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研究生: 曾俊洲
Chun-Chou Tseng
論文名稱: 國家、企業與個人層級之創新成果探討
Exploring Innovation Outcomes on a Nation, Firm and Individual Level
指導教授: 廖文志
Wen-Chih Liao
口試委員: 周賢榮
Shyan-Rong Chou
戴維舵
Wei-Tao Tai
張順教
Shun-Chiao Chang
嚴建和
Ching-Ho Yen
學位類別: 博士
Doctor
系所名稱: 管理學院 - 企業管理系
Department of Business Administration
論文出版年: 2014
畢業學年度: 102
語文別: 英文
論文頁數: 117
中文關鍵詞: 專利奈米創新生命週期績效認證原住民手工藝品
外文關鍵詞: patent, nanotechnology, innovation, life cycle, performance, certification, indigenous, handicrafts
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  • 在知識經濟的時代中,創新已經成為驅動國家發展、企業成長及個人創業的重要推動力量,因此創新活動已經成為國家、企業及個人用來適應動態環境中最主要的方法之一,故本文進一步從國家、企業及個人三個層級來探討創新績效的表現,首先在國家層級方面,由於涵蓋範疇廣泛,且台灣主要係以高科技的研發活動最為積極,因此本研究以具代表性之科技產業為對象,進行研究分析。由於奈米科技已經快速的成長與擴張,因此進一步了解奈米科技在各國創新能力與績效表現的差異是重要的問題,可作為國家層次的創新成果表現之參考。而本研究透過美國全國經濟研究所(National Bureau of Economic Research;NBER)網站中公布之美國專利與貿易局(USPTO)專利資料,包括1976至2002年間之前十大國,在將專利引用數當作是奈米科技發展與創新關係的指標後,比較前十大國之奈米科技創新能力與績效關係,有助於更能瞭解透過競爭者與商業利益間流動所形成之各國奈米科技國家競爭力表現。本研究發現在不同的指標下,一些國家明顯有較佳的創新力。透過多元尺寸(MDS)的統計方法,以及以知覺圖(perceptual maps)表示整體的競爭力表現,同時並以專利引證網路證明這十個領導國家的交互作用增強效果與相關性。
    如台灣與韓國之往後被引證的時間落差(Backward citation lag)雖然在最近的年度中比例最高,不過主要係因奈米技術的快速發展過程所致,而在調整後的賀芬達指數(annual bias-adjusted Herfindahl index)方面,台灣、南韓及澳洲在奈米技術方面具有相對的集中化表現,反應出台灣奈米技術發展,係屬於專業發展而非多角化,此外,1976至2002年台灣合計專利數雖然僅排名第九名,不過卻呈現逐年成長態勢,2002年已提升至第五名,顯示台灣積極投入奈米相關專利之開發。
    其次,在企業層級方面,本研究係針對台灣所有上市、上櫃及興櫃之企業為研究對象,研究這些企業的組織創新整合能力與組織發展策略對組織績效的影響,並採用具有調節效果的階層回歸分析組織創新策略與績效的關係,而這些分析資料主要為結合這些廠商在美國專利商標局(USPTO)申請通過之1999年至2008年的發行型專利資料、台灣經濟新報(TEJ)整理之公司財務報告資料庫及本研究於2009年進行之組織創新調查的回卷資料等。而本研究透過三種不同的方式取得資料來源為了避免因共同方法偏誤的產生。研究結果發現,包括創新資產、創新能力及外部資源整合能力等創新特性能正向影響組織營收績效,且企業的創新資產與創新能力亦同時對毛利與Tobin’s Q具有不同的影響力。此外,在不同的創新生命週期階段,企業創新特性對組織績效形成不同的改變,當企業的產品與製程創新趨向於成熟階段,創新資產與創新能力對組織績效的影響會比初期導入的新興階段弱。
    最後,在個人層級方面,本研究透過問卷調查的方式去分析在通過台灣原住民手工藝品認證制度後,是否將促進銷售者購買產品的消費意願,研究結果顯示在品牌效果與品質管理效果均能促使消費者願意花費更多的經費去購買已經經過認證的原住民手工藝品,主要係因個人創新產品的確認將有助於降低消費者的交易成本以及提升對產品的信任度,此亦反應台灣原住民文化產業的認證制度的實施將提升消費者對原住民手工藝品的認知,同時由於認證制度創造的價格效益也有助於手工藝品創作者及任何技術關聯者的參與。此外,結果亦顯示認證制度的實施對於提升社會安全,保護文化遺產及促進國家發展亦有益。
    整體而言,台灣積極發展專利的趨勢促使企業專利數長期累積的組織創新資產對於企業的營運績效有正面的影響,特別是在產品與製程趨向屬於創新生命週期的新興期企業相對高於成熟期的企業,另外,企業可藉由向外取得技術,以提高組織績效,而個人創新成果亦可藉由政府政策的機制,來提高個人的創新成果,故均顯示尋求外部資源的協助有助於提升創新效益。


    Innovation has been a force of development for a nation, firm and individual in the new knowledge-based economy and thus is the primary method for adapting to a dynamic environment. In this study, we focused on the display of innovation performance from a nation, a firm and an individual level. On a nation level, research and development (R&D) activity is multifaceted and R & D in high technology is most active in Taiwan. The innovation outcome of nanotechnology was the focus of study 1. Nanotechnology has seen rapid growth and expansion in recent years. One interesting question to ask is whether or not there is a different development in innovative ability and performance among countries and as to a reference of innovation outcomes of a nation level. This study presents results on the international analysis of nanotechnology patents using U.S. Patent and Trademark office (USPTO) data derived from NBER (National Bureau of Economic Research, USA) website searched by keywords of the entire text between 1976 and 2002 for the ten leading countries. After characterizing the citation linkage as indicator relationships between nanotechnology development and innovation, we aim to compare the innovative ability and performance of the ten leading countries in nanotechnology and contribute to a better understanding of competitive advantage of nations in nanotechnology, to better understand the moves of their competitors and potential commercial benefits.
    For example, Taiwan and South Korea had a higher percentage of backward citation lags in recent years because of the rapid progress in nanotechnology. In the annual bias-adjusted Herfindahl index, Taiwan, South Korea and Australia had been relatively concentrated in certain areas in nanotechnology development. This implies that nanotechnology development in Taiwan is specialized rather than diversified. In addition, Taiwan was ranked ninth in average of patent numbers from 1976 to 2002 and the trend is increasing. Taiwan was ranked fifth in 2002, evidence of the level of activity in Taiwan of nanotechnology publishing patents.
    Second, on a firm level, this study focuses on the strategies used by publicly listed firms in Taiwan to generate the capability of integrating organizational innovation and investigates the impacts of these strategies on organizational performance. A hierarchical regression analysis is used to look at the relationships between organizational innovation strategies and performance. The dataset comes from several sources, including USPTO, firms’ public financial reports from the Taiwan Economic Journal (TEJ) database, and returned questionnaires from an organizational innovation survey in 2009. Three different data sources are analyzed to secure the validity of the survey data and to avoid common method bias. This study finds that a firm’s innovation characteristics, including innovation assets, innovation capabilities, and innovation strategies to integrate external resources, positively affect organizational sale performance. A firm’s innovation assets and innovation capabilities have different impacts on gross profit and Tobin’s Q. In addition, the relationship between a firm’s innovation characteristics and performance changes during different innovation life cycle stages. In particular, when a firm is in the mature stage of product and process innovation, the influences of innovation assets or innovation capabilities on organizational performance are weaker than the impacts during a firm’s emerging stage.
    Third, on an individual level, this study aimed to test the hypothesis that adoption of a handicraft quality certification system will promote consumers’ willingness to purchase indigenous handicrafts in Taiwan by survey. The results show that both a brand effect and quality management effect can promote consumers to spend more money buying accredited indigenous handicrafts. Because the certification of an individual innovative product can reduce customer transaction costs and increase consumers’ trust. This suggests that the implementation of the “Certification System for Taiwan Indigenous Cultural Industry” in Taiwan will help increase consumers’ recognition of Taiwan indigenous handicrafts. The results also imply that the effect of a difference in the price of handicrafts will benefit craftmakers and any technology associated with the certification system. In addition, implementing such a system will contribute to enhanced social security, protection of cultural heritage and promotion of national development.
    Overall, patent numbers are rapidly growing in Taiwan which can promote the positive development of organizational performance affected by organizational innovation assets. This is especially true for firms in the emerging stage of product and process innovation life cycle, where the impacts are stronger than the impacts for firms in a more mature stage. In addition, firms can improve organizational performance from external technology acquisition, and individual innovations can also enhance the benefits from external resources using government policies.

    中文摘要 I Abstract III 誌謝 V Figures List VII Tables List VIII CHAPTER 1 INTRODUCTION 1 1.1 Background and motive 1 1.2 Research objectives 9 1.3 Research procedure 10 1.4 Research Framework 13 CHAPTER TWO NATION LEVEL (STUDY 1) 15 2.1 Theoretical perspectives 15 2.2 Preliminary data description 16 2.3 Comparison of nanotechnology innovation for the ten leading countries 19 2.4 Multidimensional scaling analysis 34 CHAPTER THREE FIRM LEVEL (STUDY 2) 40 3.1 Background and hypotheses 40 3.2 Methods 46 3.3 Results 55 3.4 Discussions 63 CHAPTER FOUR INDIVIDUAL LEVEL (STUDY 3) 66 4.1 Background and hypotheses 66 4.2 Research methods 69 4.3 Result 74 CHAPTER FIVE GENERAL DISCUSSIONS 76 5.1 Conclusions and implications 76 5.2 Limitations and Directions for future research 83 References 85 Appendix (A) Questionnaire of innovation survey of study 2 99 Appendix (B) Questionnaire of indigenous handicrafts of study 3 104

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