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.

The present Master thesis was written during an internship at Deutsche Post DHL Solutions& Innovations, a subsidiary of Deutsche Post DHL. The main purpose was to make a patent portfolio benchmark for the previously identified business competitors of the DPDHL group. The research questions aimed to find out how relevant the patent portfolio analysis is for comparing competitors and whether or not the results can be matched with other types of rankings. The benchmark was made using the PatentSight software tool. PatentSight allows the patent portfolio analysis of individual companies as well as groups of companies (competitors). The software tool is based on a new approach to benchmark patent portfolios called Patent Asset Index. This approach uses several indicators to measure the patent portfolios strengths. The indicators are based on relatively widely used measures of patent analysis such as the number of citations that a patent has received. However, these measures are further adjusted by the PatentSight indicators in order to prevent false results due to the difference in patents’ ages, for instance. The results of the patent portfolio benchmark and their comparison with other rankings have confirmed previous research findings that the patent portfolio analysis is a useful tool which can remove uncertainties and provide new perspectives but cannot be used as single indicator of the competitors’ strength.

The automotive industry with its highly competitive environment together with high research and development costs is struggling to increase shareholder return. Cross-functional teams are employed to source suppliers which are helping to reduce production and development costs in close cooperation with the other departments. When working in a competitive environment and with external actors, intellectual property becomes increasingly important and organizational effort is directed to increase the generation and usage of such. Patent portfolio analysis is a well-known tool used to extract information from surrounding actors’ patents, which traditionally mainly was used for product development, but has potential to increase gross profit through cross-functional sourcing teams as well.  The purpose of this study is to investigate how to implement and use patent portfolio analysis as a cross-functional tool in the automotive industry. In order to fulfill the purpose, a qualitative case study has been conducted including both qualitative interviews, as well as action research in the form of workshops at the case company. The results were analyzed using a tailored framework denominated the system integration model which is a combination of the technology acceptance model and the managing strategy framework. The systems integration model was developed and validated by the researchers during the research process. The research result shows that patent portfolio analysis has a high perceived usefulness but a low actual system use within the studied company, especially in the sourcing department. The main barrier to use patent portfolio analysis cross-functionally was that the intellectual property strategy was not yet fully communicated and linked to the different departments’ objectives. There were also barriers found in the communication between- and the understanding of- each other’s departments, which could be reduced by increased education and promoting clear contact points and guidelines. The final conclusion of this research was that patent portfolio analysis likely could be used cross functionally to map the competitive landscape and increase gross profit by protection innovations through product development and sourcing. / Fordonssektorn kännetecknas av höga utvecklingskostnader och en konkurrenskraftig marknad där aktörerna strävar mot vinst till aktieägare. För att ge en hög avkastning till aktieägarna så arbetar man i tvärfunktionella team för att minska produktion och utvecklingskostnader samt för att anlita de bästa leverantörerna. Att arbeta i en konkurrenskraftig miljö med externa aktörer gör att immateriella rättigheter blir allt viktigare och företag satsar därför stora resurser för att detta ska hanteras på rätt sätt. Patentportföljanalys är ett välkänt verktyg för att extrahera information från omgivande aktörers patent, vilket traditionellt främst har använts i produktutveckling, men även har potential att öka bruttoresultat genom ett effektivare samarbete över avdelningar i tvärfunktionella inköpsteam. Syftet med denna studie är att undersöka hur man implementerar och använder patentportföljanalys som ett tvärfunktionellt verktyg inom fordonssektorn. För att uppfylla syftet har en kvalitativ fallstudie genomförts genom kvalitativa intervjuer och workshops vid det undersökta företaget. Resultatet analyserades med hjälp av ett skräddarsytt ramverk som forskarna för denna undersökning benämnt som ”the system integration model”. Det här ramverket sammansvetsar den välkända modellen ”technology acceptance model” som syftar till att undersöka acceptans av ny teknik och den välkända modellen ”Managing four processes” som handlar om hur man skapar ett strategiskt management verktyg. ”The system integration model” utvecklades och validerades av forskarna i flera steg under studien. Resultatet visar att patentportföljanalys har en hög uppfattad nytta trots att det är låg systemanvändning i det undersökta företaget i dagsläget, särskilt i inköpsavdelningen. Den största barriären för användandet av patentportföljanalysen verkar vara att företagsstrategin för immateriella rättigheter ännu inte har kommunicerats och kopplats till de olika avdelningarna fullt ut. Det noterades även barriärer i kommunikationen mellan- och förståelsen för- de olika avdelningarna, vilken kan minskas genom utbildning och tydliga kontaktpunkter och riktlinjer. Den här undersökningen indikerar ytterligare på att patentportföljanalys är användbart i tvärfunktionella team då det ger möjligheten att kartlägga konkurrenslandskapet, säkra produkt- och eftermarknadsexklusivitet och förbättra leverantörsavtal, vilket i sin tur kan öka bruttovinsten.

過去台灣LED產業伴隨著面板業的發展而崛起，但目前正是投入LED照明，放眼進千億美元市場的機會，本研究針對傳統照明大廠OSRAM於技術、專利、與商業策略等角度分析，探討LED照明的佈局策略，期望能給台灣LED廠商一些啟發。整體而言，LED照明取代傳統照明的趨勢是肯定的，關鍵在於LED照明的價格走勢以及政府政策的支持。目前雖然LED照明市場仍然以美國為主，但以整體亞洲市場而言，市佔率已經越來越高。而亞洲區域市場最重要的國家－中國，目前在LED照明應用市場僅次美國，差距已經越來越小，未來極可能成為最主要的市場。 在一開始進入半導體照明時，OSRAM受惠於母公司Siemens，在專利、技術上就已取得領先，OSRAM並採取垂直整合的策略，從磊晶、晶粒、封裝、模組都有佈局，使LED的生產更有效率。除此之外，由於未來LED照明產業的趨勢是照明整合服務，OSRAM也透過併購的方式，補強照明設備、照明系統的能力。未來OSRAM不僅供應LED元件，也提供照明解決方案，觸手一路延伸至終端應用。OSRAM初期都是以合資為主以分散風險，若合資公司經營順利，OSRAM便以併購的方式，強化OSRAM的全球佈局。此外，OSRAM 建立了一個平台，聚集了熱管理、光學、電子相關的專業廠商，以及照明整合的系統廠商，形成產業群聚，一方面可以鞏固供應商、被供應商關係，一方面透過產業群聚的效果，建立緊密的合作網路。此外，於經營策略方面，不僅提供整合型產品，開拓銷售管道，且透過生產基地的轉移，降低生產成本，並隨著市場導向，轉換銷售區域，加強於亞太地區的在地化發展。最後，OSRAM之專利申請策略配合市場需求，且除了LED以外，也鞏固OSRAM於省電燈的領先地位；在專利授權部份，OSRAM採取開放式專利授權策略，為Nichia增加競爭者，也為自身帶來大量的授權金以及代工廠商。 研究結論顯示，OSRAM成功的因素在於掌握專利、品牌以及通路，以及LED元件垂直整合的供應鏈，並積極的貼近市場，瞭解市場趨勢，將LED光源技術的挑戰成功的轉化成OSRAM新的產品線。因此本研究建議台灣廠商應與中國之照明廠商合作，台灣廠商於LED技術以及製造仍具優勢，但缺乏品牌以及通路的佈局，台灣LED廠商與其自己發展品牌，不如以代工的方式與既有的傳統照明品牌廠商合作，與中國照明廠商合力抵抗來自國際照明廠的威脅。此外，台灣廠商應認清產業定位，台灣於半導體、電子領域擁有領先技術，可以從LED照明產業鏈的中游模組切入，像是熱處理或是驅動IC等，會是台灣廠商切入照明產業的利基。 / The LED manufactures in Taiwan now actively involved in the general lighting application of LED. In order to provide the manufacturers with some suggestions, the main goal of this thesis is to study OSRAM’s LED lighting layout and strategy, including patent, technology and business strategy. In the long run, LED lighting replacing traditional lighting is in a positive direction. Key factors are the price of LED lamps and the support of government policies. At the present time, the US market is still the main market. However, the market share in Asia-Pacific is steadily increasing. The most important country in the Asia-Pacific region, China, is getting closer and very likely to become the most important market in the near future. Benefited from parent company, Siemens, OSRAM took the leading position at the beginning of semiconductor lighting. OSRAM then adopted the strategy of vertical integration of epitaxy, chip process, packaging and end applications. Therefore, OSRAM can manufacture LED products in a more efficient way. Furthermore, OSRAM also reinforces the capability of the lighting fixtures and lighting systems via mergers, acquisitions, and joint ventures. OSRAM not only provides LED components but also lighting systems and solutions. To spread risks, OSRAM use joint ventures instead of mergers and acquisitions in the beginning. Once the company has operated smoothly, OSRAM will then merge the company. In addition, OSRAM has established a platform to gather companies that provide electronic, optical, or thermal solutions. Industry cluster is formed. With the effect of cluster, the relationship between buyers and suppliers is enhanced. About business strategies, OSRAM developed integrated products to extend channels and moved manufacturing overseas. Referring to patent application strategy, OSRAM meet the demand of market. In addition to LED-related patents, OSRAM also filed many efficient lamp patents these years. And OSRAM actively licensed patents to other companies, not only created competitors against Nichia but also received licensing fee. In conclusion, the main reasons why OSRAM succeed are the strategies of brand, channel and patent. As the lack of branding and channel, this study suggests that Taiwan manufacturers could cooperate with traditional lighting companies in China. With the OEM service of Taiwan manufacturers, supplying LED components, and the channels and brand of China lamp manufacturers, Taiwan and China may have a chance to compete with other international companies. In addition, Taiwanese firms should recognize their positions in the industry value chain. In addition to building a brand, investing in LED lamp, there’ll be a better choice to develop midstream light engines like thermal management or driver IC.

在二十一世紀中，節能已成為一個重要的議題，而在眾多的節能產品之中發光二極體的發展更是為全世界所注意。本研究有鑑於台灣於發光二極體產業之產值目前已經居於全球第二名，僅次於第一名的日本，嚐試進一步分析台灣於LED產業的技術面以及管理面有何優缺點，並試圖給予進一步的建議。本研究依據發光二極體的產業鏈位置、公司成立時間以及規模等因素挑選了四間具有代表性的公司進行個案公司的相關專利佈局分析以及探討。在本研究最後的研究結論分別針對市場面、技術面以及智慧財產經營管理面做出結論，研究中發現多數廠商有事業策略落後專利佈局以及佈局範圍不夠廣泛的問題。而相對於以上所提及之研究結論，本研究也進一步做出建議：在公司的研究發展方面應做到智慧財產的同步化、將智慧財產的概念體現於公司的組織定位中以及加強研發人員的教育訓練；在技術方面，台灣廠商應積極加入制定相關標準的組織，並在接受國外廠商授權時更要積極的同步建立自主技術及專利以提升技術層次，強化自身競爭力；在策略運用方面，台灣廠商應避免將智慧財產窄化成法律的議題、善用策略聯盟跳脫傳統代工的思維、積極的部屬而非消極的跟隨、以合作的思維替代競爭的思維以及注意分散風險的概念。 / The Light Emitting Diode (LED) has become the center of attentions from industries worldwide due to its performance in energy conservation. The value share of Taiwan’s LED industry has achieved a supreme degree only second to that of Japan. This thesis aims to analyze the merits and shortages of technical and management field of LED industries in Taiwan and to provide further suggestions. The research selects four representative companies as case studies of their patent strategies, The selection criteria includes the company’s position in the industrial chain, the age and the business scale. The thesis ascertains a fact that most industries’ patent strategy is usually restricted and falls behind their business plan. This thesis suggests the synchronization and realization of intellectual property in the R&D through organization assemble and personnel training. Taiwan industries should expand the content of IP management other than legal issues, well utilize strategic alliance, transcend old-fashioned OEM management thinking, adopt the role of an active agent instead of a passive follower, collaboration instead of competition, and pay attention to diversification.