專利公告案從提出申請到核准公告需要冗長的時間，因此使用專利公告案進行的專利分類號分析所反映的是有相當長的時間差距前的研發活動，然而若使用專利公開案來進行專利分類號分析，則時間差距將縮短到早期公開的18個月。但是專利公開案的專利分類號與其對應公告案的分類號不一定相同，所以使用專利公開案來進行專利分類號分析，時間差距雖然縮短，但其結果未必可以信賴。本研究因此比對2012年所有美國發明公告案與其對應公開案的Current USPC分類號，並以三種專利分類號分析的方式檢驗二者之間的差異程度為何：(1)只考慮主分類號中的主類號、(2)只考慮主分類號、(3)考慮所有分類號而且不區別權重。本研究獲得結論如下：只有採用主分類號中的主類號來作的分類號分析比較適合專利公開案，因為專利公開案與其對應的公告案主分類號中的主類號相同件數的比例最高（77.89%）。另外二者都並不適合，因為專利公開案與其對應的公告案的主分類號相同者只有36.42%，而所有分類號一起比對的話，則專利公開案與其對應的公告案的分類號集合相同者更低到只有6.37%。對於第三種分類號分析方式，本研究進一步發現專利公開案與其對應的公告案的分類號集合完全不同者有38.30%、公開案分類號集合包含於公告案分類集合者有26.84%、公告案分類號集合包含於公開案分類號集合者有4.55%、專利公開案與其對應的公告案的分類號集合有交集者有23.95%。

Most analyses are conducted using issued patents as subjects. However, these patents are granted after lengthy examination processes. Therefore, analytic results from the granted patents actually reflect the research activities exercised a long time ago. To reduce the above-described time delay, the only possible way is to use the so-called pre-grant publications that are open to public 18 months after the applications are filed. The pre-grant publications and their granted patents are both assigned classification symbols representing the technical fields to which the applications belong. Pre-grant publications therefore can be the subjects for the so-called patent classification analysis, which is a quite common and also important analytic method. The classification symbols assigned to pre-grant publications and their granted patent may very possibly be different. If the two are very different, using patent classification analysis on pre-grant publications to observe the research activities may be dubious. Yet if the differences are ignorable, the analytic result from using patent classification analysis on pre-grant publications may accurately reflect the research activities happening 18 months ago.
This study compares the Current United States Patent Classification codes assigned to United States utility patents issued in 2012 and their pre-grant publications in three ways: (1) considering only the class code of primary classification; (2) considering only the primary classification code; and (3) considering all classification codes without discrimination. The study finds that only (1) considering only the class code of primary classification is more appropriate for patent classification analysis using pre-grant publications as there are 77.89% of the issued patents have the same class codes as their corresponding pre-grant publications. As to (2) considering only the primary classification code, the ratio drops significantly to 36.42%. As to (3) considering all classification codes, the study further classified the comparison results into five categories: (a) there are only 6.37% of the issued patents whose sets of classification codes are identical to those of the corresponding pre-grant publications, (b) there are 38.30% of the issued patents whose sets of classification codes are entirely different from those of the corresponding pre-grant publications, (c) there are 26.84% of the issued patents whose sets of classification codes contains those of the corresponding pre-grant publications, (d) there are 4.55%% of the issued patents whose sets of classification codes are contained in those of the corresponding pre-grant publications, and (e) there are 23.95% of the issued patents whose sets of classification codes have non-empty intersection with those of the corresponding pre-grant publications.

指導教授推薦書I
學位考試委員審定書II
中文摘要III
ABSTRACTIV
誌謝VI
目錄VII
圖表索引IX
第一章 緒論1
第一節 研究背景1
第二節 研究方法6
第三節 論文架構11
第二章 文獻探討13
第一節 介紹美國專利分類號13
第二節 運用專利分類號的分析方式16
第三節 比對專利分類號的方式24
第一項 比較二個專利分類號的相似程度24
第二項 比較二件專利的相似程度28
第三項 比較二個專利組合的相似程度30
第三章 分析方法32
第一節 數據來源與處理過程32
第二節 數據概況36
第三節 比對CURRENT USPC分類號的方式40
第四章 研究結果47
第一節 比較主分類號中的主類號47
第二節 比較主分類號52
第三節 比較所有分類號53
第五章 結論57
第一節 研究總結57
第二節 研究成果的應用方向58
第三節 未來研究方向59
參考文獻61
中文部份61
英文部份62
附錄 439個主類號於234,966件專利公開案的相關件數與錯誤率66
授權書77

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