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研究生： 林凱斌
Kai-Pin Lin
論文名稱： 專利資訊與專利維護之實證分析-以太陽能電能轉換技術為例
An Empirical Study on Patent Information and Patent Renewal: The Case of Photovoltaic Technology
指導教授： 陳忠榮
Jong-Rong Chen
口試委員:
學位類別： 碩士
Master
系所名稱： 管理學院 - 產業經濟研究所
Graduate Institute of Industrial Economics
畢業學年度： 96
語文別： 中文
論文頁數： 60
中文關鍵詞： Ordered Probit Model 、太陽能 、技術發展定位 、專利引證 、專利資訊 、專利維護
外文關鍵詞： Ordered Probit Model, solar power, patent renewal, technological impact, technological position, patent citation, patent information, patent duration, photovoltaic
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    • 研發活動是技術變遷或進步的主要動力，研發成果則具體地表現於專利之內，研究專利以及各項專利所衍生的資訊，對專利所有權人而言，有助於衡量專利的技術價值，進而評估專利的存續價值，作為是否維持專利效力的決策考量，而對專利的外部人來說，則可以藉此了解技術內容，有助知識的擴散以及科技的結合，避免侵犯他人權利和重覆投資研發相同之技術，防止資源浪費；研究特定廠商所擁有或特定技術領域內之專利，可解析廠商的技術能力及相對比較優勢，結合專利資訊輔助分析，則可觀察不同專利佈局或技術定位的廠商，所呈現不同的專利維護行為。
    專利資訊係由各種與專利有關的資料組成，包括特定專利的引證及被引證關係、專利維護紀錄、專利家族、專利權人國籍等；過去一般研究著重於直接運用專利統計(patent statistic)和可量化之專利資訊做為研究專利維護機率的影響因子，甚少將專利資訊根據廠商整體技術能力或產業面的角度切入，做為分析專利維護的影響因子。因此，本研究擬運用技術計量指標(technometric indicators)來衡量特定產業內廠商「於不同技術類別的相對發展傾向」以及其在產業內的「技術衝擊態勢」，前者係以廠商所獲得的專利數為基礎，為廠商可自主發起的範疇，視為廠商層面由專利屬量(quantity-based)資料所轉化而得的專利資訊影響因子，並以專利相對優勢(Revealed Patent Advantage, RPA)為代表，後者則由廠商專利被引證次數轉化而來，被引證次數為專利對未來產業的影響(impact)觀察指標，專利被引證相對優勢(Revealed Patent Forward Citation Advantage, RPCA )，可視為產業層面由專利屬質(quality-based)資料所轉化而得的專利資訊影響因子；經由分別將此兩種廠商面以及產業面的相對偏重強弱指標與傳統專利層面的資訊結合，研究專利維護的影響變數及其影響程度和顯著性。
    本研究避免僅利用專利引證資訊或其他專利層面的可量化資訊，作為預測專利存續期間的方法，所可能造成的偏誤與邏輯不完整，兼顧考量廠商層面與產業層面的特徵，將原本由圍繞著專利所觀察出來的專利資訊，屬於「點」的資料，擴大到廠商本身技術專利佈局偏好或優勢的分析，構成屬於廠商內部「線」的訊息，輔以廠商實質對產業的相對影響力分析，將之視為廠商外部完整「面」的訊息，藉由將資料依時間先後分期，希冀能夠完成具考量時間因素的「立體」研究模型。
    本研究之價值在於超越一般僅著重專利層面之變因的先前研究，結合廠商技術發展面相對差異之變因，以及產業面所呈現的影響力資訊，探討各種專利資訊及廠商技術定位對專利維護決策結果之影響，俾利企業或產業界從廠商內部或外部，評估技術發展方針及專利佈局或維護決策。

    Research and development, R&D, is one of the most vital strategies that firms have to make nowadays. Patents are generally regarded as the accomplishments of R&D activities. A patent provides the right to exclude others from utilizing the patented invention and hence creates a legal monopoly.
    Patent information is obtained from patent documents. It includes patent forward citation, backward citation, patent family, assignee’s nationality and etc. Patenting decisions made by the assignee form the characteristics of a firm’s technological positioning profile, which is described by calculating the relative technological or patent advantages in specific areas. Patent citation is required by the patent office before a patent is granted in order to check that the innovation is new. Besides patents granted, citations to patents symbolize the impacts of the firm on the industries.
    The research analyzed the effects of basic patent information, firm level evaluation of technological positions, and industry level of technological impacts upon patent maintenance decision. It is demonstrated that patents owned by firms of higher relative competitiveness in the early stage survive longer than other patents do. It is also found that firms with higher industry influence tend to be more likely to renew their patents.

    第一章 緒論 第一節 研究動機與目的……………………………………………1 第二節 研究方法與資料來源………………………………………2 第三節 本文架構……………………………………………………5 第二章 文獻回顧 第一節 專利資訊與專利計量學之應用……………………………7 2.1.1 專利與專利資訊的內………………………………………7 2.1.2 專利計量學之應用………………………………………10 2.1.3 本研究擬採用之專利資訊………………………………12 2.1.4 相關文獻回顧……………………………………………15 第二節 廠商研究發展與專利……………………………………16 2.2.1 研究發展之定義與目的………… ………………………17 2.2.2.研究發展與專利…………………………………………18 第三節 專利計量指標與廠商技術定位…………………………20 2.3.1 專利組合與專利計數之技術定位方法…………………20 2.3.1.1 取得專利的動機………………………………………20 2.3.1.2 廠商技術定位方法……………………………………22 2.3.2 產業衝擊與專利被引證計數之產業影響力衡量方法…23 2.3.2.1 專利被引證與技術衝擊………………………………23 2.3.2.2 廠商之產業衝擊衡量方法……………………………24 第四節 專利維護決策與機率……………………………………25 2.4.1 探討影響專利維護次數的決定因子……………………26 2.4.2 以專利維護次數為自變數之研究………………………28 2.4.3 專利制度之設計…………………………………………29 第三章 模型設定與變數說明 第一節 專利維護機率模型………………………………………31 第二節 技術計量指標……………………………………………34 3.2.1 專利個數與廠商技術定位………………………………35 3.2.2 專利引證與產業相對影響力……………………………36 第三節 樣本資料分析……………………………………………37 3.3.1 資料來源…………………………………………………37 3.3.2 變數說明………………………………………………38 第四章 實證分析 第一節 專利維護機率模型之實證………………………………41 4.1.1 專利資訊影響因子之實證………………………………41 第二節 技術計量指標與專利維護………………………………44 4.2.1 廠商技術定位之實證……………………………………44 4.2.2 產業相對影響力之實證…………………………………47 第五章 結論 第一節 研究結論…………………………………………………50 5.1.1 從專利層面………………………………………………50 5.1.2 廠商層面…………………………………………………51 5.1.3 產業層面…………………………………………………52 第二節 研究限制與未來研究方向………………………………52 參考文獻 中文部分………………………………………………………………54 英文部分………………………………………………………………55

    中文部分
    一、工業技術研究院電腦與通訊工業研究所，法務智權園地，民國88年。
    二、林螢瑄，薄膜電晶體液晶顯示器相關技術之專利計量研究，未出版碩士學位論文摘要，國立台灣大學圖書資訊學研究所，民國93年。
    三、吳幸枝，運用專利分析方法建構技術創新能力評量模型，未出版碩士學位論文，元智大學企業管理研究所，民國93年。
    四、陳達仁，黃慕萱，專利資訊與專利檢索，pp.13及pp.27-34，文華圖書，台北市，民國93年。
    五、楊志海，技術來源、創新與生產力，國立中央大學產業經濟研究所，博士論文，民國88年。
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