創新研發是建構國家競爭優勢和知識經濟的主要驅動力，而中小企業對於技
術發展和經濟環境所產生的應變與彈性對國家整體競爭力與技術創新扮演著關
鍵角色。因此，如何提供適當的激勵與誘因措施，促進中小企業之創新行為、強
化中小企業之創新能力，以帶動經濟更進一步成長，已成為各國科技暨創新政策
中極為重視的一環。有鑑於此，我國經濟部於1999年開始執行「小型企業創新研
發計畫」（Small Business Innovation Research，簡稱SBIR計畫）。截至2009年止，
我國中小企業共提出5,877件研究計畫申請補助，經技術初審與指導委員會確認
審後，已通過3,352件創新研究計畫，通過比例約為56.98%。政府補助金額累計
達新台幣67.9億元，並帶動中小企業再投入研究經費達116.67億元，且透過這些
創新研究，中小企業將有益於提高技術水準、產業競爭力及傳統產業的升級與轉
型。
本研究重點為：
1. 將利害關係人的概念納入分析架構：本研究藉由對相關利害關係人（參與
計畫廠商、未通過計畫廠商、未申請廠商、民間顧問業者、審查委員、政府
官員）的訪談與觀察，以有效瞭解不同利害關係人對於計畫的投入與相關限
制，使得政策效益可以正確被評量，不被低估。
2. 擴大投入產出分析架構：結合過往科專計畫的評估模型(RICE, IROT,
GIPTOE 等)將政策的目的和長期的計畫擴散效果加入投入產出的模型。透
過對廠商的訪談與文獻資料建構一結合目的與不同利害關係人投入的長期
投入產出模型。
3. 整合模式建立：建構一結合廠商創新行為、政策資源配置和專案績效評估
的整合模型。透過訪談與問卷因素分析建構出廠商參與計畫的影響因素。並
經由動機因素的加入建構出廠商創新行為模型。並結合政府的政策影響所產
生的資源配置，進一步結合專案績效分析，建構一包含動機目的、利害關係
人投入、創新行為、計畫成果和長期計畫效益的整合評估模型。
4. 調查與大規模深入訪談相關政策利害關係人以瞭解SBIR 計畫的執行與建
議。也根據研究結果，提出政策建議，包括目前廠商執行的成效、創新能力、
創新障礙、未來計畫方向、計畫審查制度的優缺點等，俾利作為政府目前執
行及未來政策規劃之參考。

Government support for applied Research and Development (R&D) persisted in
the US despite evidence to the contrary. Many provide government R&D funding for
enterprises of particular interest and a number of countries have substantially
increased their expenditure on R&D. SBIR as a means of funding high-risk R&D
with broad commercial and societal benefits that would not be undertaken by a single
company, either because the risk was too high or because a large enough share of the
benefits of success would not accrue to the company for it to make the investment.
Therefore, the program’s goal is to the development and application of new, enabling
technologies that individual firms would not or pursue on their own and thereby
encourage the economic growth that comes from the commercialization and use of
new technologies in the private sector. However, very few studies of R&D policy
toward innovative subsidy program in developing country. Public programs to
subsidize high-technology firms have represented a significant but little-studied area
of public expenditures. This article assesses the long-run success of firms
participating in the SBIR program in Taiwan. The plan of this research is as follows.
The purpose of this search in Taiwan is to study the impact of
government-industry R&D programs on private R&D. The research has 3 important
aspects. First, using a questionnaire to understand the enterprises intention and
behavior which have participated in the “Small Business Innovation Research
(SBIR)” this paper first examines whether government R&D subsidies influence
firm’s innovative activities. Second, this paper examines what the correlation is
between government funding and private R&D expenditures. Finally, this research
conducted 67 important interviews from enterprises. Not only the multi-methodology
comparisons, the empirical results aimed at:
1) Examine the role of public/private partnerships (PP/Ps) as an instrument to
leverage public investment in strategy technology and innovation and to achieve
other goals of technology and innovation policy;
2) Identify the critical factors determining the success of R&D subsidy program for
innovation, with an emphasis on programme design, financial arrangement, and
evaluation
3) Government R&D subsidies have a significant positive effect or not on firm’s R&D
expenditure / employment / firm-financed R&D spending.

目錄
第一章 緒論................................................................................................................. 3
第二章 文獻回顧......................................................................................................... 9
第一節 政府協助企業研發之政策合理性與政策措施..................................... 9
第二節 廠商參與科技專案之動機................................................................... 14
第三節 研發補助政策的效益........................................................................... 17
第四節 科技專案的衡量方法與指標............................................................... 22
第三章 台灣的SBIR 計畫與其他各國科專計畫.................................................... 34
第一節 台灣的小型企業創新研發計畫SBIR................................................. 34
第二節 美國SBIR 計畫.................................................................................... 46
第三節 其他類似SBIR 之計畫........................................................................ 50
第四章 研究方法....................................................................................................... 52
第一節 研究方法設計....................................................................................... 53
第二節 研究對象與資料蒐集方式................................................................... 58
第三節 研究歷程............................................................................................... 64
第五章 資料分析....................................................................................................... 66
第一節 廠商參與計畫的動機........................................................................... 66
第二節 廠商與評審委員的互動與審議........................................................... 72
第三節 SBIR 計畫的產出與成效..................................................................... 77
第四節 廠商執行研發專案所遭遇之困境分析............................................... 91
第四節 廠商計畫執行成功的案例分析........................................................... 93
第五節 未存續廠商分析（調查時間：2008 年11 月） ................................ 97
第六節 對計畫未來建議及發展....................................................................... 99
第六章 討論............................................................................................................. 102
第一節 研究架構發展..................................................................................... 102
第二節 績效評估方法的限制......................................................................... 109
第七章 結論與建議..................................................................................................111
第一節 結論......................................................................................................111
第二節 整體政策建議......................................................................................112
第三節 後續研究..............................................................................................113
參考文獻....................................................................................................................114
圖目錄
圖1-1 科專計畫分類內容......................................................................................... 4
圖2-1 研發計畫中社會與私人報酬率的落差........................................................11
圖2-2 專案管理的控制循環................................................................................... 23
圖2-3 IRCE 模式.................................................................................................... 24
圖2-4 IRON 模式.................................................................................................... 24
圖2-5 IROT 模式................................................................................................... 25
圖2-6 IPRCE 模式.................................................................................................. 27
圖2-7 GIPOTE 模式.............................................................................................. 28
圖2-8 政策評估：廠商創新行為與績效整合模型............................................... 30
圖3-1 SBIR 計畫補助項目..................................................................................... 35
圖3-2 申請審查作業流程....................................................................................... 37
圖3-3 各年度各領域收件情況（累計至2009 年11 月15 日）......................... 44
圖3-5 各年度、各領域申請件數之趨勢(累計至2009 年11 月15 日) .............. 45
圖3-6 各年度、各領域平均核定補助款之趨勢 (累計至2009 年11 月15 日) 45
圖4-1 研究歷程....................................................................................................... 65
圖5-1 影響廠商計畫成功因素圖........................................................................... 96
圖6-1 利害關係人架構圖..................................................................................... 102
圖6-2 投入產出關連圖......................................................................................... 104
圖6-3 臺北縣政府地方產業創新研發推動計畫(地方型SBIR)簽約說明會投影片
105
圖6-3 科專計畫評估架構圖................................................................................. 107
圖6-4 參與科專計畫廠商創新行為與績效整合模型......................................... 108
圖6-5 評估科技政策的偏誤來源......................................................................... 109
圖6-6 SBIR 推動體系............................................................................................110
表目錄
表1-1 SBIR 計畫歷年補助狀況............................................................................... 6
表2-1 政府介入產業科技發展之工具比較........................................................... 13
表2-2 形成研發夥伴動機的理論立據................................................................... 15
表2-3 投入、行為及產出附加性........................................................................... 19
表2-4 SBIR 計畫之長期影響................................................................................. 21
表2-5 IRCE 各階段及評估指標........................................................................... 23
表2-6 IRON 各階段及評估指標............................................................................ 25
表2-7 IROT 各階段及評估指標............................................................................ 26
表2-8 IPRCE 各階段及評估指標.......................................................................... 26
表2-8 GIPOTE 各階段及評估指標...................................................................... 27
表2-9 經濟部科技研發專案績效評估模式........................................................... 28
表2-9 經濟部科技研發專案績效評估模式........................................................... 29
表2-10 研發專案績效評估方法............................................................................... 30
表2-11 三種分析方法比較....................................................................................... 31
表2-12 政府資助科技研發的經濟效果控制變數................................................... 33
表3-1 SBIR 計畫期程及補助款編列原則............................................................. 36
表3-2 SBIR 計畫審查重點..................................................................................... 38
表3-3 SBIR 計畫1999~2002 年度核定件數暨經費一覽表................................ 40
表3-4 SBIR 計畫2003~2004 年度核定件數暨經費一覽表................................ 41
表3-5 SBIR 計畫2005~2009 年度核定件數暨經費一覽表................................ 42
表3-6 SBIR 計畫1999~2009 年度核定件數暨經費一覽表................................ 43
表3-7 美國SBIR 執行機構一覽表....................................................................... 47
表3-8 美國SBIR 計畫執行概況............................................................................ 48
表3-9 我國與美國實施SBIR 計畫之差異............................................................ 50
表3-10 與SBIR 計畫功能相似之其他科技計畫.................................................... 51
表4-1 質性與量化研究之評估指標....................................................................... 54
表4-2 質性和量化研究的研究歷程比較............................................................... 54
表4-3 主要的混合方法設計類型........................................................................... 56
表4-4 研究設計議題與方法................................................................................... 57
表4-5 參與訪談對象與訪談重點........................................................................... 61
表4-6 歷年廠商訪談領域....................................................................................... 62
表5-1 2005 年調查廠商之參與動機...................................................................... 67
表5-2 2005 年調查廠商之參與動機因素分析...................................................... 67
表5-3 2008 年調查廠商之參與動機...................................................................... 68
表5-4 2008 年調查廠商之參與動機因素分析...................................................... 68
表5-5 2005 年受訪廠商對審查委員所具備能力之重要性與滿意度.................. 72
表5-6 2005 年廠商對於評審委員開放業界人士參與的可行性.......................... 73
表5-7 2008 年廠商對SBIR 計畫審查機制滿意度............................................... 73
表5-8 2008 年廠商對SBIR 計畫審查機制應改進事項....................................... 73
表5-9 SBIR 計畫廠商實收資本額分布表............................................................. 81
表5-10 SBIR 計畫廠商營業額分布表................................................................... 81
表5-11 SBIR 計畫廠商研發經費分布表............................................................... 82
表5-12 SBIR 計畫廠商研發經費統計檢定........................................................... 82
表5-13 計畫廠商員工人數分布表......................................................................... 82
表5-14 計畫廠商員工人數統計檢定..................................................................... 83
表5-15 計畫廠商研發人數分布表......................................................................... 83
表5-16 計畫廠商研發人數統計檢定..................................................................... 83
表5-17 計畫廠商碩博士級研發人數分布表......................................................... 84
表5-18 計畫廠商碩博士級研發人數統計檢定..................................................... 84
表5-19 補助款對研發人數的效果......................................................................... 85
表5-20 補助款對研發經費的效果......................................................................... 86
表5-21 廠商回覆計畫類別分析表(樣本).............................................................. 87
表5-22 計畫廠商各地區技術領域分布表............................................................. 88
表5-23 計畫廠商各領域營業年數分布表............................................................. 89
表5-24 計畫廠商2007 年度股權狀況分析表....................................................... 89
表5-25 SBIR 計畫主要績效整理........................................................................... 90
表5-26 成功案例廠商名單及其選取原因............................................................. 94
表5-27 成功案例廠商基本資料............................................................................. 95
表5-28 廠商之成功因素分析................................................................................. 95
表5-29 未存續廠商結案計畫件數分析表............................................................. 97
表5-30 未存續廠商佔調查母體廠商年度分析表................................................. 97
表5-31 未存續廠商比例佔調查母體廠商年度分析表......................................... 98
表5-32 失去聯絡廠商領域分佈比例分析表......................................................... 98
表6-1 計畫審查意見........................................................................................... 106

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