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題名 間接引證資料於專利指標的運用─間接被引證次數對企業價值影響之研究
Relevance of indirect citation in patent indicators – The influence of the number of indirect citations received on corporate market value
作者 陳穎重
Chen, Geoffrey
貢獻者 劉江彬<br>蘇瓜藤
陳穎重
Chen, Geoffrey
關鍵詞 專利
專利指標
專利價值
專利品質
間接引證
patent
patent indicator
patent value
patent quality
indirect citation
日期 2008
上傳時間 18-九月-2009 09:32:12 (UTC+8)
摘要 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.
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描述 碩士
國立政治大學
科技管理研究所
95359007
97
資料來源 http://thesis.lib.nccu.edu.tw/record/#G0095359007
資料類型 thesis
dc.contributor.advisor 劉江彬<br>蘇瓜藤zh_TW
dc.contributor.author (作者) 陳穎重zh_TW
dc.contributor.author (作者) Chen, Geoffreyen_US
dc.creator (作者) 陳穎重zh_TW
dc.creator (作者) Chen, Geoffreyen_US
dc.date (日期) 2008en_US
dc.date.accessioned 18-九月-2009 09:32:12 (UTC+8)-
dc.date.available 18-九月-2009 09:32:12 (UTC+8)-
dc.date.issued (上傳時間) 18-九月-2009 09:32:12 (UTC+8)-
dc.identifier (其他 識別碼) G0095359007en_US
dc.identifier.uri (URI) https://nccur.lib.nccu.edu.tw/handle/140.119/34350-
dc.description (描述) 碩士zh_TW
dc.description (描述) 國立政治大學zh_TW
dc.description (描述) 科技管理研究所zh_TW
dc.description (描述) 95359007zh_TW
dc.description (描述) 97zh_TW
dc.description.abstract (摘要) 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。		zh_TW
dc.description.abstract (摘要) 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.		en_US
dc.description.tableofcontents 第一章 緒論 - 1 -
第一節 研究背景 - 1 -
壹、 創新與專利活動劇增 - 1 -
貳、 專利與技術貿易收支之矛盾 - 2 -
參、 由量變轉為質變 - 4 -
肆、 專利交易日趨重要 - 4 -
第二節 研究觀察與動機 - 6 -
第三節 研究目的與問題 - 9 -
第四節 研究流程 - 10 -
第二章 文獻回顧 - 12 -
第一節 專利特性、專利資訊、專利檢索與分析 - 12 -
壹、 專利定義與專利要件 - 12 -
貳、 專利資訊的定義、特性、重要性 - 13 -
參、 專利資訊的種類 - 15 -
肆、 專利檢索 - 21 -
伍、 專利分析 - 22 -
陸、 小結 - 26 -
第二節 專利價值與專利品質 - 27 -
壹、 專利價值分佈 - 27 -
貳、 專利鑑價理論與限制 - 29 -
參、 無形資產的資產特性與交易性 - 34 -
肆、 專利價值構面 - 36 -
伍、 小結 - 42 -
第三節 創新活動評估指標與專利引證分析 - 44 -
壹、 研發支出基礎的創新活動評估指標 - 44 -
貳、 專利數量基礎的創新活動評估指標 - 46 -
參、 專利被引證次數基礎的創新活動評估指標 - 48 -
肆、 被引證資料的特性與限制 - 52 -
伍、 小結 - 56 -
第四節 專利指標 - 57 -
壹、 引證資料基礎的專利指標 - 57 -
貳、 非引證資料基礎的專利指標 - 64 -
參、 專利指標應用實例 - 66 -
肆、 僅考量直接被引證次數的問題 - 70 -
伍、 考量間接引證的專利指標 - 72 -
陸、 小結 - 76 -
第三章 研究設計 - 77 -
第一節 研究架構 - 77 -
第二節 研究假說 - 78 -
壹、 研發投入程度、專利產出效率對企業價值的關係 - 78 -
貳、 考量第一層被引證次數的專利指標之攸關性 - 78 -
參、 考量至第二層被引證次數的專利指標之攸關性 - 79 -
肆、 考量至第三層被引證次數的專利指標之攸關性 - 79 -
伍、 考量至第四層被引證次數的專利指標之攸關性 - 79 -
陸、 考量至第五層被引證次數的專利指標之攸關性 - 80 -
柒、 考量全部層數被引證次數的專利指標之攸關性 - 80 -
第三節 研究模型 - 82 -
壹、 Griliches(1981) - 82 -
貳、 Ohlson(1995) - 83 -
參、 本研究模型設定 - 84 -
第四節 資料來源 - 85 -
壹、 Tech-Line® Database - 85 -
貳、 The NBER U.S. Patent Citations Data File - 85 -
第五節 樣本設計 - 88 -
第六節 研究模型與變數定義 - 91 -
壹、 基礎模型 - 91 -
貳、 加入考慮至第X層被引證次數專利指標模型 - 92 -
第七節 統計方法 - 95 -
第四章 實證研究結果 - 97 -
第一節 1980年至2002年間創新活動發展 - 97 -
壹、 研發支出與研發強度 - 97 -
貳、 專利核准數與專利產出效率 - 98 -
參、 平均被引證次數 - 98 -
第二節 敘述統計分析 - 100 -
第三節 研發投入程度、專利產出效率對企業價值的關係 - 102 -
第四節 考量第一層被引證次數的專利指標之攸關性 - 104 -
第五節 考量至第二層被引證次數的專利指標之攸關性 - 106 -
第六節 考量至第三層被引證次數的專利指標之攸關性 - 108 -
第七節 考量至第四層被引證次數的專利指標之攸關性 - 110 -
第八節 考量至第五層被引證次數的專利指標之攸關性 - 112 -
第九節 考量所有層數被引證次數的專利指標之攸關性 - 114 -
第十節 過去五年被引證資料之敏感性分析 - 116 -
第五章 結論與建議 - 119 -
第一節 研究結論 - 119 -
壹、 研發活動與專利活動日趨重要 - 120 -
貳、 創新活動指標具有產業相依的特性 - 120 -
參、 平均被引證次數之差異隨層數增加而變大 - 121 -
肆、 研發強度對企業價值的影響不顯著 - 121 -
伍、 專利產出效率對企業價值為負向相關 - 121 -
陸、 兼顧值與量的專利指標對企業價值為正向相關 - 121 -
柒、 直接被引證次數具有價值攸關性 - 122 -
捌、 間接被引證次數具有價值攸關性 - 122 -
第二節 理論貢獻與實務意涵 - 123 -
壹、 理論貢獻 - 123 -
貳、 實務意涵 - 123 -
第三節 研究限制與建議 - 125 -
參考文獻 - 127 -
附錄一 美國第6,923,014號專利公報全文 - 137 -
附錄二 美國第5,896,126號專利的PF/i專利報告 - 141 -
附錄三 技術領域分類與美國專利分類號對照表 - 147 -
附錄四 本研究之樣本企業與其樣本數 - 149 -		zh_TW
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dc.language.iso en_US-
dc.source.uri (資料來源) http://thesis.lib.nccu.edu.tw/record/#G0095359007en_US
dc.subject (關鍵詞) 專利zh_TW
dc.subject (關鍵詞) 專利指標zh_TW
dc.subject (關鍵詞) 專利價值zh_TW
dc.subject (關鍵詞) 專利品質zh_TW
dc.subject (關鍵詞) 間接引證zh_TW
dc.subject (關鍵詞) patenten_US
dc.subject (關鍵詞) patent indicatoren_US
dc.subject (關鍵詞) patent valueen_US
dc.subject (關鍵詞) patent qualityen_US
dc.subject (關鍵詞) indirect citationen_US
dc.title (題名) 間接引證資料於專利指標的運用─間接被引證次數對企業價值影響之研究zh_TW
dc.title (題名) Relevance of indirect citation in patent indicators – The influence of the number of indirect citations received on corporate market valueen_US
dc.type (資料類型) thesisen
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