進入知識經濟時代，專利對企業重要性與日俱增，所以要如何將企業或個人的技術變成有價值的專利，這就必須要靠技術加值的配合才能完成。成功案例譬如已轉型為提供技術與服務的電腦大廠IBM，以及擁有大量專利技術的鴻海科技。本研究想瞭解這些企業技術加值的成功經驗是否適用於其他新創公司與研究機構。 本研究針對一個只擁有少量專利的新創公司，以及一個已有豐富專利授權合作的成熟機構，藉由以往企業技術加值專利管理的成功經驗與相關文獻探討原理，透過分析個案背景，研究該個案所面臨的環境，找尋該個案是否在專利管理上還有能改進的地方，並依照專利管理模式提出專利管理的建議。本研究之目的在於以我們所提出的分析和專利管理的建議，提供在台灣的中小企業，或是已有授權經驗的成熟機構在實行專利管理規劃時作為參考，並著手進行適合自己的專利管理規劃。 本研究發現專利管理的策略是與企業成長週期有關，在不同的成長時期應有不同的專利管理策略。但無論何時都需實行專利管理規劃，讓專利管理可以促進技術加值活動，帶給企業更多利潤。而我們可從專利分析知道專利趨勢、競爭對手與潛在被授權人的專利策略，也可以得到研發上的啟發，用以進行專利佈局與專利組合策略。再由市場結構與關係網絡，檢視其潛在市場與關係人結構是否能支撐其專利行銷策略與專利授權。 / Entering the era of knowledge economy, patents have become more and more important to the enterprises. But to make patents valuable, it has to rely on the effort of patent management to turn individuals’ or companies’ techniques into valuable properties. One successful example of patent management is former PC industry emperor --- IBM, where it has became a very profitable technology and service provider now. Another outstanding example is HonHai Technology Group, which already possessed a huge amount of patents. This thesis is meant to find out if these successful experiences in patent management can be applied into other start-up companies and research organizations. In this thesis, we took a start-up company which only has few patents, and a mature organization that already had plentiful patent licensing experience. From the past success in patent management and related principles, we sorted out the theories and discussed them. Through case analysis, we realized what circumstance the case company has encountered, and then we discussed the possible strategies to improve its patent management. At last, we proposed the suggestions of patent management for the case based on patent management model. The purpose of this thesis is to provide the analysis and suggestion about patent management for Taiwan companies to develop the proper strategy of their own. We propose that the strategy of patent management is related to business growth pattern. We should use different patent management method in different growth period. However, it is necessary to plot the plan of patent management anytime, that can accelerate the prosperity of patent management, and it will also bring fortune to the enterprises. By patent analysis, we can realize the trend of technology, the patent management strategy of the competitors and possible assignees. Companies may also get inspired by patent management for their technology research, and then apply the innovations into its strategy of patent development. From the analysis of market structure and relationship network, companies can further verify if the potential market and network is sufficient to support their patent marketing and patent licensing.

隨著科技及市場的演化，在現代經濟交易中，知識成為重要資產，就如同過去天然資源對於低技術、重勞動力市場一般重要。新知識、新技術催生了許多新產業，由其是那些與電腦、半導體、生化科技有關的範疇。 近十幾年來，資訊科技產業成為台灣經濟的重心，也造就了相當數量的科技新貴。究其原因，多數研究皆指出：優秀的技術勞動力、彈性的製造優勢、敏銳的市場回應、高效率的中衛體系、競爭性合作網路等是該產業擅其勝場之主因。但國內該產業也有為數不少的廠商，在市場競爭中遭到淘汰。究其原因，研發創新的加速使個別產品壽命縮短，致使廠商研發回收不易。同質性產品競爭激烈等市場因素皆是。也有某些研究報導指出：遭到外國專利侵害控訴、鉅額專利權利金追索，美國國內法反仿冒、反傾銷制裁等等措施，迫使廠商不堪負荷而退出。或因繳交過高的權利金，而喪失市場競爭力。據此，得以窺見：在現階段，作為產業重要「智識財產」之一的專利權，尚未成為我國資訊科技產業的競爭優勢，反倒成為被抨擊的弱點所在。是以，從長期的觀點來看，企業提昇專利權管理成為策略考量層次，對資訊科技產業維持競爭、生存優勢來看，有其必要。 以往企業總以為取得專利的目的，僅在保護自己公司的產品、技術和研發成果。但是，今日我們應建立一個新的觀念：從策略觀點，意即資源運用觀點；管理(有效利用)專利權以取得持續性的競爭優勢。也就是靈活運用專利權，以做為企業間技術競爭以及企業戰略的武器。這當然包括了增加企業收益的企圖。另一方面，處在技術競爭的戰場上，任何一家企業都無法遠離「專利權」的雷區與火力。消極地，避開競爭對手的專利佈局與攻擊，不得已時也得將被專利攻擊的損失減至最小；積極地，運用本身技術資源，蓄積專利量、提昇專利質、組構專利網以作為攻擊或赫阻競爭對手的武器，或作為交互授權、專利聯盟(Patent pooling/ consortion)的籌碼。 程序上，本研究採兩階段資料整合分析。第一階段，先蒐集該產業涵蓋上、中、下游之16家代表性廠商，自成立以來至1998年底為止的專利核准件數與內容；佐以我國智慧財產權局的總體統計、各上市公司年報，作初步比較分析。檢視其： 一、 專利數量與質量(基本專利或衛星專利)的比重。 二、 個別廠家在發明、新型、新式樣三類專利比重。 三、 專利內容與廠家核心事業的關連性。 四、 專利數量累積與營業成長的關係。 五、 綜合以上，窺探各別廠家的策略意圖。 第二階段，取四家代表性廠家做個案深入訪談以解釋命題，求證假設。 最後由研究歸納、抽象出：激勵策略、防禦策略、前瞻策略、攻擊策略等四種概念化之專利管理策略的假設模型，並嘗試做出策略建議。 第一章 緒論………………………………………………………4 第一節 研究背景………………………………………………….4 第二節 研究動機………………………………………………….6 第三節 研究問題………………………………………………….7 第四節 研究目的………………………………………………….8 第五節 研究程序………………………………………………….8 第六節 撰寫大綱………………………………………………….8 第二章 文獻探討…………………………………………………9 第一節 專利與專利制度…………………………………………9 第二節 專利法與專利權…………………………………………9 第三節 專利權之取得、運用與維護……………………………12 第四節 專利管理…………………………………………………15 第五節 專利管理策略……………………………………………24 第三章 研究方法…………………………………………………27 第一節 研究架構…………………………………………………28 第二節 研究限制…………………………………………………28 第三節 研究變項…………………………………………………29 第四節 名詞定義…………………………………………………29 第四章 個案分析…………………………………………………30 第一節 統計資料解析……………………………………………30 第二節 宏□電腦公司……………………………………………38 第三節 鴻海精密工業公司………………………………………57 第四節 世界先進積體電路公司…………………………………71 第五節 研華股份有限公司………………………………………81 第五章 結論與建議………………………………………………90 第一節 研究發現…………………………………………………90 第二節 結論………………………………………………………95 第三節 後續研究建議……………………………………………97 參考文獻 一、 中文部份……………………………………………………98 二、 外文部份……………………………………………………99 附錄 一、 宏□、鴻海、世界先進、研華訪談紀要…………………100 二、 宏□、鴻海、世界先進、研華國內智慧財產權局註冊專利摘要 三、 聯電、台積電、華碩、廣達、技嘉、英業達、力捷、神達等公司 之專利摘要 / Along with the evolution of technology and market, in modern transaction economy, intellectual works have become as important properties as natural resources did to the labor-intensive, non-technological market for the past. New knowledge and new technologies create some new industries, especially those that related to the domain of computing, semiconductor and biotech. Information technology industry has become the core of Taiwan economy for the past twenty years. Meanwhile, this industry has created certain amount of young millionaires to the Taiwan society as well. In search of its causes, some point out that good qualified technical labors, advantage of flexible manufacturing, prompt market responds, efficient logistics system, competitive co-operation network etc… are the answers to its prosperity. Nevertheless, not a few Taiwan information technology companies have been expelled from this market over competition. To answer this question, some researches point out that acceleration of R&D results to shorten product life circle making unlikely to return the investment. In addition, such marketing factor as severe homogeneous product competition occurred. There are also some reports said: the accusation from foreign technology leading countries such as USA, Japan or Europe, and the claim of huge amount of royalty payment, enforcement of copy right and anti-dumping by USA government. All these impacts struck out some Taiwan IT companies from this game. Furthermore, high royalty payment ate up its profit margin and made most of them lose price competitive advantage. Base on above studies, one can be aware that patent right as an important intellectual property has currently not been the competitive advantage of Taiwan IT industry yet. On the contrary, patent right used to be the Achilles' heel of Taiwan IT industry for the past. For Taiwan IT related companies' long run concern, to lift patent right management up to the strategic level seems essential to keep its own competitive advantage as well as long term survival. It supposed to be the purpose of being granted a patent right that protecting one's innovation of product or technology. While today, a positive concept should be given to the corporate patent rights. That is, in order to maintain corporate continuous competitive advantage, corporate should see the patents from strategic point of view. That is to say applying resource management viewpoint to manage corporate patents. Corporate should use patent rights so flexibly as to be a weapon of inter-corporate technological campaign. One intention is for sure that it can increase corporate income. For the negative concern, it avoids rivals' attacks and minimizes the loss from the patent war. For positive concern, corporate should manipulate its technical resources to accumulate patent volume, to promote patent quality, to build patent web so as to deter competitors from imitation or to be the stakes of cross-licensing and patent pooling. In processing this study, it takes two successive phases data integration. At the first phase, collected official information of patent applied and filed from Taiwan Intellectual Property Office, which covering sixteen firms over IT industry from top end to users' end respectively. Together with Taiwan IPO's macro statistics and each company's annual report, this study preliminarily compared and analyzed following factors: 1. Quantity and quality (basic or satellite) of filed patents of respective company. 2. Portion of patent form: invention, new type or new pattern patent of each company. 3. Co-relation between patents content and core business of each company. 4. Relation of patent accumulation and its sales turnover of each company. 5. Base on above, speculating each company's strategic intention. At the second phase, these sixteen firms had been divided into three groups according firms' product subject to industrial or end-user purpose, this study chose four examples which are most representable and well-established firms as profound case study to interpret proposition and hypothesis. Finally, inducting four conceptual strategy models of patent management, they are Incentive, Defendable, Advanced, Aggressive strategies and this study try to propose the strategic choice.

由於專利權對企業的生存與發展，具有愈來愈重要的影響，因此企業如何經營管理專利權自然成為企業決策人員一項重要的思考因素。本研究的架構係先定義了管理的意義和目的，並說明有關之管理機能及企業機能，和如何應用管理活動落實於各企業部門的各項制度中；然後再簡介專利的意義，專利管理的目的和相關的管理活動，以及專利制度為賦予發明人獨佔權力的法律規定，雖然世界各國的專利制度因該國專利發展情況不同而有所差異，但在資訊流通快速的今日，亦藉由如WIPO等世界性組織，來規範各國專利制度的一致性。在此專利權的獨佔權力和專利制度的保障及規則下，各型企業乃可藉由各項專利管理的活動，包括發掘企業內具有專利價值之發明並提出申請，與研發工作的配合，專利資訊之收集與強化，專利權之維護與活用，因應其他公司專利之對策，國際化專利管理，以及智慧財產權之綜合管理等活動，將專利制度所賦予之獨佔權力，由無形的資產，轉變為對公司在經營上可以利用資源，應用在研發、生產，行銷等企業機能的活動上，配合各項有效的專利管理制度之實施，而幫助公司取得各方面的競爭力量，以佔領市場，得到最大的利益，此亦為企業經營的重要目的，即專利管理的目標在於為公司增加利潤者。這些專利管理活動的應用，在相輔相成的專利管理制度來落實，使公司在有規劃的系統中進行及推動所有的專利活動，因此公司必須考量本身的型態，規模和背景，以先建立專利部門組織的定位和組織結構，並且制訂完整性的各項必備的基本專利管理制度，包括提案及獎勵制度，智慧財產權相關之資訊諮詢制度，專利資訊蒐集制度和專利申請評估制度，和完備的網路通訊及監測制度等等；運用這些有系統的管理制度，形成公司的運作及指導之動力，才能推動所有的專利活動，並且真正的將專利權從無形資產轉變為有形資源，為公司提昇競爭力以及創造利潤。

近年來，企業的核心競爭力來源已逐漸由有形資產轉變為無形資產。而在眾多無形資產中，又以專利權代表著企業研發創新能力，而具有高度資訊意涵。但在目前針對專利管理面向的研究中，尚未有針對企業如何對整體專利化流程進行有效管理並結合評估、報導專利成果的完整架構，故本研究採用個案研究法，並輔以個案公司內部問卷之方式，探討企業如何有效建立專利管理與內部報導機制，並達成以下結論： 一、企業專利管理架構乃從企業整體策略出發，連結專利策略，並根據專利策略發展出專利管理制度與內部報導機制；透過專利管理制度可促進內部報導項目目標之達成，而透過內部報導項目可評估專利管理制度之成果。 二、運用個案公司內部問卷調查，篩選出27項重要之專利內部報導項目。 三、透過與個案公司實地訪談，彙整出八大項專利管理制度與作法，並進一步分為一般性專利管理制度與策略性專利管理制度 四、將內部報導項目進一步分為量化指標與非量化指標兩種專利報導方式；量化指標乃透過數量化資訊將實際值與目標值進行比較；而非量化指標又可分為兩種報導方式，一是運用描述本期管理做法並與上期比較以評估管理成果，另一種方式是發放問卷並報導問卷結果，透過本期與上期問卷結果的比較來評估管理成果。 五、透過專利報導項目與企業實際之管理做法相互比較後，分析個案公司之三項管理缺口。 / Recently the competitive resources of the enterprise is switching from tangible assets to intangible assets. Among those intangible assets, patents represent the R&D and innovation abilities of the business, and include high valued infromations. However there is short of complete framework of patent management and patent internal reporting system in those patent-relative research areas. Therefore, this study use case study research, and is supported by the questionnaire to show how could the enterprise use valid management and reporting system to achieve great patent results. The conclusions of this study are the followings: First, the patent management framework is established from the business strategy to patent strategy, and develop the relative patent management and internal reporting systems. Use the patent management to achieve the reporting objectives; use the patent reporting ways to evaluate the management performance. Second, use the internal questionnaire to select twenty-seven important internal reporting items. Third, through the interviews with the target company summarize eight patent management ways, and classify them to general and strategic management ways. Fourth, there are two reporting methods. One is quantification items, using quantified information and compare to the earlier stage to show the management results; the other is non-quantification items, describing the management conditions or reporting questionnaire results and compare to the earlier stage to evaluate the management performance. Fifth, according to the comparisons of the reporting items and management ways, this study analyse three management gaps of the target company.