書目計量的發展有助於人們掌握知識進展，其中的評價指標不僅給予被評價者一個定位，並有供評價者調整策略的功能，也協助社會分配資源。而在評價指標中，又有一種利用被評價者表現突出的部分來進行評價活動者，此類型稱做「菁英群」的評價方式，如h指標即屬此類。然而，菁英群概念應用於評價卻少見於專利資訊計量中。因此本研究透過文獻回顧的方式整理菁英群概念應用於評價的基礎，再透過蒐集、分類相關指標的方式提出觀察菁英群指標的架構，方便日後應用。首先，在文獻中我們認識到專利資訊的分布不僅同書目資訊具有分布扭曲（skewed）的特性，相關文獻更指出在專利資訊的分布狀態更為扭曲，這個特徵正是菁英群概念所以提出的重要基礎，因而我們認為源於書目計量的菁英群概念將同樣適合應用於專利權人評價。接著，本研究有系統地對菁英群概念相關指標進行回顧與整理。對於菁英群指標，本研究發現可以用篩選菁英的門檻、評價菁英群的方式分別觀察，在此架構下，本研究又將篩選門檻的設計依相似性分為三種：絕對、相對、h指標；而另一方面，評價方式則可分為兩種：個別性、總體性。除此之外，本研究再對近年受h指標啟發而發展迅速的h型指標進行回顧。在h型指標中同樣依據門檻、評價方式的架構，本研究分之為三類h型指標。第一類利用h指標的門檻結合不同的評價方式、第二類在h指標門檻的啟發上創造了新門檻，並利用新門檻結合的不同評價方式、而第三類則已不屬於菁英群指標。最後，本研究將篩選門檻、評價方式此架構為兩軸至繪製成可以監控菁英群相關指標發展的矩陣圖，我們稱之為門檻—評價方式矩陣，我們發現此矩陣不僅能指出菁英群指標的發展，更能指引我們發現具有潛力的新式菁英群指標可能。

Bibliometric helps people in managing and monitoring progress of human intelligence, and bibliometric indicators not only provides evaluated entities information about their objective position, but also assists authorities in distributing limited social recourses. One group of indicators is based on so called “elite set concept” which evaluates entities only by their output that performs outstandingly, in which h-index serves as an example. However, the so called elite set concept is rarely seen being applied within patent bibliometric context. Our research, therefore, by literature review, answers the possibility of applying elite set indicators within patent bibliometric context, and, by collecting, organizing elite set indicators, establishes a framework for convenient observation and comparison. First, we find the very foundation of elite set concept, skewed distribution of bibliographic, is also true when it comes to patent bibliographic distribution. Actually, the distribution of patent bibliographic could be even more skewed. In other words, elite set indicators should be applicable within patent bibliometric context. Second, we systematically review elite set indicators proposed so far, and find elite set indicators are composed of two elements: a threshold that determines elites, and a method for evaluating the found elites. These two elements give us a framework to categorize indicators into three categories by threshold definitions: absolute, relative, and h, and two categories by evaluating methods: individual, and global. In addition to these, our research also review h-type indicators that are inspired by h-index. According to our framework, h-type indicators are classified into three classes. First class contains h-type indicators that shares the same threshold with h-index but has different evaluating methods, whereas the second class includes indicators which define new thresholds that are different from h-index. As to the third class, these indicators are actually not elite set indicators. Finally, our work provides a matrix, which we name it threshold—evaluating method matrix. Using this matrix, we are not only able to observe new development of elite set indicators, but also are able to discover potential indicators yet to be designed.

指導教授推薦書………………………………………………………………………………………………I
學位考試委員審定書……………………………………………………………………………………II
中文摘要……………………………………………………………………………………………………III
ABSTRACT…………………………………………………………………………………………………IV
致謝………………………………………………………………………………………………………………V
目錄………………………………………………………………………………………………………………VI
圖表目錄……………………………………………………………………………………………………VII
第1章 概論1
第1.1節 研究背景1
第1.2節 研究方法3
第1.3節 論文架構與名詞解釋4
第2章 文獻回顧7
第2.1節 菁英群概念與專利計量應用7
第2.2節 菁英群概念發展12
第2.3節 專利權人與評價計量21
第3章 菁英群指標探討25
第3.1節 菁英群指標分類25
第3.2節 篩選門檻分類26
第3.3節 評價方式分類39
第4章 h型指標探討43
第4.1節 h型指標分類43
第4.2節 第一類h型指標48
第4.3節 第二類h型指標54
第4.4節 第三類h型指標64
第5章 結論65
第5.1節 研究總結65
第5.2節 成果應用、限制與後續方向68
參考文獻70
附錄1 菁英群篩選門檻與菁英群指標對照表76
附錄2 h型指標對照表78
附錄3 以高通2898篇專利為例之門檻計算結果82

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