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.

Die Arbeit untersucht die Durchsetzung von Ansprüchen auf Unterlassung aus standardessentiellen Patenten (SEP). Ausgehend von den ökonomischen und rechtsdogmatischen Grundlagen des Patentrechts wird zunächst die Legitimation des Anspruchs auf Unterlassung im Gefüge des Patentrechts untersucht und der Frage nachgegangen, inwieweit die Gewährung von Ausschließlichkeitsbefugnissen zur Verwirklichung der Ziele von Innovationsschutz und -förderung notwendig ist. Die Prüfung kommt zu dem Schluss, dass die Ausübung des Anspruchs auf Unterlassung aus SEP unter Umständen eine ökonomisch und rechtsdogmatisch unerwünschte Blockadeposition herbeiführen kann, so dass eine Einschränkung des Anspruchs zur Sicherung der innovationsfördernden Funktionen des Patentrechts geboten sein kann. Sodann werden verschiedene Lösungsansätze diskutiert und dabei besonderes Augenmerk auf die durch die deutsche und europäische Rechtsprechung entwickelte kartellrechtliche Lösung gelegt. Nach einer Betrachtung der Tatbestandsmerkmale des kartellrechtlichen Verbots des Missbrauchs von Marktmacht nach Art. 102 AEUV bzw. §§ 19, 20 GWB und deren Anwendung auf Fälle der Erhebung von Unterlassungsklagen aus SEP wird diese Lösung abgelehnt. Der Tatbestand des Missbrauchs von Markmacht vermag wegen der Fokussierung auf (Produkt-)märkte und des Erfordernisses einer marktbeherrschenden Stellung als Anwendungsvoraussetzung bei stringenter Auslegung der Vorschrift nicht alle relevanten Fälle zu fassen. Im Folgenden werden Ansätze diskutiert und bewertet, welche eine rechtliche Verankerung der Einschränkung des Anspruchs auf Unterlassung eher im Vertrags- oder im Patentrecht selbst suchen. Als Ergebnis wird sich schließlich dafür ausgesprochen, das in § 23 PatG für die Abgabe einer Lizenzbereitschaftserklärung vorgesehene Verfahren mit seinen wechselseitigen Pflichten analog auf Fälle der Erhebung einer Unterlassungsklage aus SEP anzuwenden und die Zulässigkeit der Erhebung von Unterlassungsklagen nach diesem Maßstab zu beurteilen. / The work analyzes the enforcement of claims for injunctive relief based on standard-essential patens (SEP). Taking the economic and legal foundations of patent law as a starting point, the legitimacy of the claim for injunctive relief within the system of patent law is assessed, as is the question of whether granting the power to exclude others from use of a patented technology is necessary for protecting and promoting innovation. It is found that injunctive relief based on a SEP can lead to an economically and legally unwanted blocking position, in favor of the patent holder, which may require restricting the exclusive right of the patent holder in order to ensurethe patent's function of promoting innovation. Following this, different approaches for solving the issue are discussed. A special focus is put on antitrust law which has been used as a basis to limit injunctive relief by the German and European courts. After considering the elements of Art. 102 TFEU, §§ 19, 20 of the German Antitrust Code (GWB) respectively, the application of antitrust law is rejected. Due to its focus on (product-)markets and the requirement of a dominant market position, antitrust law is not fit to sufficiently limit the negative impact that injunctive relief from a SEP might have on innovation. The work further discusses and assesses other approaches which are trying to apply contract law or certain provisions of patent law. As a result, it is suggested to analogously apply the procedure set out in § 23 PatG (German Patent Code) and its system of mutual obligations to assess the legitimacy of injunctive relief in SEP-cases

Diese Dissertation analysiert eine Vielzahl von Aspekten, die sich auf Patente und Patentrennen beziehen. Im einleitenden Kapitel wird die betriebs- und volkswirtschaftliche sowie die gesellschaftliche und ethische Bedeutung von Patenten hervorgehoben. Es werden sowohl Stärken als auch Nachteile von Patenten vorgestellt. Kapitel 2 beschreibt Instrumente, die von Entscheidungsträgern benutzt werden können, um Patentschutz zu regulieren: Patentbreite, -höhe und -länge. Das Kapitel zeigt weiterhin, warum ein optimales Regulierungsniveau nicht erreicht werden kann. Kapitel 3 behandelt den dramatischen Anstieg von Patenttätigkeiten in Europa als auch weltweit. Erklärende Faktoren für dieses Phänomen sowie Effekte und mögliche Lösungen werden diskutiert. Im vierten Kapitel wird gezeigt, dass Patente zu einem großen Gewinnzuwachs in der Pharmaindustrie beigetragen haben, während die Innovationsfähigkeit dieser Industrie gesunken ist. Patentrennen für Pharmaka und die Entwicklung von Generika werden auch in diesem Kapitel analysiert. Kapitel 5 gibt einen umfangreichen Überblick der Literatur zum Patentrennen und zeigt, dass diese Literatur extrem komplex, widersprüchlich, instabil bei experimenteller Überprüfung und allgemein uneindeutig ist. Kapitel 6 stellt eine experimentelle Studie eines Patentrennens vor. Es beginnt mit einem intuitiven Modell eines Segelwettbewerbs; danach wird ein spieltheoretisches Modell eines asymmetrischen F&E-Wettbewerbs zwischen zwei Firmen entwickelt; später werden Gleichgewichtsvoraussagen formuliert und mit den Handlungen realer Entscheidungsträger in einem experimentellen Labor verglichen. Eine ökonometrische Untersuchung zeigt ein hohes Maß an Übereinstimmung zwischen den theoretischen Vorhersagen und den experimentellen Ergebnissen. Das letzte Kapitel fasst die Schlussfolgerungen der Dissertationen zusammen und bietet Empfehlungen. / This dissertation analyzes a plethora of aspects related to patents and patent races. In the introductory chapter the importance of patents to business, economics, society and ethics is emphasized. On one side, the traditional argument in favor of patent protection as well as further strengths of patents are presented, while on the other side situations in which patents bring significant drawbacks and disadvantages are identified. Chapter 2 describes the instruments that can be used by policymakers to regulate patent protection: patent breadth, height and length. The chapter further shows why an optimal level of regulation cannot be achieved. Chapter 3 deals with the dramatic increase in patenting activities in Europe and around the world. Determinants of this phenomenon as well as its effects and potential solutions are provided. In the fourth chapter patents are shown to have contributed to a large rise of profits in the pharmaceutical industry, while the industry’s innovativeness seems to have declined. Patent races for pharmaceuticals and the evolution of generic medicine are also analyzed in this chapter. Chapter 5 gives an extensive overview of the patent race literature and shows that this literature is extremely complex, filled with contradictions, not robust to experimental testing and overall inconclusive. Chapter 6 sets out an experimental study of a patent race. It starts from an intuitive model of a sailing race, develops a game-theoretic model of an asymmetric R&D competition between two firms who want to attain a patent, formulates equilibrium predictions and compares them with the actions of real decision makers in an experimental laboratory. An econometric analysis proves a high degree of consistency between theoretical predictions and experimental results. The last chapter wraps up the main conclusions of the dissertation and proposes some recommendations.

Thesis deals with the patentability of an invention in terms of the law of selected countries and international law. The theoretical part contains a general introduction of patent law, its principles and differences in regulation in selected legal systems. Further analysis is focused on the regulation of conditions of patentability, namely novelty, in European law. The practical part contains an analysis of the decisions of the European Patent Office and the Industrial Property Office of the Czech Republic in selected areas of assessing the novelty of the invention. On the ground of the previous decisions will be identified the issues which are the most frequent subjects of disputes; will be pointed out the controversial decisions and will be identified the key criteria on the basis of which should be in similar disputes in the future decided.

A propriedade intelectual, em especial as patentes, tornou-se uma questão importante para as gestões corporativa e tecnológica nas empresas. A quantidade de documentos de patentes que as empresas passaram a lidar aumentou substancialmente e de forma muito rápida nas últimas décadas, sendo a gestão do portfólio de patentes uma necessidade emergente dentro dessas corporações. O trabalho traz uma revisão sistemática da literatura sobre o que há em gestão de portfólio de patentes, organiza a evolução e as tendências na gestão desses portfólios, apresenta as motivações para patentear, as características específicas de gestão de patentes e os modelos de gestão de portfólios de patentes encontrados. A partir da revisão da literatura e a escassez de artigos científicos relacionados a gestão de portfólio de patentes, foi identificada uma oportunidade para propor um modelo para fazer a gestão de portfólio de patentes com suporte de uma teoria consolidada (gestão de portfólio de novos produtos), relacionando as motivações para patentear e as características específicas identificadas. O estudo pretende contribuir com a proposição de um modelo de gestão que possui ancoragem teórica e indica como as patentes são geridas dentro do portfólio. O modelo foi validado e refinado com base em testes feitos com dados coletados em estudos de casos. Os casos forneceram ainda informações para derivar sugestões de ações para empresas obterem melhores práticas na gestão de seus portfólios de patentes. / Intellectual property, especially patents, has become an important issue for corporate and technological management in companies. The number of patent documents that companies have to deal with has very rapidly increased over the las decades and patent portfolio management has become an emerging need for these corporations. This work brings a systematic review on patent portfolio management, organizing the evolution and tendencies in the management of these portfolios, presenting the motivations for patenting, the specific features of patent management and models of portfolio management of patents found in the literature. From the literature review and the lack of scientific works related to patent portfolio management, was identified an opportunity to propose a model for managing patent portfolios supported by a consolidated theory (new product development portfolio management), relating the motivations for patenting and the specific features identified. The study intends to contribute to the proposition of a management model with theoretical anchorage and indicating how patents are managed within the portfolio. The model was validated and refined based on data collected from case studies. The cases also provided information to derive suggestions to companies to obtain best practices in the management of their patent portfolios.

專注於科技創新並將之轉化為智慧財產權的應用，可說是通訊產業競爭的關鍵因素；專利不但是通訊科技演變與進步的註腳，也相當程度地解釋了為什麼Ericsson與Nokia之所以屹立不搖，為何Qualcomm得以崛起，為何Ericsson與Sony要合資成立索尼愛立信，又為何NTT DoCoMo的i-mode得以成為今日全世界最成功的無線上網服務，而Lucent與Siemens又為什麼無奈地逐漸淡出市場？答案就是科技的創新與管理！ 本研究試圖在既有的競爭與策略的理論上，以專利為核心，來探討電信事業如何在飽和的行動通訊市場，透過專利的取得，獲致先進的技術，進入新市場，以強化自身競爭優勢；進而藉由授權及執行之策略運用，佈建專利保護網，排除競爭對手進入市場；同時利用專利創造公司財富、提高股東價值，並可作為併購、合資等談判籌碼，以達到產業控制等目的。 因此，本論文即在探討電信事業如何運用專利策略，以創造績效，項目如下： 一、探討電信事業的專利現況並做案例分析。 二、探討電信事業如何運用其專利，並結合運用國內、外專利策略的理論。 三、訪談電信事業經理人，探討專利如何從行銷、技術與法律面達成公司目標。 四、探討電信事業如何利用專利作為談判籌碼，以便在各種交易中取得優勢。 本文以圖表方式呈現台灣五個主要電信事業的專利現況，先依據各業者申請中華民國、美國以及中華人民共合國之專利項目與數量，比較何者擁有最多專利權；進而探討其是否也相對的具有最強的競爭優勢。並以實際案例呈現台灣主要電信事業發生之專利糾紛，及其如何研擬與執行專利策略，並與理論作如何之結合。 從本研究之實際案例與專利策略模型得之，企業應該在平時就體認專利不只是技術部門或法律部門的業務，公司高階主管更要認知專利策略與公司的行銷策略或財務目標是緊密結合的。尤其應該要求專業經理人將專利資產視為「企業家精神」的一環來重視與培養，如此一來，專利策略的成本效益就得以自然顯現，並與公司的行銷策略與營運目標相互結合。 關鍵字：電信、產業鏈、專利、策略、專利策略、專利分析 / Focusing on innovation and make it a strategy of IPR is one of the sustainable factors of telecom operation in such a fierce competition. Why Nokia and Ericsson keep their competitiveness ? Why NTT DoCoMo and its i-mode are so successful ? Why Lucent and Siemens both fall behind from their telecom competitors ? The same reason in common is technology innovation and management. Patent strategy primarily includes 3 parts,which are obtaining patent rights, creating patent value, and enforcing them. Patent strategy should run with Marketing strategy so as to apply patents as an isolating mechanism to deterrent other competitors, and to leverage patents to maximize income or using patents as bargaining chips to strengthen companys’ position in dealing with the third parties, as well as to defend themselves against patents owned by others. As a result, patent decisions become sources of dynamic capabilities in the never ended competition. In this paper, 2 qualitative analysis researches are presented. First, there are several patent award lists of Taiwan’s three major mobile companies breaking down by ROC, USA and PRC respectively. Secondly, 5 in-depth interviews with 4 high rank managers of Fareastone and it patent law firm were made to show how FET perform it patent strategy against a service product made by another mobile company and software company. This thesis is to provide telecom companies with a successful case study in formulating a patent strategy and expects to raise the suggestion for managers in telecom industries regarding the strategic importance of patents and patents management should be part of the “Entrepreneurship”. Keywords: Telecom, value chain, Patent, Strategy, Patent strategy, Patent analysis

Zugl.: München, Univ., Diss., 2008

Zugleich: Diss. Giessen, 2008. / Register. Literaturverz.

BACKGROUND:There is an association between cryptogenic stroke and patent foramen ovale (PFO). The optimal treatment strategy for secondary prevention remains unclear. The purpose of this study was to analyze aggregate data examining the safety and efficacy of transcatheter device closure versus standard medical therapy in patients with PFO and cryptogenic stroke.METHODS:A search of published data identified 3 randomized clinical trials for inclusion. The primary outcome was a composite end-point of death, stroke and transient-ischemic attack (TIA). Pre-defined subgroup analysis was performed with respect to baseline characteristics including age, sex, atrial septal aneurysm and shunt size. Data was synthesized using a random effects model and results presented as hazard ratios (HRs) with 95% confidence intervals (CIs).RESULTS:A cohort of 2,303 patients with a history of cryptogenic stroke and PFO were randomized to device closure (n=1150) and medical therapy (n=1153). Mean follow-up was 2.5years. Transcatheter closure was not superior to medical therapy in the secondary prevention of stroke or TIA in intention-to-treat analysis (HR: 0.66, 95% CI: 0.43 to 1.01 / p=0.056). However, the results were statistically significant using per-protocol analysis (HR: 0.64, 95% CI: 0.41 to 0.98 / p=0.043). Males had significant benefit with device closure (HR: 0.48, 95% CI: 0.24 to 0.96 / p=0.038).CONCLUSIONS:In this meta-analysis, using intention-to-treat analysis, transcatheter device closure of PFO was not superior to standard medical therapy in the secondary prevention of cryptogenic stroke. Transcatheter closure was superior using per-protocol analysis.

published_or_final_version / Law / Master / Master of Laws