政府研發補助政策績效評估之實證研究

The Effects of Government-Sponsored R&D Programmes on Recipient Firms- A empirical study

薛招治(Chao-Chih Hsueh)

指導教授 ： 洪德俊

國立中央大學/管理學院/企業管理學系/博士(2008年)

摘要

各國政府均認為政府研發補助經費將導致補助公司提高競爭效益，並且公司效益將擴散至產業，最後導致產業競爭力的提高，各國政府提出不同的研發補助政策以提高國家的競爭力，但也同時面臨政策績效評估的壓力。傳統上各種評估方法提出不同的指標以衡量政府研發補助政策的績效，然而這些評估報告，並未有效地說明所衡量的績效是歸屬於單一政府研發補助專案所誘發出來的績效，或是公司長期努力所產生的效益。因此在面臨這樣的背景下，附加性(Additionality)的概念被用於解決這樣的困境。因此本文回顧國內外相關學術論文、美國政府先進技術計劃(ATP)自1993年至2007年所產出的86篇政策績效評估研究，及OECD委託12個國家於2004-2005年，提出一個以附加性為主軸的評估指標系統。
本研究以台灣1997年至2005年共127個業界開發產業技術計畫為驗證樣本，探討政府研發補助政策對受補助公司所產生的投入(Input)、行為(Behaviour)及產出(Output)附加性的類型以及驗證受補助公司在不同的產業環境及計畫特性下是否有不同的績效表現。本研究提出了三項研究發現：首先，因素分析結果顯示受補助公司的行為附加性可區分為計畫擴大性行為(Project Enlargement Behaviour)、策略建構性行為(Strategy Formulation Behaviour)及成本效益性行為(Cost-Effectiveness Behaviour)，且公司在不同產業及計畫創新類型，執行政府研發補助計畫所產生的行為改變不一樣；第二，透過集群分析，本研究發現政府研發補助政策績效表現的各種型態，包含理想型(Ideal)、順從型(Compliant)及邊緣型(Marginal)，位於理想型的受補助公司，其投入、行為及產出的績效附加性均最高，這類型的績效型態為政府計畫管理者及公司管理者所偏好；最後，本研究亦發現政府針對補助政策所制定的績效評估指標會影響受補助公司績效的表現。

關鍵字

政府研發補助計畫 ； 附加性 ； 績效評估

並列摘要

The government rationalizes that government-sponsored R&D (GSP) support will result in competitive benefits for the firm, which will spill over into the economy and ultimately increase industry competitiveness. Therefore, traditional evaluation methods for governmental R&D subsidies use appropriate economic indicators to assess performance. However, traditional studies of the impact of public R&D grants on recipient firms have often failed to distinguish between a single sponsored project and the longer-term business innovation effort of which it is part. It is also difficult to define which effects to measure, and to attribute these to a specific government intervention. The concept of additionality – measuring the difference in firm innovation activities resulting from a government intervention – was developed to overcome such difficulties. By reviewing the evidence of academic evaluation studies, 86 ATP evaluation reports from 1993 to 2007 in US and a series of national studies carried out in 2004 and 2005 under the auspices of the OECD’s Working Party on Innovation and Technology Policy (ITP), we addressed a government-sponsored R&D evaluation model based on the additionality.
Based on 127 government-sponsored R&D programmes over 9 years in Taiwan, input additionality, behavioural additionality, and output additionality were examined. The empirical investigation demonstrates that behavioural additionality of recipient firms could be classified into project enlargement, strategy formulation, cost-effectiveness, and commercialization behaviour. Firms in different industry sectors and innovation categories emphasize different additionality respectively. Through cluster analysis three kinds of performance patterns in recipient firms are concluded: ideal, compliant and marginal. The firms with an ideal pattern have high additionality on input, behavioural and output and dimensions what government officers and firm managers greatly care about. The performance patterns are also different in different industry sectors. Besides, the results also showed that the government must carefully develop evaluation criteria for sponsored programmes in order to direct the behaviour of recipient firms.

並列關鍵字

Government-sponsored R&D programme ； Additionality ； Evaluation

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