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創新無論在經濟成長或是企業競爭中，都扮演非常重要的角色，其中專利權又是保護創新的重要關鍵，但基於專利價值分佈呈離散且偏態的特性，企業在從事研發活動時，必須重視專利品質，以避免專利與技術貿易收支之矛盾情形。過去在專利品質的研究上，被引證次數是最有效的衡量指標，但目前作法卻僅考慮直接被引證次數，而忽略間接被引證次數，此作法造成三個問題：忽略了間接引證資料的攸關性、未考慮各個被引證次數的品質差異、未考慮引證專利的品質差異。因此，本研究以實證研究方法，探討間接被引證次數對企業價值的影響，進而評估間接引證資料於專利品質評估的應用。 本研究以在美積極從事專利活動的美國公開上市企業為樣本，期間為1980年至2002年，以二因子固定效果模型，觀察化學、電腦與通訊、電子與電機產業的創新活動對企業價值的影響。本研究有兩點重要發現：一、研發強度與專利產出效率與企業價值相關性低，甚至呈負向相關，而兼顧量與質的專利指標則與其呈現正向相關，表示研發必須值、量並重；二、間接被引證次數具有價值攸關性，且其影響力會逐層遞減，此結論不僅提供未來相關研究的重要基礎與新的研究方向，更表示在從事專利分析或專利指標設計時，需將間接引證資料納入考量。 / Innovation always plays an important role in both economic development and corporate competition, therefore patents that protect innovation are key. But because patent values are highly dispersed and skewed, corporations must focus on quality and not merely on quantity in R&D management to prevent a technology trade deficit while increasing the quantity of patents granted. Much literature has found that the number of citations received is a good proxy for patent quality. But most people only consider direct citations and ignore indirect citations in their research and practices. These people ignore three important facts: the value relevance of indirect citations, the weight difference of each citation count, and the quality dispersion of citing patents. As a result, this study utilizes empirical methods to discuss the influence of the number of indirect citations received on corporate market value and then assesses the relevance of indirect citation in patent indicators. The samples used in this study are 1,624 U.S. listed firms that have been active in applying for for patents in three areas: chemical, computer and communication, and electric and electronics between the years 1980 and 2002. This study uses two-way fixed effect model to evaluate the influence of innovation activities on corporate value. The first conclusion suggests that patent indicators based on quantity and quality has positive correlation with corporate value while R&D intensity and R&D efficiency based on patent quantity both have low correlation and sometimes even a negative correlation with corporate value. This implies that corporations must develop a R&D strategy that focus both on quantity and quality at the same time. The second conclusion confirms the value relevance of the number of indirect citations received and finds the progressively declining influence of ascending citation orders. This study not only offers an important basis and brings up new issues for future related research but also confirms that taking indirect citation data into consideration is necessary.

Evaluating claim conflicts between patents is a crucial issue in patent applications and validity allegations. Existing patent informatics tools do not relate well to the legal requirements of identifying claim conflicts; innovation theory does not address patent evaluations; and the current legal approach has weaknesses in the repeatability between cases. Therefore, a need emerges to design a scientific method for evaluating conflicts between patent claims. This thesis presents research on the topic of identifying, evaluating, and visualising patent conflicts. ‘Conflict’ is used to have the same meaning as obviousness, which is an essential legal term under the UK Patents Act 1977. Building on existing methods, this research provides a novel method called Criteria-Based Patent Mapping, for assessing claim conflicts between patents. ‘Criteria-Based’ means that this assessment uses evaluation criteria that clarify the inventive step of the patent. The source of these criteria is the well-known Theory of Inventive Problem Solving (TRIZ), which is incorporated into a statistical method of 'Patent Mapping' for evaluating and visualising differences between patent claims. The application of the new method to four case studies shows that there are differences in judging standards between the legal authorities; and also shows an average value of 52% agreement in predicting potential conflicts between patent claims. Based upon these results, the original 39 TRIZ parameters can usually be refined to about 12 criteria. The scope of this method is restricted to patents in mechanical engineering due to the relevancy of TRIZ parameters. This research transforms difficult claim-to-claim evaluations into simpler claim-to-criteria comparisons that lead to more efficient and transparent patent evaluations. Such improvements will be useful for better decision-making in patent strategy.

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Comparison of legal regulation of patents in the Czech Republic and the People's Republic of China - Abstract This thesis compares legal system of patents in Czech Republic and People's Republic of China with the focus on Patent Laws and other legislation in respective countries. The aim of this paper is to present the approach that Czech and Chinese society adopted with respect to patent law, together with its' historical evolution in both compared countries. This historical insight into the evolution of patent legislation is aimed to help the reader to understand, why certain legislation is present in national patent laws, even though both countries are members of WTO and WIPO and parties to Paris Convention for the Protection of Industrial Property. Another goal of this thesis is to compare the national patent legislation of individual patent institutes, to highlight the differences of such patent institutes and map the influence that the international treaties and international organizations have on the national patent legislation of its' respective country. Finally, this thesis will attempt to briefly introduce the Chinese system of patent enforcement and its practical application when the patentee seeks patent enforcement with Chinese authorities. This diploma thesis is divided into four chapters. The...

Cette thèse étudie empiriquement les marchés de brevets. Le Chapitre 1 étudie les transferts internationaux de propriété de brevets, par rapport aux régimes de "patent box". Ces régimes fiscaux offrent un taux de taxation réduit sur les revenus liés aux brevets. L'approche empirique du Chapitre 1 met en lumière une utilisation fiscale des marchés de brevets, et analyse ce comportement en tenant compte des caractéristiques et de la flexibilité des politiques fiscales. Le Chapitre 2 s'intéresse aux transferts de brevets essentiels à des normes, qui donnent à leurs propriétaires un large pouvoir de marché et de négociation. Ce chapitre montre l'existence et étudie deux marchés distincts pour les brevets essentiels: le marché pré-déclaration, sur lequel les entreprises échangent de nouvelles technologies, et le marché post-déclaration, sur lequel elles échangent des brevets déjà déclarés comme essentiels. Le Chapitre 3 examine l'effet de la distance géographique entre les parties contractantes sur le timing de l'accord de licence. L'analyse contrôle pour d'autres facteurs affectant le timing du contrat, et montre l'existence d'une caractéristique locale qui nuit aux arguments d'efficacité liés aux marchés de technologie. Le Chapitre 4 développe une méthode systématique pour l'analyse à grande échelle des transferts de propriété de brevets utilisant les registres européens. Cette méthode est appliquée pour effectuer une première analyse économique dans le domaine des technologies médicales. / This thesis empirically studies markets for patents.Chapter 1 investigates the international transfers of patent ownership with respect to patent box regimes, which provide advantageous tax schemes for revenues derived from patents. It provides empirical evidence on the use of markets for patents with respect to taxes, and analyses this behaviour regarding the features and the flexibility of fiscal policies.Chapter 2 studies the transfers of Standard-Essential Patents (SEPs), which give their owners large market and bargaining power. It provides empirical evidence on the existence and characteristics of two distinct markets for SEPs: the pre-declaration market, on which firms trade early technologies, and the post-declaration market, on which firms exchange already declared SEPs.Chapter 3 examines the effect of geographical distance between the contracting parties on the timing of the licensing deal. It controls for confounding factors and provides evidence on the existence of a local characteristic undermining the efficiency arguments related to markets for technology.Chapter 4 develops a systematic method for the large-scale analysis of the transfers of patent rights using European registers. It applies this method to derive novel economic evidence on the field of medical technologies.

Doctor of Philosophy / Since the 1950s, economic growth has been one of the main topics of economic discipline. In this context, the sources of economic growth have been analysed by different economic theories. These theories can be decomposed into two groups, namely modern neoclassical theory and evolutionary economic theory. In the modern neoclassical economic theory, the technological progress is considered as the main determinant of the long-run economic growth. In this regard, the sources of economic growth differences among countries are analyzed by using various types of models. In the earliest studies, it is assumed that technological progress is exogenous (Solow-Swan model). Constant returns to scale and perfectly competitive market structure assumptions are the main characteristics of these studies. After the developments in the economic theory, technological progress has been taken into account in a different way by a new line of models, namely endogenous growth models. More specifically, technological progress is endogenously determined process in these models. Contrary to the previous models, increasing returns to scale, which stem from externality and the monopolistic market structure, play a significant role in endogenous growth models. We have reached to the conclusion that, although it suffers from some weaknesses, endogenous growth model proposes a more realistic explanation for the economic growth process. In the evolutionary economic theory, technological progress is also considered as the main determinant of economic growth. However, this theory deals with empirical issues by focusing on observed facts instead of constructing theoretical models, and provides both guidance and interpretation regarding technological progress. In this theory, variables and relationships that are considered have many practical implications. In that respect, its structure is very much realistic and it avoids certain logical gaps and inconsistencies. One of the aims of this thesis is to examine developments in economic theory by focusing on technological progress. For this purpose, we compare formal and evolutionary theories. Our theoretical review reveals that both the endogenous growth models in the tradition of modern neoclassical theory, and the important insights of the evolutionary economic theory help to analyze technological progress and/or economic growth. Furthermore, this thesis aims to measure technological progress. The measurement of technological progress is vital for the nations’ development strategies and the firms’ innovation policies. In this regard, we use patent statistics as a proxy of technological progress. The empirical parts of the thesis involve a number of applications of endogenous growth theory by taking into account the propositions of modern neoclassical economic theory. In this regard, the growth rate differences across countries are examined by using the frameworks of both the modern neoclassical and evolutionary theories. The results show that both theories have reasonable power to explain why growth rate differs across countries. In addition, we conclude that patenting activities rather than R&D activities more suitably represent innovative activities. Moreover, this thesis empirically tests the knowledge generation process in the framework of endogenous growth approach. We employ the knowledge production approach for this purpose. It is found that both domestic and international stocks of knowledge as measured by granted patent statistics, R&D activities, human capital and openness measures are significant factors in explaining productivity growth. Furthermore, product variety and quality improvement dimensions of technological progress are empirically analyzed by using patent statistics. It is found that both dimensions of technological progress significantly affect creation of new technologies. Finally, the findings indicate that technological capability of Turkey is far away from other developed countries covered by this study.

Thesis (LL.M.)--University of Hong Kong, 1989. / Includes bibliographical references. Also available in print.

Numbers of persons with a higher education have inclined fast during the last dec-ades, as the University sector in Sweden has increased. This due to that the Swedish government has had a very encouraging attitude towards the Universities position for economic regional growth. The aim of this thesis is to see if there are any relationships between students at a University in a region and the number of patents that have been applied for in the same region using data taken from European patent of-fice and Statistics Sweden. Patent is one way to measure innovations, and knowledge is one of the core foundations for new innovations. Different models have been used to determine if any significant relationship between patent applications and number of people with higher education is present. The empirical findings came up with the results that numbers of people with higher education have positive relationship with University regions. The two variables, people with higher technical education and research and development at Universities also showed positive significant results, which gives support for the chosen theories in the thesis. It is hard to say that the decen-tralization of the Swedish universities have been a total success, because in the thesis results were found which shoed that the Malmö region was outstanding in terms of patent applications. In this region many different Universities and private R&D de-partments are located, together with students etc. Further research in this field has to be conducted to be able to give the policy maker better foundation for decisions.

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.