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研究生: 張文娟
Wen-Chuan Chang
論文名稱: 積層製造主要公司在美國與歐洲之專利範圍廣度分析
A Comparative Analysis of the Patent Scope of Major Additive Manufacturing Companies in the U.S. and Europe
指導教授: 劉國讚
Kuo-Tsan Liu
口試委員: 廖承威
Cheng-Wei Liao
陳億成
Yi-Cheng Chen
陳昭華
Jau-Hwa Chen
學位類別: 碩士
Master
系所名稱: 應用科技學院 - 專利研究所
Graduate Institute of Patent
論文出版年: 2023
畢業學年度: 111
語文別: 英文
論文頁數: 108
中文關鍵詞: 專利範圍專利廣度專利指標專利品質積層製造
外文關鍵詞: patent scope, patent breadth, patent indicator, patent quality, additive manufacturing
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  • 在專利文件中,請求項用於界定專利權範圍。當同一發明在不同國家申請專利時,請求項可能會依據每個國家的法規有些許不同。本研究以積層製造為技術主題,建立一個歐洲公開案的專利池;該池涵蓋了七間美國主要申請人:3D Systems、Xerox Corporation、Stratasys、Hamilton Sundstrand Corporation、Boeing Company、General Electric和United Technology Corporation。並根據Wittfoth(2019)提出的專利指標,發展一種用於計算專利權範圍的新指標,用於觀察專利權範圍變化。本研究利用上述兩個指標分析和比較七家公司的歐洲公開案和其對應之美國優先案的專利權範圍變化;觀察請求項的撰寫策略。最後,利用文獻中其他專利權範圍計算方法驗證本指標之有效性和可信度,並給予每間公司的多國專利申請請求項撰寫策略建議。

    從本研究可得出以下結論:

    1. 在積層製造產業,歐洲局及美國局的主要申請人大多是美國公司。其中,Hewlett-Packard、General Electric Company、Siemens、Boeing、Stratasys、XYZprinting和Kinpo Electronics依其申請量,在兩局排名前十。
    2. 七間公司根據本指標所計算出的美國公開案平均專利權範圍:
    Boeing Company (4.77) > General Electric (4.06) > 3D System (4.01) > United Technology Corporation (3.86) > Stratasys (3.79) > Xerox Corporation (3.73) > Hamilton Sundstrand Corporation (3.68)
    3. 七間公司根據本指標所計算出的歐洲公開案平均專利權範圍:
    Stratasys (5.07) > 3D System (4.82) > United Technology Corporation (4.48) > Boeing Company (4.3) > General Electric (3.96) > Hamilton Sundstrand Corporation (3.91) > Xerox Corporation (3.73)


    In a patent document, the claim is to designate the scope of the protection. When an invention is patented in different countries, claims might be revised to comply with the regulations of each country. A patent pool that contains EP pre-grant publications of additive manufacturing technology is built; the pool encompasses seven US main applicants: 3D System, Xerox Corporation, Stratasys, Hamilton Sundstrand Corporation, Boeing Company, General Electric, and United Technology Corporation. Based on the indicator developed by Wittfoth (2019), a new indicator that is used to measure patent scope is developed and used to observe the scope variation. These two indicators are used to analyze and compare the scope variation of seven companies’ EP publications and their US priority publications; the claim drafting strategies are observed. Finally, the result is demonstrated with the scope calculation approach in the literature to verify the validity and credibility, and the claim drafting strategy of multi-country applications for each company is suggested.
    The following conclusions can be drawn from the results of this study:
    1. In the additive manufacturing industry, the main applicants of both offices are mostly U.S. companies. Among them, Hewlett-Packard, General Electric Company, Siemens, Boeing, Stratasys, XYZprinting, and Kinpo Electronics are included in the top 10 applicants in both offices according to the number of applications.
    2. Seven companies’ average scope of US publications by the indicator of study:
    Boeing Company (4.77) > General Electric (4.06) > 3D System (4.01) > United Technology Corporation (3.86) > Stratasys (3.79) > Xerox Corporation (3.73) > Hamilton Sundstrand Corporation (3.68)
    3. Seven companies’ average scope of EP publications by the indicator of study:
    Stratasys (5.07) > 3D System (4.82) > United Technology Corporation (4.48) > Boeing Company (4.3) > General Electric (3.96) > Hamilton Sundstrand Corporation (3.91) > Xerox Corporation (3.73)

    摘要 I Abstract III Acknowledgments V Table of contents VII List of Figures XII List of Tables XVI Chapter 1 Introduction 1 1.1 Motivation 1 1.2 Technology Background 3 1.3 Literature Review 15 1.4 Methodology and Process 18 1.5 Limitation 21 Chapter 2 Data Collection and Overview of Patent Application 23 2.1 Introduction 23 2.2 Search Strategy and Scope Defining 24 2.2.1 Search Strategy 24 2.2.2 Query Defining 25 2.3 Overview of the European Patent Office 27 2.3.1 Application Trends over the Years 28 2.3.2 Analysis of Main Applicants 31 2.3.3 Analysis of IPC and CPC 36 2.4 Overview of the USPTO 38 2.4.1 Application Trends over the Years 39 2.4.2 Analysis of Main Applicants 42 2.4.3 Analysis of IPC and CPC 45 Chapter 3 Legal Framework and Indicators of Claim Scope 47 3.1 Introduction 47 3.2 Claim Formality under Legal Framework 48 3.2.1 Legislation of the EPO 49 3.2.2 Legislation of the USPTO 51 3.2.3 Summary of the Application Regulation of the EPO and the USPTO 54 3.3 Indicators of the Claim Scope 57 3.4 An Indicator to Measure the Patent Breadth 61 3.4.1 Patent Pool Building and Pre-process 62 3.4.2 Classifying Publications and Counting the Dependency Level Per Claim 63 3.4.3 Calculation of the Scope 67 Chapter 4 Calculation Result and Analysis 69 4.1 Introduction 69 4.2 Data Processing 70 4.2.1 Patent Pool Building and Pre-process 70 4.2.2 Classifying, Counting the Dependency Level Per Claim and Calculating the Scope 70 4.3 Result of the Analysis 72 4.3.1 The Comparison of the Scope 72 4.3.2 Number of Independent Claims and Total Number of Claims 76 4.3.3 Scope of the New Indicator and Total Number of the Claims 78 4.3.4 Scope by Wittfoth’s (2019) Indicator and Total Number of the Claims 79 4.3.5 Scope by Wittfoth’s (2019) Indicator and the New Indicator 81 4.3.6 Scope by the New Indicator and Number of the Independent Claims 82 Chapter 5 Conclusion 85 5.1 Findings of the Study and Suggestion 85 5.2 Future Research 88

    I. Journal paper

    [1] Campbell, I., Bourell, D., Gibson, I., (2012). Additive manufacturing: rapid prototyping comes of age. Rapid Prototyping Journal. Vol. 18 No. 4, 255-258. 10.1108/13552541211231563

    [2] Dilberoglua, U.M., Gharehpapagha, B., Yamana, U., Dolen, M. (2017). The role of additive manufacturing in the era of Industry 4.0. Procedia Manufacturing, Vol. 11, 545-554. https://doi.org/10.1016/j.promfg.2017.07.148

    [3] Kalıp, N.G., Erzurumlu, Y.Ö., Gün, N.A. (2022). Qualitative and quantitative patent valuation methods: A systematic literature review. World Patent Information, Vol. 69. https://doi.org/10.1016/j.wpi.2022.102111

    [4] Kuhn, J.M., Thompson, N.C. (2019). How to Measure and Draw Causal Inferences with Patent Scope. International Journal of the Economics of Business, Vol. 26(1), 5-38. 10.1080/13571516.2018.1553284

    [5] Lanjouw, J.O., Schankerman, M. (1997). Stylized Facts of Patent Litigation: Value, Scope and Ownership. NBER Working Paper 6297. 10.3386/w6297

    [6] Lefstin, J. (2008). The formal structure of patent law and the limits of enablement. Berkeley Technology Law Journal, Vol. 23, No. 4, 1141-1225.

    [7] Lerner, J. (1994). The Importance of Patent Scope: An Empirical Analysis. The RAND Journal of Economics, Vol. 25, No. 2. https://doi.org/10.2307/2555833

    [8] Lim, JS., Oh, WJ., Lee, CM., Kim, DH. (2021). Selection of effective manufacturing conditions for directed energy deposition process using machine learning methods. Scientific Reports, 11, 24169. https://doi.org/10.1038/s41598-021-03622-z

    [9] Liu, KT., Lin, HT. (2014). A Study on the relationship between technical development and fundamental patents based on US granted patents. European International Journal of Science and Technology, Vol. 3 No. 7

    [10] Rieder, H., Dillhöfer, A., Spies, Martin., Bamberg, J., Hess, T. (2015). Ultrasonic online monitoring of additive manufacturing processes based on selective laser melting. AIP Conference Proceedings, 1650 (1): 184–191. https://doi.org/10.1063/1.4914609
    [11] Marco, A.C., Sarnoff, J.D., deGrazia, C. (2016). Patent Claims and Patent Scope. Research Policy, Vol. 48, Issue 9. 10.1016/j.respol.2019.04.014.

    [12] Shah, J., Snider, B., Clarke, T., Kozutsky, S. Lacki, M., Hosseini, A. (2019). Large-scale 3D printers for additive manufacturing: design considerations and challenges. The International Journal of Advanced Manufacturing Technology, 104(2):1-15. 10.1007/s00170-019-04074-6

    [13] Sireesha, M., Lee, J., Kiran, S.K., Babu, V.J., Bernard, B.T., Ramakrishna, S. (2018). A review on additive manufacturing and its way into the oil and gas industry. Royal society of chemistry, 8(40):22460-22468. 10.1039/c8ra03194k

    [14] Wittfoth, S. (2019). Measuring technological patent scope by semantic analysis of patent claims – An indicator for valuating patents. World Patent Information, Volume 58. https://doi.org/10.1016/j.wpi.2019.101906

    II. Magazine

    [1] 張敏雄(2014年5月)。積層製造產品之機械強度及檢測標準簡介。機械工業雜誌,374,11-12。

    III. Book

    [1] Gibson, I., Rosen, D., Stucker, B. & Khorasani M. (2020). Binder Jetting. Additive Manufacturing Technologies (pp. 237-252). Springer New York.

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