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作者姓名(中文):張晉源
作者姓名(英文):Chin-Yuan Chang
論文名稱(中文):美國專利並行IPC與CPC下的分類號差異研究
論文名稱(外文):Study on the differences between the classification symbols of US patents under parallel IPC and CPC systems
指導教授姓名(中文):管中徽
指導教授姓名(英文):Chung-Huei Kuan
口試委員姓名(中文):劉國讚
蘇威年
口試委員姓名(英文):Kuo-Tsan Liu
Wei-Nien Su
學位類別:碩士
校院名稱:國立臺灣科技大學
系所名稱:專利研究所
學號:m10624008
出版年(民國):108
畢業學年度:107
學期:2
語文別:中文
論文頁數:81
中文關鍵詞:國際專利分類合作專利分類專利分析分類號分析
外文關鍵詞:International patent classificationCooperative patent classificationPatent analysisClassification symbols analysis
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自2015年起,歐洲專利局(EPO)與美國專利商標局(USPTO)分別放棄了各自使用的歐洲專利分類(ELCA)與美國專利分類(USPC),開始採用一套新的分類架構─合作專利分類(CPC),但仍同步提供目前最多國家使用的國際專利分類(IPC)分類號。有鑑於專利分析者常以美國專利、以及其IPC分類號作為技術分析的基礎,本研究主要目的係比較美國專利現行的兩套專利分類系統下二者的差異程度。

因此,本研究收集了美國專利商標局於2017年公告的318,829件發明專利,依據實務的專利分類號分析方式,比較這些發明專利的IPC與CPC分類號的三階、四階、乃至五階以下階層的差異。本研究發現,將分類號簡化到其三階或四階部分時,IPC與CPC分類號其實有一定的差異,這表示進行美國專利分析時,區別以IPC或CPC分類號為標的是有意義的。

而本研究也進一步發現,CPC雖然有較IPC為多的三階與四階分類號,但採取三階或四階不同的IPC、CPC分類號時,CPC反而有比IPC集中的現象。因此實務的專利分類號分析,如採高階(如三階或四階)分類號者,似以採取CPC為佳。本研究的貢獻在於利用分類號進行數據挖掘與分析者,客觀地建立採用IPC或CPC分類號作為分析標的的有效性。本研究的發現可以讓其分析結果,不論是專利的檢索、技術發展趨勢的預測、技術擴散路徑的探勘等,得到更精確與可靠的結果。
Since 2015, the European Patent Office (EPO) and the United States Patent and Trademark Office (USPTO) have abandoned their respective European Patent Classification (ELCA) and US Patent Classification (USPC) and begin to adopt a new classification system-Cooperative Patent Classification (CPC), but still provide the International Patent Classification (IPC) currently used by most countries. In view of the fact that patent analysts often use US patents and IPC classification symbols as the basis for technical analysis, the main purpose of this study is to compare the differences between the two patent classification systems applied to the US patents.

Therefore, this study collects 318,829 utility patents issued by USPTO in 2017 and compares differences on the third-level, fourth-level, and fifth-level-and-below IPC and CPC classification symbols of these utility patents according to practical patent classification analysis methods. This study finds that there are certain differences between IPC and CPC classification symbols when the classification symbols are simplified to their third-level or fourth-level parts. This means that when analyzing US patents, it is meaningful to distinguish the IPC or CPC classification symbols.

Then, the study further finds that, even though CPC has more third-level and fourth-level classification symbols than IPC, but US patents on the average have more different third-level or fourth-level IPC symbols than their CPC symbols. US patents have a more centralized phenomenon in terms of their CPC symbols than their IPC symbols. Therefore, it seems that, for the analysis of the patent classification symbols, CPC seems to be a better choice for higher-level classification symbols. The contribution of this study lies in that it provides an objective assessment on the validity of IPC or CPC classification symbols when conducting patent data mining and analysis. The findings of this study may help technology analyses, whether they are about patent search, prediction of technology development trends, and exploration of technology diffusion paths, to obtain more accurate and reliable results.
指導教授推薦書 I
學位考試委員審定書 II
致謝 III
中文摘要 IV
ABSTRACT V
目錄 VI
圖目錄 VIII
表目錄 IX
1、緒論 1
1.1研究背景 1
1.2研究方法 4
1.3研究架構 7
2、文獻探討 9
2.1美國專利商標局專利文獻分類系統 9
2.1.1美國專利分類號 9
2.1.2國際專利分類號 11
2.1.3合作專利分類號 14
2.2專利分類號的分析運用 17
2.3專利分類號的常用比對 24
3、資料分析 26
3.1資料來源與處理 26
3.2資料概況 32
3.3比對分類號系統的方式 35
4、分析結果 38
4.1專利不同分類號賦予數量 38
4.1.1分類號賦予個數比對 38
4.1.2分類號技術廣度比對 42
4.2專利分類號賦予相似度 43
4.2.1分類號技術領域比對 43
4.2.2分類號Jaccard係數比對 45
5、結論 51
5.1結論與貢獻 51
5.2未來方向 53
參考文獻 55
中文部分 55
英文部分 56
網頁部分 58
附錄一IPC分類號檔案遺漏的專利文獻公告號 59
附錄二CPC分類號檔案遺漏的專利文獻公告號 67
附錄三JACCARD係數=1之各領域所占比例 71
附錄四JACCARD係數=0之各領域所占比例 71
中文部分
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朱新超、霍翠婷、劉會景(2013),合作专利分类系统(CPC)与传统专利分类系统的比较分析。数字图书馆论坛,2013,(9),38-44。
吳杉堯、蕭智介(2012),從專利分析的觀點探討台灣高爾夫球具產業之發展趨勢。全球商業經營管理學報,2076-9474,頁83-94。來源http://libwri.nhu.edu.tw:8081/Ejournal/AY04000407.pdf
吳忠祐(2018),OLED與QLED專利技術分析(未出版之碩士論文)。私立高苑科技大學,高雄。
林展逸(2014),專利公開案與其對應公告案之專利分類號差異研究(未出版之碩士論文)。國立臺灣科技大學,台北。
周永銘(2006),應用專利分類號於專利技術叢集化之研究(未出版之碩士論文)。國立臺灣大學,台北。
許旭昇(2005),專利組合分析方法之建構─以磁阻性隨機存取記憶體為例(未出版之碩士論文)。私立真理大學,台北。
張瑞芬、張力元、吳俊逸、樊晉源(2013),《專利分析與智慧財產管理:以資訊技術與知識管理方法為手段》。台灣:華泰文化。
陳達仁、黃慕萱(2008),〈以美國專利衡量亞洲四小龍及中國的創新能力〉,財團法人磬安智慧財產教育基金會(編),《智慧財產的機會與挑戰:智慧財產的創造、保護與管理:劉江彬教授榮退論文集》,頁139-175,台北:磬安智慧財產教育基金會。
陳達仁(2013),《專利檢索與專利分析》,4版,頁94,台北:經濟部智慧局。
楊采璇(2016),專利分類號數量與被引用數量關聯性研究(未出版之碩士論文)。國立臺灣科技大學,台北。
葉士緯、黃振榮(2017),合作專利分類(CPC)實施現況之探討與應用。智慧財產權月刊,217,5-14。
趙芸賞(2018),自動駕駛穩定系統專利分析與技術發展趨勢之研究(未出版之碩士論文)。私立中華大學,新竹。
鄭文宗、鄭博仁(2017),利用專利分析探討台灣汽車頭燈之技術發展。南榮學報,20,頁B2-4。來源http://libwri.nhu.edu.tw:8081/Ejournal/AX01002003.pdf
謝怡萱(2017),擴增實境之專利分析研究(未出版之碩士論文)。國立臺北科技大學,台北。

英文部分
Ardito, L., Adda, D.D., & Petruzzelli, A.M. (2018). Mapping innovation dynamics in the Internet of Things domain: Evidence from patent analysis. Technological Forecasting and Social Change, 136, 317-330.
Borgstedt, P., Neyer, B., & Schewe, G. (2017). Paving the road to electric vehicles – A patent analysis of the automotive supply industry. Journal of Cleaner Production, 167, 75-87.
Chen, Y.-L., & Chiu, Y.-T. (2013). Cross-language patent matching via an international patent
classification-based concept bridge. Journal of Information Science, 39, 737-753.
Chang, W.C., Trappey, C.V., Trappey, J.C., & Wu, C.-Y. (2014). Forecasting dental implant technologies using patent analysis. Proceedings of PICMET '14 Conference: Portland International Center for Management of Engineering and Technology; Infrastructure and Service Integration, Japan.
Cheng, S.-S., Chang, Y.-H., & Wu, C.-M. (2014). Patent map of X-ray medical image US and worldwide patent analysis. Proceedings of the 2014 IEEE 18th International Conference on Computer Supported Cooperative Work in Design (CSCWD), Taiwan.
Ernst, H. (2003). Patent information for strategic technology management. World patent information, 25(3), 233-242.
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EPO, & USPTO. (2017). Guide to the CPC. Retrieved from http://www.cooperativepatentclassification.org/publications/GuideToTheCPC.pdf.
Jaffe, A.B. (1989). Characterizing the “technological position” of firms, with application to quantifying technological opportunity and research spillovers. Research Policy, 18, 87-97.
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Kroll, H. (2016). Exploring pathways of regional technological development in China through patent analysis. World Patent Information, 46, 74-86.
Korobkin, D.M., Fomenkov, S.A., & Kolesnikov, S.G. (2016). A Function-Based Patent Analysis for Support of Technical Solutions Synthesis. 2016 2nd International Conference on Industrial Engineering, Applications and Manufacturing (ICIEAM), Russia.
Kyebambe, M.N., Cheng, G., Huang, Y., He, C., & Zhang, Z. (2017). Forecasting emerging technologies: A supervised learning approach through patent analysis. Technological Forecasting and Social Change, 125, 236-244.
Kogler, D.F., Heimeriks, G., & Leydesdorff, L. (2018). Patent Portfolio Analysis of Cities: Statistics and Maps of Technological Inventiveness. European Planning Studies, 26(11).
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Liu, H.-Z., Bao, H., & Xu, D. (2011). CONCEPT VECTOR FOR SIMILARITY MEASUREMENT BASED ON HIERARCHICAL DOMAIN STRUCTURE. Computing and Informatics, 30, 881-900.
Leydesdorff, L., Kushnir, D., & Rafols, I. (2014). Interactive overlay maps for US patent (USPTO) data based on International Patent Classification (IPC). Scientometrics, 98(3), 1583-1599.
Leydesdorff, L. (2015). Can technology life-cycles be indicated by diversity in patent classifications? The crucial role of variety. Scientometrics, 105(3), 1441–1451.
Leydesdorff, L., Kogler, D.F., & Yan, B. (2017). Mapping patent classifications: portfolio and statistical analysis, and the comparison of strengths and weaknesses. Scientometrics, 112(3), 1573-1591.
Mogee, M. (1991). Using patent data for technology analysis and planning. Research-Technology Management, 34, 43-49.
Manjula Shenoy K, Shet, K.C., & Acharya, U.D. (2012). A NEW SIMILARITY MEASURE FOR TAXONOMY BASED ON EDGE COUNTING. International Journal of Web & Semantic Technology (IJWesT), 3(4).
Moehrle, M.G., & Caferoglu, H. (2018). Technological speciation as a source for emerging technologies. Using semantic patent analysis for the case of camera technology. Technological Forecasting and Social Change.
Okada, Y., & Nagaoka, S. (2015). Effects of early patent disclosure on knowledge dissemination: evidence from the pre-grant publication system introduced in the United States: Institute of Innovation Research, Hitotsubashi University.
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Wikipedia. (2018). Jaccard index. Retrieved from https://en.wikipedia.org/wiki/Jaccard_index.

網頁部分
EPO Cooperative Patent Classification。網址http://www.cooperativepatentclassification.org/index.html
USPTO Patents View。網址http://www.patentsview.org/download/
USPTO Bulk Data Storage System。網址https://bulkdata.uspto.gov/
WIPO International Patent Classification。網址http://www.wipo.int/classifications/ipc/en/
 
 
 
 
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