專利檢索與分析對於企業、研發機構、學術單位等等不同性質的專利權人，在智慧財產經營與管理上扮演著決策參考的重要角色，由於目前存在著許多似是而非的方法與理論，透過適當的檢索方法及分析架構、利用方便的工具進行專利檢索，應用實際的方法進行專利分析，將技術與專利佈署的靜態資訊，授權、訴訟、轉讓、設質等動態資訊這些龐大資料轉化成具有結構化、系統化的統計資料，藉以分析專利權人佈署專利的軌跡，並且提供作為商業決策之參考的分析流程更顯出相當程度的困難，這些種種的困難點出了專利檢索與專利分析正確與客觀的重要性。 因此本研究之目的將包括以下各點： 一、檢討既有國內外專利檢索系統、專利地圖分析方法之優缺；研究國內外數個相關專利檢索系統（國內：Patent Guider、Patent Pilot，國外：Derwent、Delphion）的現況，分析界面、功能的差異，並且探討系統中對於專利分析方法的優缺。 二、檢視過去專利檢索的迷思與探討使用者對於專利分析方法的需求與期望；根據現有專利檢索系統的設計、專利檢索的方法、檢索結果的解讀，提出在整個檢索流程所引發的迷思，衍生探討使用者對於專利檢索與專利地圖的需求與期望；從不同使用者的角度探討專利檢索與專利地圖所應提供的訊息與功能，針對該些需求予以定義，並且分類、分級群組化；並從本章所研究的兩個主題綜合起來，將現狀的專利檢索迷思與使用者需求作為問題探討的重點，並試著在第四章提出檢索流程的步驟與專利分析的新方法。 三、解析專利地圖檢索流程，專利檢索的步驟與流程不外乎如下「釐清檢索的目的、界定檢索的範圍、善用檢索的工具、客觀的檢索方法、呈現檢索的結果」，先判斷使用者的需求在哪裡為出發點，並且還原產業鏈、價值鏈、供應鏈與產品、產值、地區、公司的交互關係，從中尋找深入研究或分析的目標產品、地區、公司，此時方能根據產品組合開始進行技術結構的拆解與專利的對應，若缺乏以上步驟，將會落入過去專利檢索的迷思，也達不到任何作用。 四、設計客觀的專利分析方法，提出新的報表與設計的概念及分析方法，分別界定表格的組成、不同的欄位定義、資料來源、操作界面與方式、限制條件，並且與前章所探討的使用者需求做連結，新設計的報表以產品組合、技術結構作為專利檢索的核心，利用樹狀階層關係展開產品或系統的模組、元件、結構、製程和對應的衍生技術，清楚地界定檢索標的，搜尋正確的專利資料後，還需要客觀可靠的分析方法，從使用者的需求對應設計報表所需的欄位和非專利資料來源，設定表格的定義，最後在解讀表格中數字與欄位的意義。 在檢討了過去專利檢索系統與分析的方法之後，整理出四項現有問題「專利數量迷思、數量指標公式、依賴專利分類、專利導出市場」，這些問題嚴重影響了既有的專利地圖正確性、客觀性與可行性，且本論文歸納提出五個革新「資料來源豐富化、操作界面整合化、檢索流程模組化、檢索方法彈性化、分析方法客觀化」，為了追求專利地圖能對使用者有著更為實際的幫助，應屏除過去的缺失，以嶄新的觀念與方法進行專利檢索與分析以獲得更為正確、客觀且可行性高的豐富結果。 關鍵字：專利檢索、專利分析 / The patent retrieval and the analysis acts an important character as policy-making reference in the intellectual property management regarding the enterprises, the research and development institutions, the academia and so on the other difference assignees. At present, there are many specious methods and the theories about the region. Therefore, it appears difficult to utilize an appropriate tool with an objectively analysis method for transforming static and corresponding dynamic information of patent into structured and systematized data so as to analyze patent disposition path of each assignee. What described above emphasizes the important of accurate patent retrieval and objective patent analysis. Therefore goal of the this thesis includes 4 subjects as below: First, the analysis methods of bygone patent map are studied through reviewing 4 patents retrieval system including domestic and foreign ones. I researched 4 patents retrieval systems which domestic: Patent Guider, Patent Pilot, overseas: Derwent, Delphion, and addressed differences between them by comparing each other’s present situation, data sources, user interface, functions, and so on. Second, the fallacy of the past patent retrieval procedure is inspected. According to the existing patent retrieval system design, the patent retrieval method, and how to read out from retrieval result, this thesis proposes some problems in the past patent retrieval procedure and discusses in detail the user’s demand and expectation for the patent retrieval and analysis. Third, I researched and analyzed the patent retrieval procedure so as to emit a new process. The patent retrieval procedure in steps is nothing more than as follows "sort out a clear goal, limits a reasonable scope, utilize a proper tool, adopt an objective method, present the retrieval result”. It gauges user’s demands first, then finds target products, areas, and companies to be researched and analyzed deeply later from the alternately relations of the actual industry chain, the value chain, the supply chain, the target products with their output value, different areas, and companies. Based upon the new process, the patent retrieval process and result will be clear and useful, if the technical structure of target products is expanded to find out the correspondence between patents and market information. Fourth, chapter 4 of the thesis presents an objective method for analyzing patents. This paragraph proposed new analysis forms with its data sources, definitions, user interface, and the limiting conditions within the analysis method linked to the user’s demand. The core of patent retrieval in the new analysis forms is the technical structure that is expanded as modules, components, structural technology, and process technology in a hierarchical way within the target product. After stacking out the retrieval target, the method defines every analysis forms and non-patent material using an objective and reliable way. After examined past patent retrieval system and the analysis method, the thesis reorganizes four existing questions "the fallacy of patent quantity, the quantitative index formula, the over dependence on patent classification, the patent derives the market". These questions have seriously affected accurateness, objectiveness, and the feasibility of the bygone patent map. Therefore, in order to pursue the patent map to be able to have a more actual help to the user, we should eliminate the past fallacy to carry on the patent retrieval and analysis by the brand-new idea and the method. Besides the conclusion, the thesis also inducts 5 innovations "diversifying the data sources, integrating the user interfaces, modularizing the retrieval process, the flexible retrieval method, the objective analysis method". Keywords: patent retrieval, patent analysis

本研究利用專利檢索與分析來探討靈芝產業中專利佈局情況，技術領域現況及發展重點，產業中的競爭者、合作者及廠商，以及得知靈芝於全球、區域或不同國家的產品應用情況。研究範圍以廣泛使用之靈芝（Ganoderma lucidum）及松杉靈芝（Ganoderma tsugae）為主要研究對象，分析範圍包括其子實體、菌絲體及擔孢子各部位外，亦包含其所含之各種活性成分及各類相關應用。 透過分析PCT、美國、台灣及中國大陸之靈芝相關專利，將專利件數、國際專利分類表分析（又稱為IPC分類分析）及專利權人分析等結果製成圖表並對照產業資訊後可得知：（1）韓國及中國大陸為主要的靈芝消費市場，其中中國大陸消費市場正逐年擴大，且產品種類繁多，為全球最重要的靈芝消費市場；（2）靈芝普遍以醫藥品開發及保健產品應用為最主要的技術發展方向，而醫藥品研發則以抗腫瘤及治療免疫或過敏疾病為主要治療的疾病；（3）不同國家靈芝研發領域有些許差異，美國及歐洲國家主要針對特定細胞株或特定疾病之醫藥品開發，而韓國或中國大陸則是以靈芝保健食品開發或傳統複方製劑為主要產品開發方向；（4）靈芝產業中的競爭國家有美國、日本、中國大陸及韓國；（5）台灣有數家廠商於不同國家進行專利佈局，其中中央研究院內靈芝多醣體團隊其專利產出最為亮眼，為國際上具有相當研發能力之機構；（6）台灣靈芝相關的研發能力仍優於中國大陸，專利品質較佳，故於靈芝產業中台灣廠商仍具有相當之優勢；（7）靈芝醫藥品開發之專利佈局以美國最為完整，而中國大陸則是在靈芝子實體栽種及茶代用品的專利數量較其他兩國家為多。 / This study is to explore the use of patent search and patent analysis in understanding the situation of current patent portfolio, technology mainstream development, competitors, collaborators, and their applications within the Ganaderma industry at the national, regional as well as international levels. Ganoderma lucidum and Ganoderma tsugae are the subjects in this study. The areas of investigation included different forms of fruiting bodies, mycelium, basidiospores, their active components as well as their respective applications. In this study, Ganoderma related patents in US, Taiwan, China as well as international patents under PCT (Patent Corporation Treaty) were searched and studied. By incorporating the industrial information together with visual display of the related patent information using tables and graphs, the following conclusions can be obtained: (1) Korea and China are the main consumer markets of Ganoderma in the world, especially China market is expanding every year with various categories of product; (2) the mainstream technologies are health related products such as dietary supplements and medicinal preparations for the use as antineoplastic, immunological or allergic agents; (3) Ganoderma is investigated in various fields among varous countries; for example, the focus of United States and European countries are concentrated in medicinal use of Ganoderma for specific cell line and treatment of diseases whereas China and Korea are concentrated in the dietary supplements and classical complex mixture preparation development; (4) the United States, Japan, China and Korea are the major marketers as well competitors among each other in Ganoderma industry; (5) several firms in Taiwan own patent portfolio in more than one country, and among them Academia Sinica is considered one of the best in the world; (6) the quality and strength of Taiwan patents is considered better than China; as such Taiwan Ganoderma industry should have superior capability in technology development compared to China; (7) in the field of medicinal product development and treatment of diseases, United States is the distinct leader in the patent landscape whereas China patents are concentrated in Ganoderma fruit body cultivation and their use as tea substitutes.

顯示器在日常生活中應用廣泛，未來市場發展朝向大尺寸、畫面精緻度兩方面發展，在畫面精緻度方面，目前主要發展技術有二：OLED及量子點，由於OLED尚有產品壽命短、畫面殘影、成本較高等缺點待克服，且在製程上與現今主流LCD相差甚多，因此本研究針對另一可能發展之技術－量子點進行研究，了解產業現況、技術發展趨勢，並給予台灣相關企業建議。 本研究蒐集與專利品質相關的專利量化指標－專利家族規模、申請專利範圍項數、引用專利數、被引用次數及專利年齡，並利用主成分分析法計算專利品質方程式，以針對研究範圍內的專利進行品質排序，並且蒐集專利權人相關市場及專利活動資訊。在專利分析部分將產業區分上、中、下游三區位進行分析，每一產業區位包含重點專利、重要專利權人分析，在中游部分，另進行專利權人研發專利佈局分析，以專利活動程度與專利品質兩軸向衡量市場競爭者之地位。 研究結論首先將總結如何以專利量化指標衡量專利品質，接者以專利分析結果說明量子點顯示技術整體產業發展現況，並歸納台灣企業未來策略。近年投入研究之企業、申請專利數量漸增，但目前尚無企業在此技術領域處於領導者之地位，上游企業的研發方向多是改善LED背光源各波長強度不均的問題，可加強與量子點研發製造商的合作；中游企業需注意韓國廠商大量申請專利所帶來的效果及部分專利權人專利活動程度低，然而握有高品質專利，對其他企業可能造成威脅；下游企業則須思考如何以其他關鍵技術搭配量子點顯示器，研發符合消費者需求之產品。研究最後，針對以專利量化指標進行專利品質分析的過程進行檢討，給予未來研究建議。 / Nowadays displays have wide applications in our daily life, people are looking forward to large size displays and high image performance displays. OLEDs and Quantum dots are the most important technologies which may enhance the image performance. However, OLEDs have some key disadvantages, including the high price, the motion blur and the short lifespan. Therefore, this study focused on Quantum dots. By looking into the industry and realizing the development of Quantum dots, this study gave advice to related companies in Taiwan. To measure the value of patents, we collected five quantifiable indicators of each patent－the patent age, the size of patent family, the amount of claims, forward and backward citations. Then, we calculated the weight of each indicators by Principal Component Analysis（PCA）. As the result, the value of patents were estimated. In the chapter of patent analysis, we classified patents and patentees to the upper, middle and lower stream, each category included the analysis of important patents and patentees. In the middle stream, we also analyzed the patent portfolio, according to two axis－the patent activity and the patent quality proposed by Ernst in 1998. In sum, this study found that companies invested and researched in the industry increasingly; however, there was no company at the leader position. In the upper stream, companies were improving the intensity of different wavelengths in the backlight, cooperating with quantum dot suppliers could be a good strategy for those companies. In the middle stream, Taiwan companies should pay attention on competitors locating in the high patent activity and the low patent activity but high patent quality. In the lower stream, products disposed quantum dots should also fit in needs of customers. Finally, this study reviewed the analysis of patent quantifiable indicators and gave suggestions for the future research.

在二十一世紀中， LED發光二極體更是備受期待的節能產品。過去背光源一直是LED主要應用項目，而漸漸地照明也開始採用LED產品，甚至各國已宣布將禁用白熾燈。然而，在各國政府及業者大力推廣及投入LED產業之際，目前LED產品尚未能實現市場替代效應之事實卻不容忽視。細究其可能原因，是否LED產品仍有技術功能缺陷，抑或其價格無法競爭，又者消費者對產品認知不足、終端通路尚未成熟、品牌塑造尚待建立等因素，讓消費者暫時裹足不前? 鑒於台灣在LED產業中已有完整的上中下游布局，不但是下游封裝的全球最大供應中心，近年更也逐步紮根中游晶粒產品，甚至切入上游單晶基板、磊晶產品製程。故此，本研究希冀探查現有LED產品所遭遇之困難，以功能品質及經濟價值等角度，找尋可突破市場瓶頸之關鍵因素，並針對其中可進行專利檢索及分析的較具技術性因素：LED單晶基板，以中國大陸此成長最為顯著之市場作為專利檢索及分析之核心地理區域，探討LED單晶片基板之專利發展趨勢以及研發參考目標及方向。 在進行專利檢索之前，本研究將先行剖析現有LED單晶片基板的應有功能、重點特性、4大類基板材料選擇與其最新研發優勢，包含藍寶石、碳化矽、矽、氮化鎵，以助於後續專利檢索及分析結果之觀察思考。本研究的結論與建議將分別針對不同的LED單晶片基板材料選擇，以專利分析結果對照其市場發展近況，向台灣業者提出藍寶石、碳化矽已係過度競爭、不宜進入的項目，並在最後建議台灣業者仍可持續投入研發LED矽、氮化鎵基板材料，以及額外以技術與應用創新增加其產品的市場連結度及應用產業競爭利基。 / Nowadays LED has become a future mainstream of highly expected energy-saving product. Back-lighting has been the main application for LED, such as in monitors, and furthermore lighting has grown its market size into significance. However, it should draw attention that LED products has not yet fully replace conventional lighting as expected, due to a number of possible factors, including functions, prices, consumer awareness, channeling, and/or branding. In light of the fully established LED industry in Taiwan, including the largest downstream packaging supply source, mature middle-stream wafer production and leading upstream epitaxy and substrate manufacturing, this study aims to seek and find the patent searchable and analyzable part of the current LED obstacles in product quality and economic value perspective. As a result, single crystal substrate falls into abovementioned criteria, including four major substrate materials: sapphire, silicon carbonate, silicon, and gallium nitrite. This study further concentrates the patent search and analysis on China, the fastest growing LED market among all regions and the biggest opportunity for Taiwan players. Before patent search, this study gives a detailed elucidation about four substrate materials on functions, important traits, different types and respective R&D updates and breakthrough, followed by interpretation of and association with patent search and analysis. At the end of this study, conclusions and suggestions are given, based on Taiwan players’ current relative strength and weakness. In sum, sapphire substrates and silicon carbonate substrate have overly competitive patent and market situation, and silicon substrates and gallium nitrite substrate may allow Taiwan players to continue and/or reinforce R&D investment. Additionally, technology and application innovation could increase product-market linkage and competitive edge in LED application industry.