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.

The coming of knowledge-based economy age leads to the competitive advantage of high-technology industries strongly depend on human capital and intellectual capital. In order to rise the capacity of self-innovation and obtain new technologies, for high-technology industries, in-house research and development is necessary, but acquiring technology from outside, especially from academe, becomes more and more important. The phenomena of cluster, high-technology industries build factories near by universities, is the beginning of the interaction between industries and universities¡]1951 Silicon Valley¡^. Until the 1980¡¦s, the United States government didn¡¦t start to draft the policy about promoting industry-university collaboration and technology transfer, and in Taiwan, it started at 1991. Good interaction between industries and universities can arrange the resources and make a win-win situation. By reviewing the literatures on the development of scientific parks and mechanism of industry-university collaboration of Taiwan and other advanced countries¡]the United States ,Japan, and German¡^, especially focus on technology transfer, patent management, related laws, national innovation system, etc., I found some problems and defects and have some suggestions that may help.

Empirischen Studien zufolge können Patente sich positiv auf den Unternehmenserfolg auswirken. Allerdings wirkt dieser Effekt nicht automatisch, sondern Unternehmen müssen sich um den Aufbau und die gesteuerte Weiterentwicklung eines nachhaltigen und wertvollen Patentportfolios bemühen. Bisher ist jedoch nicht wissenschaftlich untersucht worden, welche Maßnahmen Unternehmen ergreifen können, um die unternehmensinternen Vorraussetzungen für eine erfolgreiche Steuerung von Patentaktivitäten zu schaffen. Um diese betrieblichen Faktoren zu identifizieren und deren Relevanz zu quantifizieren, wurden 2005 in einer breiten empirischen Untersuchung die aktiven Patentanmelder im deutschsprachigen Raum (über 1.000 Unternehmen) mit Hilfe eines standardisierten Fragebogens befragt. Auf der Basis von 325 auswertbaren Fragebögen (Ausschöpfungsquote 36,8 %) konnten zum einen Ergebnisse zum aktuellen Aufgabenspektrum der Patentabteilungen sowie zu deren organisatorischen und personellen Strukturen gewonnen werden. Ebenfalls wurde in dieser Status quo-Analyse der Bekanntheits- und Implementierungsgrad von Methoden und Systemen (z. B. Patentbewertungsmethoden, Patent-IT-Systeme) beleuchtet. Zum anderen wurden die betrieblichen Faktoren herausgestellt, auf die technologieorientierte Unternehmen achten sollten, um das Fundament für eine erfolgreiche Patentsteuerung zu legen. / Empirical studies have shown that patents can have a positive effect on corporate success. However, this effect does not occur by itself. Companies have to make an effort to create and to develop a sustainable patent portfolio. So far, no academic studies have investigated into which actions a company can take to establish the internal conditions for successful patent management. To identify and to quantify the relevance of these internal factors, a study was conducted using a standardized written questionnaire with more than 1,000 patent-oriented companies in the German-speaking countries (Germany, Austria, Switzerland, Liechtenstein). In total, 325 valid questionnaires were included in the analyses; this corresponds to an above-average response rate of 36.8 %. These analyses revealed insights into the current task profile of patent departments and their organizational and personnel structures. This status quo analysis also included the investigation into the awareness and implementation level of used methods and systems (e. g. patent evaluation methods, patent IT systems). Furthermore, the study could expose the internal determinants, which technology-oriented companies should focus on to ensure a successful patent management.

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。

Organizations have realized that they need to develop and strategically utilize their patent portfolios in order to maintain sustainable competitive advantage. This requires a change in the organization design and practice. Prior studies have addressed this in context of increasing patent productivity, i.e., process of filing patents (Shapiro, 1990; Berkowitz, 1993; Ransley and Gaffney, 1997; Chattopadhyay, 2003). But there have been lacunae in addressing issues in organization design and practice for ensuring patent utilization, which forms the focus of this thesis. Patent externalization is defined the process of translating embedded intellectual value of a patent into “externalized” knowledge and financial benefits. The objectives of the thesis have been to conceptualize a model and measure high and low variances in organizational patent externalization potential, to understand significant organization-level practices that differentiates between organizations having high and low patent externalization potential, to understand differences in organizational perceptions about knowledge and financial orientation of the patent externalization practices in organizations having high and low patent externalization potential and to suggest changes in practices that would enhance organizational patent externalization potential. Towards this purpose, prior literature related to patent productivity and organization change were studied and a conceptual model was developed. The conceptual model outlines that the organizational design components – organizational practices supporting patenting outcomes, competitive intelligence gathering practices and patent commercialization practices alongwith organization and individual moderating variables determine the organizational patent externalization potential. This model was initially verified through exploratory case studies across seven R&D intensive organizations. Variables identified from literature review and initial case studies, were operationally defined and measurement models for the thesis were developed. A questionnaire comprising of 160 items (validated items measuring the aforementioned variables) was designed for conducting the survey research. The measurement scale used was a 5-point Likert-type interval scale. . A Cronbach alpha of 0.82 was obtained for the questionnaire. The sample comprised of professionals from four sectors – pharmaceutical, IT, manufacturing and academia. The sample size was 56 organizations representing 208 professionals. To accommodate the influence of the moderating variables, data was collected from professionals having commercialized patents, whose patents were yet to be commercialized and those having no patent commercialization experience. The statistical techniques used for data analysis were: principal component analysis, hierarchical cluster analysis, discriminant analysis, F-test, t-test and chi-square tests. This thesis provides insights into various practices and perceptions that are essential design components in enhancing organizational patent externalization potential. These findings have implications for OD managers. The thesis contributes both to the theory of patent management and change management literature. Additionally, the questionnaire designed for this study has potential for being used as a diagnostic tool to assess potential for organizational change. Limitations and future areas of study are also addressed.

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.

Empirischen Studien zufolge können Patente sich positiv auf den Unternehmenserfolg auswirken. Allerdings wirkt dieser Effekt nicht automatisch, sondern Unternehmen müssen sich um den Aufbau und die gesteuerte Weiterentwicklung eines nachhaltigen und wertvollen Patentportfolios bemühen. Bisher ist jedoch nicht wissenschaftlich untersucht worden, welche Maßnahmen Unternehmen ergreifen können, um die unternehmensinternen Vorraussetzungen für eine erfolgreiche Steuerung von Patentaktivitäten zu schaffen. Um diese betrieblichen Faktoren zu identifizieren und deren Relevanz zu quantifizieren, wurden 2005 in einer breiten empirischen Untersuchung die aktiven Patentanmelder im deutschsprachigen Raum (über 1.000 Unternehmen) mit Hilfe eines standardisierten Fragebogens befragt. Auf der Basis von 325 auswertbaren Fragebögen (Ausschöpfungsquote 36,8 %) konnten zum einen Ergebnisse zum aktuellen Aufgabenspektrum der Patentabteilungen sowie zu deren organisatorischen und personellen Strukturen gewonnen werden. Ebenfalls wurde in dieser Status quo-Analyse der Bekanntheits- und Implementierungsgrad von Methoden und Systemen (z. B. Patentbewertungsmethoden, Patent-IT-Systeme) beleuchtet. Zum anderen wurden die betrieblichen Faktoren herausgestellt, auf die technologieorientierte Unternehmen achten sollten, um das Fundament für eine erfolgreiche Patentsteuerung zu legen. / Empirical studies have shown that patents can have a positive effect on corporate success. However, this effect does not occur by itself. Companies have to make an effort to create and to develop a sustainable patent portfolio. So far, no academic studies have investigated into which actions a company can take to establish the internal conditions for successful patent management. To identify and to quantify the relevance of these internal factors, a study was conducted using a standardized written questionnaire with more than 1,000 patent-oriented companies in the German-speaking countries (Germany, Austria, Switzerland, Liechtenstein). In total, 325 valid questionnaires were included in the analyses; this corresponds to an above-average response rate of 36.8 %. These analyses revealed insights into the current task profile of patent departments and their organizational and personnel structures. This status quo analysis also included the investigation into the awareness and implementation level of used methods and systems (e. g. patent evaluation methods, patent IT systems). Furthermore, the study could expose the internal determinants, which technology-oriented companies should focus on to ensure a successful patent management.