臺灣博碩士論文加值系統

專利是公司的創新構思和技術能力獲得法律保護的一種重要無形資產，同時也是衡量科技創新能力的重要指標。不過專利的品質與價值需待獲證後才能被市場檢驗，對於專利權人而言如何確保其專利之品質能帶來價值便是一場賭注，直接間接導致企業研發創新績效受到影響。
本研究分為兩階段進行，第一階段旨在先導性專利撰寫品質特徵的探索與驗證。以2001-2004年美國獲證專利資訊做為樣本，總整文獻並與工研院專家討論後選定專利指標，運用統計方法進行分析推導出專利撰寫品質指標檢驗模型。第二階段為將第一階段所建構之指標模型實際設定為資料包絡模型的產出項，投入項則為公開財務資料中的研發要素，旨在進行專利品質產出之績效研究。期能觀察現實產業中研發專利品質之效率，供未來研究能夠執行個案實證與深入探詢的建議。
研究發現權利項數、申請國別數與引證前案數搭配獨立項數作為輔助可做為專利撰寫品質指標，並驗證具備可供產業實際使用的代表性。又透過DEA與Malmquist檢驗顯示台灣近年來在機械與資訊電子兩項主力產業中的研發專利品質效率低落，生產力亦同，表示兩項產業皆無法有效掌控撰寫專利品質的效率。而本研究所提出之檢驗模型能作為企業在專利申請前期即可檢核專利品質的方法，將有助於企業提早確保專利品質。確保專利品質不僅能減少未來維護專利的不確定性因素，可以降低申請及維護成本之外，更能在往後若不幸要進行專利訴訟時能確保企業所申請的專利確實具有一定的品質，是能夠接受挑戰，更甚進行反訴。綜合以上，藉由專利撰寫品質指標確保專利品質，由優秀的專利品質為企業帶來專利價值，確實為企業可採納的管理方式。

The patent, an important intangible asset, demonstrates the innovative ideas and abilities to obtain legal protections. At the same time, it is also an important indicator to measure the abilities of technological innovation. However, the quality and value of patents need to be approved for market certification. For patent holders, it is a kind of gambling to guarantee that the quality of patents could bring values, which affects indirectly the performance of research and development of companies. This research is devided into two phases, the first phase focuses on constructing a pioneering patent drafting quality model which contains a set of indicators and criteria, and the second phase uses data envelopment analysis (DEA) and Malmquist index to examine the R&;D performance of Taiwan’s mechanical and electronic industries. Research finding shows that that we could use three major indicators and another one for aid, and also set the criteria, they are: claims, citing prior patents, applying country, and independent claims for aid, also these criteria may be applied in the actual situation through the examination. Then through the DEA and Malmquist index shows that the two main industries in Taiwan, mechanical and electronic, performed low efficiency and low productivity in recent years, means these two industries are unable to control the patent drafting quality efficiently. Outstanding patent quality shall brings patent value, expecting the patent drafting quality model we proposed could help institutions and enterprises to promote their patent quality, in order to make insure paten management.

第一章 緒論 1
第一節 研究背景 1
第二節 研究動機 3
第三節 研究目的 5
第四節 研究流程 6
第二章 文獻探討 7
第一節 研究發展 7
第二節 研究發展效率 13
第三節 專利特性 17
第四節 專利資訊 23
第五節 文獻探討總結 33
第三章 研究設計與實施 34
第一節 分析方法 34
第二節 研究架構 39
第三節 變數定義 41
第四章 分析結果與討論 43
第一節 專利品質指標建構 43
第二節 資料包絡分析 57
第三節 Malmquist生產力指數 63
第五章 結論與建議 70
第一節 研究發現 70
第二節 總結與管理意涵 73
第三節 研究限制與後續研究建議 74
參考文獻 75
附錄：樣本企業2009-2012各年度績效內容 81

Spencer, M. H. (1986). 當代經濟學. 台北: 正中書局.
朱浩筠. (2009). 公眾審查制度與專利品質之關聯性研究. (碩士), 國立政治大學, 台北.
行政院國家科學委員會. (1990). 中華民國七十七年全國科技動態調查 中華民國科學技術統計要覽. 台北.
吳彥濬;, &; 李璧如. (2005). 智慧型運輸系統之專利分析：以臺灣與中國大陸為例. 運輸計劃季刊, 34(4), 575-607.
周延鵬. (2010). 智慧財產全球獲利聖經. 台北: 天下雜誌股份有限公司.
林宏文. (2012). 台灣品牌落敗的四個啟示. 今周刊, 816.
林俊劭. (2013, 2013-11-18). 施振榮原本連新任CEO都要拔掉. 商業週刊, 1357.
胡釗維, &; 曠文琪. (2009, 2009-01-14). 施崇棠：華碩要拚到底！. 商業周刊, 1104.
徐欣, &; 唐清泉. (2010). R&;D活动、创新专利对企业价值的影响—来自中国上市公司的研究. 研究与发展管理, 22(4).
袁建中, &; 陳坤成. (2008). 科技管理：以科技服務透視技術移轉與智慧財產權. 台北: 華泰發行.
陳文吟. (2010). 由美國立法暨實務經驗探討專利品質對提昇產業科技之重要性. 臺北大學法學論叢, 74, 147-196.
陳玉萍. (2004). 專利權運用情境對專利價值因子之影響-以專利權融資、入股及訴訟情境為例. (碩士學位論文), 國立政治大學, 台北.
陳宥杉, &; 張克群. (2006). 以專利分析與鑽石模型分析台灣電動機車產業發展現況. 經濟情勢暨評論季刊, 12(3), 91-115.
陳達仁. (2010). 專利檢索與專利分析. 台北: 經濟部智慧財產局.
陳達仁, &; 黃慕萱. (2002). 專利資訊與專利檢索. 台北: 文華圖書館管理資訊公司.
曾陳明汝, &; 蔡明誠. (2009). 兩岸暨歐美專利法. 台北: 新學林出版股份有限公司.
經濟部技術處. (2007). 2015台灣產業發展願景與策略.
廖和信. (2003). 專利，就是科技競爭力. 台北: 天下遠見出版股份有限公司.
劉錦龍. (1983). 國內企業與學術研究機構合作模式之研究. 台北: 崇德工業發展基金會.
歐進士. (1998). 我國企業研究發展與經營績效關聯之實證研究. 中山管理評論, 6(2), 357-385.
謝依靜, 丘宏昌, &; 陳香君. (2009). 華碩電腦股份有限公司—Eee PC: 台灣管理個案中心.
謝明華. (1996). 專利地圖及其策略性應用研究. 科學發展月刊, 24(11), 923-931.
闕河士, 菅瑞昌, &; 黃旭輝. (2000). 研究發展密集度與專利對股票績效影響--以臺灣上市公司為例. 產業管理學報, 1(2), 257-268.
Aboody, D., &; Lev, B. (2000). Information Asymmetry, R&;D, and Insider Gains. The Journal of Finance, 55(6), 2747-2766. doi: 10.1111/0022-1082.00305
Acs, Z. J., Anselin, L., &; Varga, A. (2002). Patents and innovation counts as measures of regional production of new knowledge. Research Policy, 31(7), 1069-1085.
Allison, J. R., Lemley, M., Moore, K. A., &; Trunkey, D. (2004). Valuable Patents. Georgetown Law Journal, 92, 435.
Allison, J. R., &; mann, R. J. (2007). The Disputed Quality of Software Patents. Washington University Law Review, 85(2), 297-342.
Amit, R., &; Schoemaker, P. J. H. (1993). Strategic assets and organizational rent. Strategic Management Journal, 14(1), 33-46. doi: 10.1002/smj.4250140105
Arundel, A., &; Kabla, I. (1998). What percentage of innovations are patented? empirical estimates for European firms. Research Policy, 27(2), 127-141.
Barney, J. (1991). Firm Resources and Sustained Competitive Advantage. Journal of Management, 1(17), 99-120.
Barney, J. A. (2001). Comparative Patent Quality Analysis NACV White Paper.
Black, A., Wright, P. D., &; Davies, J. (2001). In Search of Shareholder Value: Managing the Drivers of Performance. London: Financial Times Prentice Hall.
Bloom, N., &; Reenen, J. V. (2002). Patents, Real Options and Firm Performance. The Economic Journal, 112(478), C97-C116. doi: 10.2307/798362
Booth, R. (1998). The measurement of intellectual capital. Management Accounting, 76(10), 26-28.
Chan, L. K. C., Lakonishok, J., &; Sougiannis, T. (2001). The Stock Market Valuation of Research and Development Expenditures. The Journal of Finance, 56(6), 2431-2456. doi: 10.1111/0022-1082.00411
Chan, S. H., Martin, J. D., &; Kensinger, J. W. (1990). Corporate research and development expenditures and share value. Journal of Financial Economics, 26(2), 255-276.
Cuddington, J. T., &; Moss, D. L. (2001). Technological Change, Depletion, and the U.S. Petroleum Industry. The American Economic Review, 91(4), 1135-1148. doi: 10.2307/2677833
Daft, R. L. (2012). Organization Theory and Design (11 ed.): Cengage Learning.
Danthine, J.-P. (2007). Intangible Capital, Corporate Valuation and Asset Pricing. Economic Theory, 32(1), 157-177.
Deng, Z., Lev, B., &; Narin, F. (2003). Science and technology as predictors of stock performance. Financial Analysts Journal, 55(3), 20-32.
Dosi, G. (1988). Sources, Procedures, and Microeconomic Effects of Innovation. Journal of Economic Literature, 26(3), 1120-1171. doi: 10.2307/2726526
Eberhart, A., Maxwell, W., &; Siddique, A. (2008). A Reexamination of the Tradeoff between the Future Benefit and Riskiness of R&;D Increases. Journal of Accounting Research, 46(1), 27-52. doi: 10.1111/j.1475-679X.2007.00264.x
Ernst, H. (1998). Industrial research as a source of important patents. Research Policy, 27(1), 1-15.
Ernst, H. (2003). Patent information for strategic technology management. World Patent Information, 25(3), 233-242.
Evenson, R. E. (1993). Patents, R&;D, and Invention Potential: International Evidence. The American Economic Review, 83(2), 463-468. doi: 10.2307/2117709
Fare, R., Shawna, G., Mary, N., &; Zhongyang, Z. (1994). Productivity Growth, Technical Progress, and Efficiency Change in Industrialized Countries. American Economic Review, 84(1), 66-83.
Gary, L. L., &; Eunsang, Y. (1989). Determinants of New Industrial Product Performance: A Strategic Reexamination of the Empirical Literature. IEEE Transactions on Engineering Management, 36(1), 3-10.
Gayle, P. G. (2001). Market concentration and innovation : new empirical evidence on the Schumpeterian hypothesis Discussion papers in economics / Center for Economic Analysis, Department of Economics, University of Colorado at Boulder ; 01,14 ([Elektronische Ressource] ed.). Boulder.
Grant, R. M. (1991). The Resource-based Theory of Competitive Advantage: Implications for Strategy Formulation. California Management Review, 33(3), 114-135.
Griliches, Z. (1981). Market value, R&;D, and patents. Economics Letters, 7(2), 183-187.
Griliches, Z. (1990). Patent statistics as economic indicators : a survey. Journal of Economic Literature, 28(4), 1661-1707.
Grindley, P. C. (1997). Managing Intellectual Capital: Licensing and Cross-Licensing in Semiconductors and Electronics. California Management Review, 39(2), 8-41.
Hall, B. H. (1993). The stock market&;#39;s valuation of R&;D investment during the 1980&;#39;s. American Economic Review, 83(2), 259-264.
Hall, B. H., Griliches, Z., &; Hausman, J. A. (1986). Patents and R and D: Is There a Lag? International Economic Review, 27(2), 265-283.
Hall, L. A., &; Bagchi-Sen, S. (2002). A study of R&;D, innovation, and business performance in the Canadian biotechnology industry. Technovation, 22(4), 231-244.
Hamel, G., &; Prahalad, C. K. (1994). Competing for the Future: Harvard Business School Press.
Hausman, J. A., Hall, B. H., &; Griliches, Z. (1984). Econometric models for count data with an application to the patents-R&;D relationship. Econometrica, 52(4), 909-938.
Kelm, K. M., Narayanan, V. K., &; Pinches, G. E. (1995). Shareholder Value Creation during R&;D Innovation and Commercialization Stages. The Academy of Management Journal, 38(3), 770-786. doi: 10.2307/256745
Kondo, M. (1999). R&;D dynamics of creating patents in the Japanese industry. Research Policy, 28(6), 587-600.
Kortum, S. (1993). Equilibrium R&;D and the Patent--R&;D Ratio: U.S. Evidence. The American Economic Review, 83(2), 450-457. doi: 10.2307/2117707
Lee, S., Yoon, B., Lee, C., &; Park, J. (2009). Business planning based on technological capabilities: Patent analysis for technology-driven roadmapping. Technological Forecasting and Social Change, 76(6), 769-786.
Levin, R. C. (1987). Appropriating the returns from industrial research and development. Brookings Papers on Economic Activity, 18(3), 783-832.
Malackowski, J. E., &; Barney, J. A. (2008). What Is Patent Quality? A Merchant Banc&;#39;s Perspective. les Nouvelles, 2008(June), 123-134.
Mank, D. A., &; Nystrom, H. E. (2001). DECREASING RETURNS TO SHAREHOLDERS FROM R&;D SPENDING IN THE COMPUTER INDUSTRY. Engineering Management Journal, 13(3), 3.
Merrill, S., Levin, R., &; Myers, M. (2004). A Patent System for the 21st Century. Washington, DC: The National Academies Press.
Mireles, M. S. (2004). An Examination of Patent, Licensing, Research Tools, and Tragedy of the Anticommons in Biotechnology Innovation. University of Michigan Journal of Law Reform, 38.
Morton, I. K., &; Schwartz, N. L. (1975). Market Structure and Innovation: A Survey. Journal of Economic Literature, 13(1), 1-37. doi: 10.2307/2722211
Myers, S. C. (1977). Determinants of corporate borrowing. Journal of Financial Economics, 5(2), 147-175.
Narin, F. (1994). Patent bibliometrics. Scientometrics, 30(1), 147-155. doi: 10.1007/BF02017219
Narin, F. (1995). Patents As Indicators for The Evaluation of Industrial Research Output. Scientometrics, 34(3), 489-496.
Narin, F., Hamilton, K. S., &; Olivastro, D. (1997). The increasing linkage between U.S. technology and public science. Research Policy, 26(3), 317-330.
Narin, F., &; Olivastro, D. (1998). Linkage between patents and papers: An interim EPO/US comparison. Scientometrics, 41(1-2), 51-59. doi: 10.1007/BF02457966
Norman, M., &; Stoker, B. (1991). Data Envelopment Analysis: The Assessment of Performance. New York, USA: Wiley.
Oldach, S., &; Stabinsky, N. (2013). Why Use Patent Analytics? Retrieved Nov, 4, 2013, from http://www.iptoday.com/articles/2008-5-stabinsky.asp
Pavitt, K. (1988). Uses and Abuses of Patent Statistics, in Handbook of Quantitative Studies of Science and Technology. Amsterdam.
Peter, F. D. (1993). Post-capitalist society: HarperBusiness.
Phillips, K. L., &; Wrase, J. (2006). Is Schumpeterian ‘creative destruction’ a plausible source of endogenous real business cycle shocks? Journal of Economic Dynamics and Control, 30(11), 1885-1913.
Reitzig, M. (2004). Improving patent valuations for management purposes—validating new indicators by analyzing application rationales. Research Policy, 33(6–7), 939-957.
Rivette, K. G., &; Kline, D. (2000). Rembrandts in the Attic: Unlocking the Hidden Value of Patents: Harvard Business School Press.
Roslender, R. (2000). Accounting for intellectual capital: a contemporary management accounting perspective. Management Accounting, 78(3), 34-37.
Rouse, W. B., &; Boff, K. R. (1998). R&;D/technology management: a framework for putting technology to work. IEEE Transactions on Systems, Man, and Cybernetics, 28(4), 501-515. doi: 10.1109/5326.725337
Scherer, F. M. (1965). Firm Size, Market Structure, Opportunity, and the Output of Patented Inventions. The American Economic Review, 55(5), 1097-1125. doi: 10.2307/1809230
Schumpeter, J. A. (1934). The Theory of Economic Development Cambridge, MA: Harvard University Press.
Schumpeter, J. A. (1950). Capitalism, Socialism, and Democracy (3rd ed.). New York: Harper Perennial Modern Classics.
Sher, P. J., &; Yang, P. Y. (2005). The effects of innovative capabilities and R&;D clustering on firm performance: the evidence of Taiwan&;#39;s semiconductor industry. Technovation, 25(1), 33-43.
Sougiannis, T. (1994). The Accounting Based Valuation of Corporate R&;D. The Accounting Review, 69(1), 44-68. doi: 10.2307/248260
Suzanne, S. (1991). Standing on the Shoulders of Giants: Cumulative Research and the Patent Law. The Journal of Economic Prespectives, 5(1), 29-41.
Wagner, R. P. (2009). Understanding Patent-Quality Mechanisms. University of Pennsylvania Law Review, 157(6), 2135-2173. doi: 10.2307/40380287
Wernerfelt, B. (1984). A resource-based view of the firm. Strategic Management Journal, 5(2), 171-180.