是以本研究選擇生物科技領域研發成果為討論之重點。 本研究分別從5W的角度來探討研發成果商業化可行性之評估機制，分別是進行商業化可行性評估之目的(Why)、進行商業化可行性評估之時點(When)、商業化可行性評估之執行者(Who)、評估所需資訊之取得(How)以及進行商業化可行性評估時所需考量之因素(What)，最後建立一研發成果商業化可行性評估機制，作為本研究之核心概念以及後續個案探討之依據。 此外，本研究針對研發成果商業化可行性評估之各項構面進行介紹，並提出學研機構於進行評估時在各構面應考量之重要項目與問題。依所建立之評估機制與架構流程，將評估構面分為技術、智慧財產、市場、法規與財務五大構面，並以技術與智慧財產構面為探討之重點。 由於本研究之研究對象為學術研究機構，且以生物科技領域為重心，故由大專院校、基礎研究機構及應用研究機構中各挑選一具代表性之單位作為個案研究對象，分別為國立陽明大學、中央研究院以及財團法人工業技術研究院，透過與各機構之研發成果管理專責單位進行訪談，深入了解其運作機制與現況，以期綜覽各類型學研機構之研發成果商業化可行性評估機制，並得出研究發現及建議。 根據個案研究之發現，本研究對於國內學研機構之整體建議，主要包括：研發成果商業化可行性評估機制應依機構之目的、性質、智財管理現況加以擬定；研發成果商業化可行性評估之構面應配合研發成果之性質及開發階段而設定，並以技術構面為基礎，智財構面為樞紐連結市場與法規構面之評估，最後以財務構面進行統合；而學研機構若欲採外部審查方式執行評估工作，須考量可能之缺失；此外，研發成果商業化可行性之評估應由具備跨領域能力之團隊加以執行，並應使具備產業經驗與市場背景之人員有一定程度之涉入；再者，生物科技領域研發成果因其本質上之特殊性，故於進行商業化可行性評估時，有諸多因素需加以考量；最後，政府可主動協助建立專業之機構或團隊，提供學研機構進行研發成果商業化可行性評估甚至後續之技術行銷服務，以有效符合規模經濟、範疇經濟與專業、客觀之考量。 / Academic and research institutes are the origins of technology innovation. Many of the significant inventions were devised in these cradles of innovation. Academic and research power can often indicates the technology capability and competency of a nation. Every government invests vast resources to universities and research institutes in order not only to make academic publication but also to realize the maximum value of the knowledge through converting the innovative ideas into intellectual properties (IP) and further commercializing the R&D achievements to meet the market needs. The academic researches in Taiwan can compete with the technological leading countries such as the U.S, Japan, and E.U. countries, in terms of some science and technology indicators like R & D expenditure, SCI / EI publications, and the number of U.S. patent granted. Nevertheless, the actual revenue generated by IP in 2007 was only account for 0.87% of the total R&D input and the coverage ratio of technology balance of payments was only 0.23 in 2005. The fact indicates that there were some barriers on the path of R&D commercialization in Taiwan. In the 21st century of knowledge explosion, it is predictable that more and more R&D achievements will be generated from academic institutes and the expenses devoted to the acquisition and protection of IP will keep rising. Therefore, it will become a critical issue in academic institutes to sieve out the targets of the higher commercial potential from numerous R&D results and patents so as to concentrate the time, human and financial resources on those targets for its further commercialization. Moreover, under the highly asymmetrical information situation during the technology trading, technology buyers have difficulty in identifying whether the technology is a suitable trading target or not. A well-established feasibility evaluation mechanism will also stimulate the interflow of information and promote the technology transfer and commercialization. Accordingly, this thesis will try to establish a feasibility evaluation mechanism (FEM) for commercialization of R&D achievements in academic institutes in order to activate the stuffy R&D energy in Taiwan. Biotechnology is one of the most important fields of technology in the 21st century and thus be the main concern of the discussion of this thesis. This thesis will investigate the feasibility evaluation mechanism for commercialization of R&D achievements on a “5W” basis, including the purposes of evaluation (why), the time of evaluation (when), the executives of evaluation (who), the information needed in the evaluation process (how), and the factors that should be taken into consideration in the evaluation process (what). Accordingly, a feasibility evaluation mechanism for commercialization of R&D achievements will be established as the central concept of this study and as the ground of follow-up case analysis. In addition, each aspects of feasibility evaluation as well as the significant issues and questions of each aspect will be illustrated in this study. According to the feasibility evaluation mechanism and framework established in this study, there are five main evaluation aspects including the technical aspect, intellectual property aspect, market aspect, legal aspect, and financial aspect. The main subjects of this study were the academic institutes in biotechnology field in Taiwan, the National Yang-Ming University, the Academia Sinica, and the Industrial Technology Research Institute (ITRI). These institutes are chosen as the subjects of case study standing respectively for the higher education institute, basic research institute, and the applied research institute. By way of interviewing the personnel of R&D achievements and IPR management department in the institutes in question, the feasibility evaluation mechanism implemented by different types of academic institutes was investigated to delineate the key findings, followed up with some practical advices. The overall advices proposed by this study for the academic institutes in Taiwan were summarized as follows: (1) The feasibility evaluation mechanism for commercialization of R&D achievements should be devised in accordance with the purpose, the nature, and the IP management status of each institute. (2) The feasibility evaluation should be set to match up the development stage of the R&D achievements and take the technical aspect as the groundwork, IP aspect as the pivot connecting to the market and legal aspect, and the financial aspect as an integrated result. (3) Evaluation executed by external parties may be of some defects that should be taken into consideration. (4) The feasibility evaluation for R&D commercialization should be executed by multi-disciplinary team and the industry-experienced or market personnel should as well participate in the evaluation process. (5) Due to the characteristics of biotechnology, many special factors should be involved in the evaluation process. (6) The government may actively assist in setting up a professional organization or team to provide feasibility evaluation and even the further technology marketing services to meet the consideration of economies of scale/ scope, specialty, and objectivity.

許多組織為了建立競爭優勢，運用團隊成員的專業及經驗去解決問題，創造差異化的產品。這個趨勢可以解釋為何團隊的研究目前又開始熱門，特別是團隊知識歷程。“交融記憶系統”（TMS） 就是其中一個著重在瞭解團隊知識歷程的理論架構。“交融記憶系統”的構念，特別強調如何利用和組合分散在個人身上的專業，以幫助我們瞭解知識任務者的團隊如何充分發揮個別成員知識的價值（Lewis,2003） 。透過團隊的交融記憶系統，團隊成員可以建立各自專業，信賴且有效溝通，這似乎正是解決目前產業問題的良方。 Lewis（2003）為了在實務上有效應用交融記憶系統的理論，到各種不同目的與型態的團隊，編制了交融記憶系統量表。這個量表包括“專業”（Specialization）、“信賴”（Credibility）、與“協調”（Coordination）三個分量表，每個分量表各有五個題目，整個量表共有15題的5點李克特式量表。以其研究物件的團隊 來看，此量表可廣泛應用于研發創新團隊、中小型企業與新創公司等，幫助公司預估績效與提高競爭力。 本研究分為兩大部分。第一部分為量化研究，對Lewis（2003）所編量表進行修訂，以用來測量臺灣地區團隊的團隊交融記憶系統：為了驗證本量表效度，本研究收集了大量企業及學生團隊樣本，以統計方法分析績效良好團隊在交融記憶系統量表分數，是否顯著高於績效不彰團隊外，也分析交融記憶系統量表與團隊成員“依附風格” 、“創新行為”、“團隊創意觀念產生”、“成就目標” 之間的相關關係，以確認量表的建構效度。第二部份研究為質性研究，透過對實務團隊的深入訪談與實證，驗證交融記憶系統在成效良好團運作的現況。 本研究第一個成果在成功修訂交融記憶系統量表。修訂後的量表在統計分析後，績效良好團隊的交融記憶系統量表分數，顯著高於績效不彰團；和“依附風格”、“創新行為”、“團隊創意觀念產生”、“成就目標”之間的相關性，也和理論原始架構相符，證實了量表的信效度。本量表將可有效衡量臺灣各式團隊的交融記憶系統。 本研究的第二個成果，透過實務團隊的訪談與實證，驗證了交融記憶系統在國內成效良好團隊運作的現況。文化創意產業的紙風車兒童劇團 ，及TIC100創業競賽的冠軍團隊 ，這兩個成功典範團隊的運作中，雖然成員本身沒有認知到系統的存在，不過都有運作良好的團隊交融記憶系統，再度確認交融記憶系統理論架構在實務上團隊中的運作。 筆者透過成功典範的訪談與適合臺灣量表的建立，希望能做為業界建立與運作團隊時的參考，而對團隊的成功運作有所幫助。 關鍵字：交融記憶系統、團隊、研發、創造力

Hewlett-Packard was the leader of computer for many years but losing its core-competence recent years, this thesis is trying to study the root cause internally based on the strategy management perspective. From external marketing environment to internal functional level analysis to support the key reason on Hewlett-Packard strategy management issues. In the competitive market of computer industry, We can see the old companions like Dell and Sony are no longer as profitable as they were used to be, Dell has gone off market since 2013, and Sony announced they will leave the PC market. In this thesis, we divide chapters into functional level strategy and business level strategy to demonstrate how HP is cope with current trend and what decisions have been made. Hewlett-Packard is gradually losing its competitive strength due to several reasons. For instance, R&D design products with less innovation but cost-oriented, marketing do not position product as premium product in the market, and supply chain controls inventory less efficiently.

本論文研究以台灣最具競爭力的IC設計產業為例，從『知識管理』的角度出發，以『吸收能力，網路關係與企業創新之關聯』為研究主軸，探討1.吸收能力之構面。2.吸收能力與知識網路間的交互關係。3.影響吸收能力的其他因素。4.吸收能力，知識網路與知識流通的關係。5.吸收能力，知識網路與企業創新之關聯。6.最後提出『吸收能力』階段性培養過程作為最後結果。研究結果如下： 一，吸收能力的構面分為『個人層次』與『組織層次』兩方面，包括有：1.員工背景差異性（此構面影響性事後證明並不大）。2.員工教育訓練。3.員工知識專精度（觀察指標為創始人之技術背景與員工學歷分佈情形）。4，R＆投資（企業創新可說是R＆D的副產品，想要持續創新就必須針對組織核心技術知識不斷地投資研發）。5.組織具有互補性知識多寡（知識具有多元性，因此組織具有互補性知識愈多愈有助於吸收外界的新知識）。6.組織先前知識基礎（學者Cohen&Leventhal(1990)提出吸收能力是組織先前知識基礎的函數，因為知識具有路徑相依性，因此先前知識基礎有助於下一期知識的吸收與利用，故先前知識基礎是組織吸收能力的根本）。 二，外部網路關係可視為『知識網路』，網路成員交流的內容以知識為最主要的實質內涵。因此，吸收能力與知識網路間具有『正向回饋效果』。好的吸收能力有助於建立網路關係，而好的知識網路有助於組織吸收能力的加強。 三，影響吸收能力其他因素有，1.知識蓄積整合機制（將學到的知識儲存於組織中），2.知識流通機制（做好與外界知識的介面管理，以加速知識的流通效果），3.管理機制（組織必須設立一些激勵制度或管理機制設法留住知識型員工，因為大部分內隱性知識是以人為最主要的載體）。 四，好的吸收能力與知識網路關係有助於知識流通效果的改顫，不但會加速知識移轉的速度，甚至學習知識的效果也會大大地提升。 五，當組織有好的吸收能力與網路關係時，企業創新的可能性便大大的提升，因為創新來自於新技術知識的開發，若組織可以很快遞接收外界新知識，進而蓄積，整合，與利用，則企業創新不再是遙不可及的夢想。 六，本研究最後提出『吸收能力階段性培養』的動態架構，說明吸收能力最初是因為組織與員工的知識專精度，進而不斷地做R＆D，與外部網路伙伴結盟做技術知識交流。此外，組織內部也設立一些機制使知識得以蓄積儲存，流通與整合，經過這些過程後使組織原本吸收能力的層次向上提升，最後達成企業創新的目標。 第壹章 緒論 6 第一節 研究動機 6 第二節 研究目的與問題 9 第二章 文獻探討 11 第一節 知識管理理論 12 壹，知識的內涵及分類 12 貳，知識移轉 15 參，知識整合蓄積與擴散 18 肆，知識創造 19 伍，知識管理理論小結 23 第二節 吸收能力理論探討 23 壹，吸收能力定義 23 貳，組織學習理論探討 27 參，吸收能力理論小結 28 第三節 網路關係 29 壹，網路定義 29 貳，網路類型 31 參，網路利益 32 伍，網路關係小結 33 第四節 企業創新 35 壹，創新的定義與分類 35 貳，知識創造與企業創新的影響因素 38 參，企業創新小結 39 第參章 研究方法 40 第一節 研究架構 40 第二節 研究變項 43 壹，影響吸收能力的構面 43 貳，知識網路關係 45 參，影響吸收能力的其他因素 45 肆，吸收能力，知識網路與知識流通間的關聯 47 伍，吸收能力，知識網路與企業創新間的關聯 48 第四節 研究範圍 48 第五節 研究方法 51 第六節 研究限制 52 第肆章 個案分析 53 第一節 專業消費性IC設計業 53 ---凌陽科技 53 壹，IC設計產業簡介 53 貳，凌陽科技公司簡介 54 參，吸收能力之構面 58 肆，吸收能力與網路關係之交互關係 63 伍，吸收能力其他影響因數 69 伍，吸收能力，網路關係與知識流通的關係 77 陸，吸收能力，知識網路與企業創新之關聯 77 第貳節 IDM大廠---旺宏電子 85 壹， 旺宏公司簡介 85 貳，吸收能力之構面 86 參，吸收能力與網路關係間之間的交互關係 90 肆，吸收能力其他影響因素 94 伍，吸收能力，網路關係與知識流通之關係 99 陸，吸收能力，網路關係與企業創新之關係 100 第三節 專業記憶體IC設計---鈺創科技 105 壹，記憶體IC產業介紹 106 貳，鈺創科技簡介 107 參，吸收能力之構面 111 肆，吸收能力與網路關係間的交互關係 115 伍，吸收能力其他影響因素 119 陸，吸收能力，網路關係與知識流通間之關係 123 柒，吸收能力，網路關係與企業創新的影響 123 第四節橫跨3C的IC設計公司---瑞昱半導體 127 壹，IC設計產業簡介 128 貳，瑞昱半導體簡介 129 參，吸收能力之構面 134 肆，吸收能力與網路關係間之交互關係 137 伍，吸收能力其他影響因素 142 陸，吸收能力，網路關係與企業創新之關聯 148 第伍章 命題發展 153 第一節 吸收能力影響構面之探討 154 第二節 吸收能力與外部知識網路關係間之交互影響 170 第三節 吸收能力其他影響因素之探討 175 第四節 吸收能力，知識網路關係與知識流通的關聯 182 第五節 吸收能力，知識網路關係與企業創新之關聯 183 第陸章 結論與建議 188 第一節 研究結論 188 第二節 理論與實務含意 195 壹，對理論的貢獻 195 貳，對實務的貢獻 196 第三節，對後續研究的建議 197 第柒章 參考文獻 204 英文部分 204 中文部分 206

本研究針對台灣工具機產業廠商，探索其研發專案知識管理對新產品開發績效的影響，及其技術知識特質對知識管理的關聯性。本論文以深入個案訪談法為主要的研究方法，訪談國內具代表地位的二家工具機業大廠之設計及開發部門，並自其中各選擇二個研發專案作為研究對象。 　　本研究歸納分析所得到的研究發現如下： 　　【研究發現一】研發專案知識吸收來源愈多、範圍愈廣、組織學習活動愈多，其新產品開發績效愈高。 　　【研究發現二】研發專案知識創造技術突破愈多、創新價值愈高，其新產品開發績效愈高。 　　【研究發現三】研發專案知識蓄積文件化程度愈高、蓄積活動愈多、累積專案核心能耐愈多，其新產品開發績效愈高。 　　【研究發現四】研發專案知識擴散方式愈多、擴散活動愈多，其新產品開發績效愈高。 　　【研究發現五】技術知識變動程度對研發專案的知識管理有明顯的影響。 　　【研究發現六】技術知識外顯程度對研發專案的知識管理有明顯的影響。 　　【研究發現七】技術知識路徑相依度對研發專案知識管理的影響，似乎不是很明顯。 　　【研究發現八】技術知識模組化程度對研發專案知識管理的影響，似乎不是很明顯。 　　【研究發現九】技術知識複雜化程度對研發專案的知識管理有明顯的影響。 　　因此，本研究建議企業為了提升新產品開發的成效，的確需要強化知識管理，同時其研發部門應設計符合技術知識特質及利於推動知識管理的組織型態與作為。平時應作好內部技術傳承及外部技術來源佈置工作，並在新產品開發不同階段妥善配置適合的資源與人力。 / This research is focused on Taiwan's CNC machine industries for exploring the impacts of knowledge management on the performance of new product development. The influence of the characteristics of technological knowledge on knowledge management is also studied. The research was conducted mainly based on deep case studied. The research subjects include four R&D projects two which are selected from two companies of CNC machine industry. 　　The preliminary conclusions are as follows: 　　1. The more the R&D project knowledge is absorbed from different sources, wide ranges,and multiple organizational learning activities, the better the performance of new product development would be. 　　2. The more the R&D project knowledge creates the technological breakthrough and thenewly added value, the better the performance of new product development would be. 　　3. The more the R&D project knowledge is accumulated with the documentation, the amass of activities, and the core resourcefulness, the better the performance of new product development would be. 　　4. The more the R&D project knowledge is diffused in different patterns and activities, the better the performance of new product development would be. 　　5. There exists a direct relationship between the knowledge management of R&D project and the degree of change of technological knowledge. 　　6. There exists a direct relationship between the knowledge management of R&D project and the degree of explicitness of technological knowledge. 　　7. There doesn't exist a direct relationship between the knowledge management of R&D project and the degree of path dependence of technological knowledge path. 　　8. There doesn't exist a direct relationship between the knowledge management of R&D project and the degree of modualization of technological knowledge. 　　9. There exists a direct relationship between the knowledge management of R&D projects and the degree of complexity of technological knowledge. 　　As a result, it is suggested that the R & D departments of the companies possessed with different characteristics of technological knowledge should design the organizational form and activities that are conformed to the characteristics of technological knowledge for facilitating the practices of knowledge management. 　　The internal technology inheritance and the external technology resource deployment have to be executed ordinarily; and the appropriate resources as well as human powershall be properly allocated in accordance with the different steps of new product development with a view to intensifying the satisfactory result.

『智慧財產』是二十一世紀世界產業競爭的決勝關鍵。智慧財產的佈局、產出及保護固然非常重要，但是最終還是需要積極的運用，發揮智慧財產這種無形資產獨有之國際性、重複利用性及同時異地併行使用實施之特性，彰顯其最大化之價值。世界各國政府在積極建置各種政策手段提升智慧財產運用之同時，也考慮到自身國家安全及國內產業競爭力消長之影響，大多規範了一系列智慧財產輸出到國境之外的運用管制。智慧財產之積極運用與境外實施管制，是兩種截然不同，有時甚至是互相衝突之面向，需要有清晰的觀念，才能建置雙贏策略，讓國內產業在決勝關鍵所向無敵。 我國科技基本法自民國88年公佈實施以來已有十年。智慧財產的產出、保護及運用在這十年間突飛猛進。雖然如此，但是仍有許多配套措施及觀念尚未成熟的建立起來。對於彰顯及發揮智慧財產價值所面對之『境外實施管制機制』更是有相對檢視之急迫性。在『國際技術移轉制度理論與實務』（王偉霖、劉江彬 著，2010年9月初版）劉江彬教授序中，劉教授特別指出這一點，認為應該突破其限制。我國在智慧財產方面之創新管理成就，中國也在快速學習，急起直追，從中國十二五計畫之政策可以看出他們更在發揚創新商業化之投資，學習我們企業的經營哲學。台灣有相當多的創新能量，蘊含智慧財產運用之潛力，政府可以從更宏觀的角度思考，發揮台灣的『軟實力』，實現台灣的願景。 本研究針對經濟事務財團法人研究機構，於政府資助產出之專利權在中華民國管轄區域外使用實施所需要事前陳報政府主管機關核准之規定嘗試提出更有效率之管理機制。 本研究比較美國、日本、大陸及台灣之政府資助產出之成果下放、技術出口管制、技術與投資境外實施管制相關法規之規範與作法，並訪問各國極具智慧財產管理運用代表性之組織--Association of University Technology Manager (AUTM) 及Licensing Executive Society (LES) 總會之會長、美國Stanford University技轉辦公室主任、美國前University of Washington負責技術移轉之副校長、日本東京大學技轉辦公室主任、前新加坡大學之技轉辦公室主任、徐小波大律師、台灣積體電路股份有限公司負責技術移轉之法務處宿文堂處長、政治大學商學院智慧財產研究所王偉霖教授及我國技術服務業之宇東公司副執行長等在智慧財產授權領域之產官學研專家學者，彙整歸納他們之看法及筆者之意見。再綜整工業技術研究院過去十年來向經濟部提出境外實施申請之案件，以三案不同技術、授權模式及授權區域之案件為案例探討。對照經濟部投資業務處對於我國境外投資之管理規範及審核要項，對於經濟部技術處目前審核境外實施作業，分析實務操作面之問題所在，進而提出『分類分級管理』之構想。視專利權之技術內容及授權模式，將審查作業分為高度管理、低度管理及事後報備。希望未來境外實施之管制也能夠兼顧行政成本降低、多元化彈性模式及商機時效。 本研究分別對政府及申請人提出建議，並由微觀到鉅觀，對我國智慧財產落實運用之全面性結構問題提出後續可繼續研究之議題供參。 對於政府處理其出資產出之成果的境外實施管制，建議涉及國家安全之技術輸出可比照國際作法採取『高度管理』。對於不涉及國家安全之智慧財產境外實施可採『低度管理』。同時建立具體明確可預期之審理標準、流程及正面或負面表列之技術清單。專利之非專屬授權及已經經過政府相關單位審核者，建議可採『事後報備』簡化流程。進一步考量規劃逐步建立企業及研發機構境外實施『自主管理』機制。至於境外實施之對價應回歸『商業談判』之市場機制，政府不需過多干涉。最後建議加強政府承辦人員對於智慧財產管理運用理論及實務認識之訓練。 在目前政府『境外實施』機制尚未調整之前，本研究綜整過去工業技術研究院申請境外實施之經驗，對於申請人提出建議作法，希望有助於審查流程之加速。事前與政府機關承辦人多溝通有絕對必要，充分瞭解其關切之事項，並備妥相關之文件。要求境外實施之廠商直接向政府承辦機關關切不必然有助於加速審核流程，有時反而弄巧反拙，造成承辦人之困擾，相對的攪亂了審核的節奏。 『境外實施』僅為提升智慧財產運用的一個點，必須要達到數個點的突破，形成面的結構調整，後續仍然有相當多的議題需要繼續研究，提出解決方案。例如修改科技基本法以明確擴大適用之層面至政府相關研究機關及學校—如中央研究院、公立大學等。這些機關是政府單位智慧財產之重要生產者，與下放之執行機構一樣，需突破國有財產法及政府採購法以發揮智慧財產之價值，但是同時適用之政府機關應配套建立智慧財產管理及評鑑機制。本研究以經濟事務研究機構之境外實施為限，其他仍然有教育體系之學校及經濟事務以外之研究機構之境外實施制度值得一窺。 本研究參酌世界各國之作法，搭配本研究生多年在工研院之經驗，檢視目前我國之實務運作，以學術討論之立場，結合實務與理論，嘗試提出一些看法，希望能夠提供給政府宏觀的思考，構建更契合打造台灣為亞洲樞紐之願景的機制。但本研究之所有論述純屬本研究生之個人觀點，不代表工研院或其他任何機構與單位之立場。 / “Intellectual Property” is the key factor to winning the industrial competition among competitive countries in the twenty-first century. Although domestic products and well-protected intellectual property are both extremely important, intellectual property should ultimately be used actively in order to maximize its core value. While governments around the world enthusiastically harness a variety of policy instruments to actively promote the use of intellectual property, they also take into account the security and competitiveness of their nations’ own domestic industries, as well as the impact of growth and decline on their economy. With these concerns, most of the intellectual property outputs are regulated by a series of overseas licensing restrains. The active usage of intellectual property and the control over overseas licensing are issues that are usually mutually independent. However, they sometimes conflict with each other. Only a clear and thorough understanding of both topics can allow one to establish a well-rounded strategy that creates a win-win situation in reference to the relationship between overseas licensing and domestic products. The Fundamental Science and Technology Act of the Republic of China has been in effect for a decade since its original ratification. Even so, there are still a lot of support measures and concepts established by the Act that have yet to be fully developed. For example, the “Overseas Licensing” control mechanism within the Act is an important measure that has received minimal development, and is in urgent need of having its political limitations removed for it to become more effective. This study compares United States, Japan, China and Taiwan’s export controls and overseas licensing laws. By visiting leaders of those intellectual property management representative organizations - -Association of University Technology Manager (AUTM) and Licensing Executive Society (LES), Director of the United States Stanford University Technology Transfer Office, former Vice President responsible for technology transfer of University of Washington, Director of Technology Transfer Office of University of Tokyo, Ex-Director of the Office of Technology Transfer of University of Singapore, Professor Paul S. P. Hsu, Chairman & CEO of PHYCOS International Co., Ltd, Director of Legal Transactions of Taiwan Semiconductor Manufacturing Co., Ltd., National Chengchi University Institute of Intellectual Property Business School Professor Wang Weilin and Vice President of Tanspercific IP Ltd. , the study summarized views and opinions of these professionals . The author analyzed overseas licensing cases that Industrial Technology Research Institute (ITRI) applied over the last decade in their technology, business model, and licensing area. Using the analysis of the practical problems in the overseas licensing control regulations and rules under the Ministry of Economic Affairs, the author proposed a concept of “classification management” ideas. According to this concept, the technical content of patent rights and licensing models and their management will be reviewed in three different levels, including high degree management, low degree management and post-filing. In the future, the costs of administration, the diversity of business models, and the flexibility in time should be considered in all cases of overseas licensing. The overseas licensing control that is related to national security should take a “high degree of management”. The rest of which do not involve national security can be reviewed under a “low degree of management”. Non-exclusive patent license and the case which has already been reviewed by any government agencies under the overseas licensing control should be reviewed under “post-filing management” to simplify the process. Furthermore, government should consider the gradual establishment of self-management mechanism as an “Internal Control Program” in the industry and research institute. Without excessive government interference, the terms and considerations of an overseas licensing should return to” commercial market negotiations mechanism”. Government administrators who are involved in the intellectual property management affairs need to strengthen their knowledge, vision and experiences in the field of intellectual property by training courses. This study further points out several topics related to the need of follow-up studies which include extending the entity who can apply under the Fundamental Science and Technology Act to governmental natural research institutes and schools - such as Academia Sinica, public universities and so on in order to break through the National Property Act and the Government Procurement Law for getting more freedom and flexibility in Intellectual property management. Since this study focuses on Economic Affairs related overseas licensing control system, fields that are outside of this area such as educational system and other Minister which might have the same issue is worth a glimpse. This study is based on the experiences that author had when working in ITRI and the general practice in overseas licensing field, trying to raise view point from broader angle for government’s consideration. Every view point raised under this study is the observation of the author himself purely which does not represent or reflect ITRI’s thoughts whatsoever.

生物醫藥產業對人類健康福祉影響甚鉅，同時也屬於技術、資本密集、開發期長、風險偏高的產業，在新藥開發的歷程中，臨床試驗是開發中藥品自「試驗階段」邁向「市場階段」的絕對關鍵過程，其重要性不言而喻。對藥廠而言，臨床試驗若能有效率地被執行，一方面可縮短試驗時間減少花費；另一方面則是搶得先機佔據市場，及早實現獲利。因應臨床試驗重要且繁複需求的臨床試驗服務公司（Contract Research Organization, CRO）便應蘊而生。 CRO產業在美國的發展已逾40年，在奠基於過去的競爭基礎之外，其CRO產業已朝向「便利性」與「客製化」等利基市場佈局，以滿足新的顧客價值主張，並創新商業模式，追求新的成長機會。本研究在介紹美國CRO之產業市場營運模式之外，也以個案分析方式，自國內CRO公司與藥廠/生技公司的互動、合作，探討CRO的營運模式是否符合客戶需求，並嘗試以<白地策略>書中四個核心市場要素：顧客價值主張、利潤公式、關鍵流程與關鍵資源，思索CRO公司應如何經營市場白地。希望借鏡國外CRO公司的演進，反饋予國內CRO產業的未來發展及策略調整參考。 / Bio-pharmaceutical industry on human health well-being highly influential, but also a industry of technical, capital intensive, long development periods, and high risk. Among the course of drug development, clinical trials are absolute the key to the process, and advance the development process from the pilot phase to the market phase. For pharmaceutical companies, if the clinical trial can be executed efficiently, they can shorten the test time and spending; seize the market in advance, and reap profits as soon as possible. In response to the important and complex clinical trial requirements, the Contract Research Organization (CRO) prospers and takes advantage of a favorable situation. The evolvement of the CRO industry in US is more than 40 years. In the foundation base in the past, the CRO industry has been towards convenience and customization and other niche market distribution, to meet new customer value propositions, innovative business models and pursue new growth opportunities. In this thesis, the author not only introduces the CRO’s business models in US, but also explores the CRO’s business models in Taiwan by way of case studies. Through the interaction and cooperation between domestic pharmaceutical companies and CROs, the author wants to find out if the business models of CROs are in line with customer needs. The author also wants to quest if the CROs can learn how to manage and operate a white space which the CROs hope to seize by way of the book Seizing the White Space lists four fundamental building blocks including customer value proposition, profit formula, key resources, and key processes that make a company business model works. The domestic CROs can adjust their strategy and business model for fitting customer’s value proposition.

為了在競爭的環境中生存甚至是成長，企業可能會採取外包策略，請外部廠商負責處理非核心業務，而專注企業之有限資源於具有核心競爭力的活動。如何選擇外包廠商對於外包策略的執行成效有深切的影響，因為外包廠商會直接影響到企業價值鏈的最終產出結果。因此，本論文採取個案研究法對三家跨國公司進行深度訪談，以了解電子業之品牌廠商對於委外代工廠（製造服務供應商或研發製造服務供應商）的選擇程序與評估項目。 根據研究結果，本論文提出一套一般性的委外代工廠選擇程序。依照所考慮的委外代工廠種類之不同，該選擇程序建議五至六個階段（Market Research, General Survey, Specific Survey, Trial Run (optional), Verification Survey, and Decision Making），同時建議各階段應考慮的評估項目。本論文亦根據研究結果，對於欲建立委外代工廠選擇程序之品牌廠商以及委外代工廠提出相關建議。 / In order to survive and even to grow in the competitive environment, enterprises may adopt outsourcing strategy to focus on their core competency and to have external suppliers to handle the other activities. How to select a proper outsourcing supplier is very critical to the implementation of outsourcing strategy because outsourcing suppliers will affect the final outcome of the whole value chain very much. Therefore, this thesis studies in the electronic industry to understand the process and evaluation criteria of original equipment manufacturers (OEMs) to select contract manufacturers (which are electronic manufacturing services, EMS, providers or original design manufacturers, ODMs). Case study is applied as the research method and three multinational companies are in-depth interviewed for this study. Based on the research results, a general contract manufacturer selection process is proposed. This general process has five to six stages (Market Research, General Survey, Specific Survey, Trial Run (optional), Verification Survey, and Decision Making), depending on the kind of contract manufacturers under consideration. Corresponding evaluation criteria are also recommended for usage in each stage of the selection process. According to the research results, recommendations are made for OEMs which are planning to establish a contract manufacturer selection process and for contract manufacturers which are being surveyed.

生技產業為我國未來六大明星產業之一，除政府成立生技創投基金，民間企業也陸續加入這波生技投資行列，如永豐餘集團旗下的上智生技創投，與潤泰集團旗下的鑽石生技投資。以籌資來源而言，又分為借款融資關係(負債端)的外部資金，以及股東投資關係(權益端)的自有資金兩種，對於公司經營各有優缺點，亦應取得平衡。唯目前多數為權益端的資金投入，尤其以該產業中風險最高的新藥研發公司為例，仍普遍高達95%以上的股東權益比率。顯示其籌資來源有限，且難以吸引負債端的投資者參與。而這樣的資金來源比例，除不符合企業融資順位理論於公司成長階段的籌資策略與負債權益比率，權益端資金多以短期獲得高利潤為目的，以資金性質亦不適合占資產達95%以上之比例。 以目前負債端籌資管道，新藥研發公司多數利用台灣中小企業信用保證基金直保部或經濟部促進產業創新或研究發展貸款計畫專案申請，唯融資額度上限遠不足以支付藥物開發費用，且非一般負債端直接經由銀行評估取得融資之方式。綜觀國際業態，單一全新藥物開發至上市平均需約USD8億元(約NTD240億元)不等，而台灣公司的研發策略多數為分段發展或老藥新用(藥物重新定位)策略，但仍有高度資金需求。唯銀行、負債端投資者普遍缺乏投入該產業的意願，主要顧慮為具冗長的產品研發週期業態、高度不確定性的產品上市審查、長期臨床試驗伴隨的高額成本。此外，對於資金專注研發之新藥研發公司，亦面臨擔保品不足之問題。而實務上，負債端資金提供者如銀行，對於複雜的生技領域與新藥研發公司業態不甚了解，為降低融資意願的另一主因。 故本研究旨在建立一套適用於新藥研發公司之一般性價值評估方式，解決此雙方認知差異問題，以增加更多元的籌資管道。其中，本文參考其他國家評估方法，選擇其中針對技術型公司、發展久遠的韓國技術信用保證基金KOTEC評估模式，導入台灣微脂體、基亞生物科技、賽德醫藥科技3間新藥研發公司個案作一評估。並於最後研究結論，經由分析比較個案公司間歷年經營狀況，得出公司整體與個別質、量性指標項目量化的相對分數，以台灣微脂體分數157分最高，基亞生技次之。本研究亦參考個案評估狀況，得出該類公司較佳的一般性經營策略結論，發現公司創立早期可先以開發週期短、風險較低的老藥新用開發以代替副業產生短期營收的效用，同時累積本業開發經驗，待時機成熟再轉入全新藥物開發為一攻守兼具的經營模式，以供新藥研發公司參考。此外，本研究屬於探索性研究，僅於評估新藥研發公司分數階段，尚未轉換為公司融資評等。該部分尚待具一定案源量後，以統計模型將評估分數與還款違約率關聯性做一分析，方能計算融資評等。而建立內部評等模型、資訊系統對台灣銀行規模而言，為一額外高昂成本，亦建議可效法韓國由政府主導為可行方式之一。 / The biotechnology industry is one of the six future stars of the industries in Taiwan. The government established Biotechnology Venture Capital (BVC), and the more and more private companies joined the procession of biotech investments, such as the two famous biotech funds, Taiwan Global BioFund (TGB) and Diamond BioFund Inc.. According to sources of funding, we can divided them into two groups: one is the loan of external funds (liability side), and the other is the shareholder investment of internal funds (equity side), both of them have different advantages and disadvantages for the company, and the company should strike a balance between these advantages and disadvantages. However, the majority of the funds are invested from the equity side, especially the new drug development companies, which are the highest risk types in the industry, and most of their equity ratio is higher than 95 %. This information indicates the limited sources of funding, and the difficulty to attract liability side’s investors to participate. That proportion of funding sources doesn’t comply with the company’s financing strategy and debt to equity ratio in the growth stage of the enterprise life cycle in the pecking order theory, and equity side’s funds are not suitable for accounting for more than 95% of assets in balance sheet because most of them want to get high profits in the short-term. Currently, major new drug development companies usually apply for loans from the Direct Guarantee Dept. of the Small & Medium Enterprise Credit Guarantee Fund of Taiwan (Taiwan SMEG) or the Promote Industrial Innovation or R&D Loan Program of Industrial Development Bureau in Taiwan, but the amount of loan is insufficient to cover the costs for the new drug development, and this method is not a general way to obtain liability side’s financing from the bank’s direct evaluation. In the international situation, the progress from development to sale of a single new drug spends about US $800 million (about NT $24 billion) on average. Despite Taiwan's R&D strategies only cover the sectional development progress or the policy of the new usage of old drugs (drug repositioning), there is still a high degree of capital requirement. However, in the present, banks and other liability side’s investors still lack the will to invest in the new drug development companies. These investors concern about several major problems, including the lengthy product development cycle, high uncertainty of the product examination and approval, the high cost of long-term clinical trials in this industry. In addition, these companies are also faced with the problem of lacking collateral, because they invest much money in new drug R&D. On the other hand, liability side’s investors, such as banks, don’t understand the complex field of new drug development companies' business models, and this situation becomes another reason for reducing the financing will. Therefore, we should establish a general evaluation method applicable to new drug development companies, to solve the problem of cognitive differences between liability side’s investors and the borrowers, and expand the funding sources of these companies. This article refers to the actual evaluation method in other countries, chooses the most suitable and well developed evaluation model --- Korea Technology Finance Corporation (KOTEC)’s evaluation method for the technology-based company, and utilizes the method to evaluate three cases of the new drug development companies in Taiwan, including Taiwan Liposome Co., Medigen Biotechnology Crop., and CytoPharm, Inc.. In conclusion of the study, by analyzing and comparing the three companies’ operating situations in recent years, we can get relative quantified scores from the companies’ overall and individual qualitative, quantitative indicators, and the result is that Taiwan Liposome Co. gets the highest score, 157 points, then Medigen Biotechnology Crop. gets the middle one. This study also refers the case situations, to find a better general business strategy for such companies. We find that new drug development company in the early stage can focus on new usage development of old drugs ,which has advantages of short development cycle and lower risk, to replace the sideline that generates short-term revenue, and accumulate the experience of drug development. When the time is ripe, it can transfer to new drug development. This way is the general suggestion of both offensive and defensive business model for new drug development companies. In addition, this study is an exploratory research, which only focuses on the evaluation stage, and has not converted the result into a corporate financing credit rating. To calculate financing credit ratings, we require a lot of historical cases data to establish a statistical analysis model, and link evaluation scores with repayment default rates. The establishment of an internal rating model or information system incurs high additional costs for the size of the banks in Taiwan, so the recommended one of the possible ways is that we can follow the example led by the South Korea Government.