研發成果商業化政策研究：順服因素之個案分析

The Implementation of the Research Commercialization Policy in Taiwan: A Case Study

10.30409/JPA.201709_(53).0003

王怡瀠(Yi-Ying Wang)；黃婉玲(Wan-Ling Huang)

研發成果商業化政策 ； 科學技術基本法 ； 政策利害關係人 ； 政策順服 ； 個案研究 ； research commercialization policy ； Science and Technology Basic Law ； policy stakeholders ； policy compliance ； case study

公共行政學報

53期（2017 / 09 / 01）

79 - 119

繁體中文

政府於1999年通過施行《科學技術基本法》，其中第6條揭示由政府補助之研究計畫，其所獲之研發成果智慧財產權，下放至研究計畫執行單位所有，並負推廣運用之責，此即「研發成果商業化政策」。過去關於此項政策的探討，多著重於量化成果的分析，較少從質化的角度切入，深入了解相關人員在執行或適用此項政策時，所面臨的問題與阻礙。有鑒於此，本文以國立臺灣大學與私立淡江大學為研究對象，透過對其校內技術移轉單位人員與教授進行深度訪談的方式，分析兩校政策利害關係人對研發成果商業化政策的順服程度，並進一步了解影響其政策順服的因素。研究結果顯示，國立臺灣大學雖在資源與研發成果運用表現上大幅領先淡江大學，但淡江大學校內利害關係人的政策順服程度卻相對高於國立臺灣大學。此外，影響校內政策利害關係人順服程度之因素，除了文獻上所列之行為動機、資源規模與個人認知等因素外，與其他政策利害關係人之互動亦扮演關鍵的角色。透過訪談資料的整理，作者發現在研發成果商業化政策執行過程中，仍面臨資源不足、研究計畫主管機關的介入以及產學落差等問題。本研究進一步針對上述問題提出政策建議，期能作為未來相關政策修正之參考，以使大學校院研發成果管理制度更臻完善。

The Taiwanese government adopted the Science and Technology Basic Law (STBL) in 1999. Article. 6 of the STBL allows universities to own the intellectual property rights of the research funded by the government, and to assume the responsibility of promoting the use of university research. This action is called the ＂Research Commercialization Policy (RCP).＂ Prior research mainly focused on quantitative analyses, while few studies employ a qualitative approach to determining the problems facing policy stakeholders when implementing the RCP. Our study aims at making this determination. National Taiwan University (NTU) and Tamkang University (TKU) were selected for our case study. By interviewing the staff of the technology transfer offices (TTOs) and the faculty members of the two universities, we determined the degree of stakeholders' compliance with the RCP in these universities and identified the factors that explain the differences in policy compliance among the stakeholders. Our findings show that NTU has more resources and better quantitative performance than TKU has, while the stakeholders of TKU present a higher degree of policy compliance. In addition, we show that the interaction among policy stakeholders is an important determinant apart from the behavioral motivation, resources and individual cognition that have been discussed in the literature. We conclude that the major problems that universities face when implementing the RCP include lack of resources, interference by government agencies and the gap between university and industry. The findings of our study have policy implications for university managers and decision makers.

1. 吳宗憲(2009)。非營利組織辦理兩岸文教交流活動時的策略性順服行為。國家發展研究，9(1)，37-83。
   連結：
2. 淡江大學研究發展處（n.d.）。淡江大學研究發展成果歸屬及運用辦法，2014 年9月17 日，取自：http://www.research.tku.edu.tw/zh_tw/intro/intro_7
3. 國立臺灣大學（n.d.）。國立臺灣大學「邁向頂尖大學計畫」自評簡報，2014 年12月17 日，取自：http://top100.ntu.edu.tw/documents/97MOE.pdf
4. 國立臺灣大學研究發展處（n.d.）。國立臺灣大學研究發展成果及技術移轉管理要點，2014 年10 月11 日，取自：http://ord.ntu.edu.tw/tc/Legislation.aspx
5. 淡江大學研究發展處（n.d.）。淡江大學研究成果查詢系統，2014 年9 月17 日，取自：http://www.research.tku.edu.tw/query-statistics-tech.asp
6. Merton, R. (1942). The normative structure of science. In R. Merton (Ed.), The Sociology of Science: Theoretical and empirical investigations (pp. 267-278). Chicago, IL: The University of Chicago Press.
7. 行政院國家發展委員會（n.d.）。政府資料開放平臺，2014 年12 月27 日，取自：http://data.gov.tw/node/6028
8. Association of University Technology Managers (1998). Technology transfer. Retrieved February 24, 2014, from http://www.gtp.autm.net/
9. Bulgurcu, B.,Cavusoglu, H.,Benbasat, I.(2010).Information security policy compliance: An empirical study of rationality-based beliefs and information security awareness.MIS quarterly,34(3),523-548.
10. Bulut, H.,Moschini, G.(2009).US universities' net returns from patenting and licensing: A quantile regression analysis.Economics of Innovation and New Technology,18(2),123-137.
11. Cartaxo, R. M.,Godinho, M. M.(2017).How institutional nature and available resources determine the performance of technology transfer offices.Industry and Innovation,24(7),713-734.
12. Chang, Y. C.,Chen, M. H.,Hua, M.,Yang, P. Y.(2005).Industrializing academic knowledge in Taiwan.Research Technology Management,48(4),45-50.
13. Chang, Y. C.,Chen, M. H.,Hua, M.,Yang, P. Y.(2006).Managing academic innovation in Taiwan: Towards a 'scientific-economic' framework.Technological Forecasting and Social Change,73(2),199-213.
14. Chang, Y. C.,Chen, M. N.(2011).On transformation of public sector research: A preliminary post-STBL assessment in Taiwan.Technological Forecasting and Social Change,78(3),498-513.
15. Colyvas, J. A.(2007).From divergent meanings and common practices: The early institutionalization of technology transfer in the life sciences at Stanford University.Research Policy,36(4),456-476.
16. Connell, H. (Ed.)(2004).University Research Management: Meeting the Institutional Challenge.Paris:OECD Publishing.
17. Coombs, F. S.(1980).The bases of noncompliance with a policy.Policy Studies Journal,8(6),885-892.
18. Crossler, R. E.,Long, J. H.,Loraas, T. M.,Trinkle, B. S.(2017).The impact of moral intensity and ethical tone consistency on policy compliance.Journal of Information Systems,31(2),49-64.
19. Etzkowitz, H.(2018).The triple helix: University-industry-government innovation in action.New York, NY:Routledge.
20. Fritsch, M.(2000).Interregional differences in R&D activities-an empirical investigation.European Planning Studies,8(4),409-427.
21. Goel, R. K,,Göktepe-Hultén, D.(2017).What drives academic patentees to bypass TTOs? Evidence from a large public research organisation.The Journal of Technology Transfer
22. Hameri, A. P.(1996).Technology transfer between basic research and industry.Technovation,16(2),51-57.
23. Hartner, M.,Rechberger, S.,Kirchler, E.,Schabmann, A.(2008).Procedural fairness and tax compliance.Economic Analysis and Policy,38(1),137-152.
24. Hayter, C. S.,Feeney, M. K.(2016).Determinants of external patenting behavior among university scientists.Science and Public Policy,44(1),111-120.
25. Huang, W. L.,Feeney, M. K.,Welch, E. W.(2011).Organizational and individual determinants of patent production of academic scientists and engineers in the United States.Science and Public Policy,38(6),463-479.
26. Jackson, J.,Bradford, B.,Hough, M.,Myhill, A.,Quinton, P.,Tyler, T. R.(2012).Why do people comply with the law? Legitimacy and the influence of legal institutions.The British Journal of Criminology,52(6),1051-1071.
27. Jensen, R. A.,Thursby, J. G.,Thursby, M. C.(2003).Disclosure and licensing of University inventions: 'The best we can do with the s**t we get to work with'.International Journal of Industrial Organization,21(9),1271-1300.
28. Khadhraoui, M.,Plaisent, M.,Lakhal, L.,Prosper, B.(2016).Factors inhibiting university-industry technology transfer.Journal of Information Technology and Economic Development,7(2),1-11.
29. Krislov, S.,Boyum, K. O.,Clark, J. N.,Schaefer, R. C.,White, S. O.(1972).Compliance and the law: A multidisciplinary approach.Criminology,10(2),243.
30. Lach, S.,Schankerman, M.(2008).Incentives and invention in universities.The RAND Journal of Economics,39(2),403-433.
31. Lee, Y. S.(1996).'Technology transfer' and research university: A search for boundaries of university-industry collaboration.Research Policy,25(6),843-863.
32. Lichtenthaler, U.,Lichtenthaler, E.(2009).A capabilitybased framework for open innovation: Complementing absorptive capacity.Journal of Management Studies,46(8),1315-1338.
33. Link, A. N.,Siegel, D. S.(2005).Generating science-based growth: An econometric analysis of the impact of organizational incentives on university-industry technology transfer.The European Journal of Finance,11(3),169-181.
34. March, J. G.(1994).A Primer on Decision Making: How Decisions Happen.New York, NY:The Free Press.
35. Markman, G. D.,Gianiodis, P. T.,Phan, P. H.(2008).Full-time faculty or part-time entrepreneurs.IEEE Transactions on Engineering Management,55(1),29-36.
36. Mazzoleni, R.,Nelson, R. R.(1998).The benefits and costs of strong patent protection: A contribution to the current debate.Research Policy,27(3),273-284.
37. Meier, K. J.,Morgan, D. R.(1982).Citizen compliance with public policy: The National Maximum Speed Law.The Western Political Quarterly,35(2),258-273.
38. Milward, H. B.,Denhardt, K. G.,Rucker, R. E.,Thomas, T. L.(1983).Implementing affirmative action and organizational compliance: The case of universities.Administration and Society,15(3),363-384.
39. Murphy, K.(2005).Regulating more effectively: The relationship between procedural justice, legitimacy, and tax noncompliance.Journal of Law and Society,32(4),562-589.
40. Muscio, A.,Quaglione, D.,Ramaciotti, L.(2016).The effects of university rules on spinoff creation: The case of academia in Italy.Research Policy,45(7),1386-1369.
41. Neubauer, D. E.,Kastner, L. D.(1969).The study of compliance maintenance as a strategy for comparative research.World Politics,21(4),629-640.
42. Pang, L. C.,Garvin, J.(2001).Technology transfer in Northern Ireland: The development of university policy.Irish Journal of Management,22(1),193-212.
43. Renault, C. S.(2006).Academic capitalism and university incentives for faculty entrepreneurship.The Journal of Technology Transfer,31(2),227-239.
44. Rogers, E. M.,Yin, J.,Hoffmann, J.(2000).Assessing the effectiveness of technology transfer offices at US research universities.The Journal of the Association of University Technology Managers,12(1),47-80.
45. Siegel, D. S.,Waldman, D. A.,Atwater, L. E.,Link, A. N.(2004).Toward A model of the effective transfer of scientific knowledge from academicians to practitioners: Qualitative evidence from the commercialization of university technologies.Journal of Engineering and Technology Management,21(1-2),115-142.
46. Siegel, D. S.,Waldman, D.,Link, A.(2003).Assessing the impact of organizational practices on the relative productivity of university technology transfer offices: An exploratory study.Research Policy,32(1),27-48.
47. Stokes, D. E.(1997).Pasteur's quadrant: Basic science and technological innovation.Washington, DC:Brookings Institution Press.
48. Stover, R. V.,Brown, D. W.(1975).Understanding compliance and non-compliance with law: The contributions of utility theory.Social Science Quarterly,56(3),363-375.
49. Sutinen, J. G.,Kuperan, K.(1999).A socio-economic theory of regulatory compliance.International Journal of Social Economics,26(1/2/3),174-193.
50. Thursby, J. G.,Jensen, R.,Thursby, M. C.(2001).Objectives, characteristics and outcomes of university licensing: A survey of major U.S. universities.Journal of Technology Transfer,26(1-2),59-72.
51. Thursby, M.,Thursby, J.,Gupta-Mukherjee, S.(2007).Are there real effects of licensing on academic research? A life cycle view.Journal of Economic Behavior & Organization,63(4),577-598.
52. Tyler, T. R.(1990).Why People Obey the Law.New Haven, CT:Yale University Press.
53. Weaver, R. K.(2014).Compliance regimes and barriers to behavioral change.Governance,27(2),243-265.
54. Weckowska, D. M.(2015).Learning in university technology transfer offices: Transactions-focused and relations-focused approaches to commercialization of academic research.Technovation,41-42,62-74.
55. Wu, Y.,Welch, E.,Huang, W. L.(2015).Commercialization of university inventions: Individual and institutional factors affecting licensing of university patents.Technovation,36-37,12-25.
56. Yapp, C.,Fairman, R.(2006).Factors affecting food safety compliance within small and medium-sized enterprises: Implications for regulatory and enforcement strategies.Food Control,17(1),42-51.
57. 王偉霖(2007)。我國學術機構技術移轉機制實施成效與法律制度之檢討。科技法學評論，4(2)，59-96。
58. 吳定(2013)。公共政策辭典。臺北:五南。
59. 李雅萍、李素華、孫文玲、張聖怡、朱世霓、楊婉苓、田俊賢(2001)。全方位技術移轉。臺北:書泉。
60. 林水波、施能傑、葉匡時(1993)。強化政策執行能力之理論建構。臺北:行政院國家科學委員會。
61. 耿筠、張彥輝、陳宥杉、翁順裕(2009)。我國高等教育機構技術移轉業務之調查研究。商管科技季刊，10(4)，625-646。
62. 劉耀中、耿筠(2012)。技專校院產學合作資源投入、產出與運用模式之建構。教育政策論壇，15(1)，25-57。
63. 蔡孟潔、蔡達智(2007)。大學技轉及育成中心的迷失與困境。政大智慧財產評論，5(2)，81-98。
64. 羅思嘉(2007)。2004年—2006 年臺灣地區大專院校專利計量分析。評鑑雙月刊，8，24-28。

1. 黃茂俊(2023)。全球治理視角下的我國非洲豬瘟防疫政策執行之探討：桃園市個案研究。中華行政學報，32，7-23。