In the age of Knowledge-based Economy, knowledge will become the main motive power of economic growth. Patent, as one of the indicators of intellectual properties, is suitable for measuring the competition potential, technology capabilities, and innovation performance of corporations. In the model of mass production and fast manufacturing, the price of goods decrease acutely and getting the Taiwanese corporations into the low margin age. How to make the most of intellectual properties and patents to increase the additional value is the key to success. Taiwanese companies had starting to apply for patents in many countries, but the licensing fee and litigation are still in high level. That express that the qualities and quantities of the patents are still not enough to cover the technologies and products of Taiwanese companies. This study takes computer heat dissipation industry for example, and using the patent analysis, Logistic curve, and patent strategy matrix to discuss the patent application and patent strategy. The research result shows that the computer heat dissipation industry is in the mature stage, the degree of patent is crowded, and the rate of change is slow. Most of the Taiwanese companies are small scale and not good at inventing in the most advanced technologies. Especially in this mature industry, this study suggest Taiwanese corporations should take licensing, avoiding existing patents, and improvement development as basic patent strategies. Not to apply lots of patents in small scope to suit each other, but should establish patent alliance or co-development, even join or make the industry standard to earn competition advantages.

The statistical results of the field of Chinese FBG sensing technology were visualized by using patent analysis method and parsed the technology background of FBG sensors. Several statistics in 17 parameters system were completed, which include the current status, R&D teams, and application fields of the patents of FBG sensors. The statistical results indicate that the FGB sensing technology are currently in the development of the technology life cycle; the R&D focus concentrates on the sensor designing and sensor array system; college labs account the most R&D teams; the application field includes the composite and concrete structure monitoring, the performance monitoring of smart material, power industry, pharmaceutical industry, and chemical industry. With the gradual increase in R&D, gradually mature in technology, the FBG will in the mature of the technology life cycle; and wavelength demodulation device will be an significant direction of development of FBG sensing technology.

The present Master thesis was written during an internship at Deutsche Post DHL Solutions& Innovations, a subsidiary of Deutsche Post DHL. The main purpose was to make a patent portfolio benchmark for the previously identified business competitors of the DPDHL group. The research questions aimed to find out how relevant the patent portfolio analysis is for comparing competitors and whether or not the results can be matched with other types of rankings. The benchmark was made using the PatentSight software tool. PatentSight allows the patent portfolio analysis of individual companies as well as groups of companies (competitors). The software tool is based on a new approach to benchmark patent portfolios called Patent Asset Index. This approach uses several indicators to measure the patent portfolios strengths. The indicators are based on relatively widely used measures of patent analysis such as the number of citations that a patent has received. However, these measures are further adjusted by the PatentSight indicators in order to prevent false results due to the difference in patents’ ages, for instance. The results of the patent portfolio benchmark and their comparison with other rankings have confirmed previous research findings that the patent portfolio analysis is a useful tool which can remove uncertainties and provide new perspectives but cannot be used as single indicator of the competitors’ strength.

Patent information can provide up-to-date technological data that accelerate the development of new products and the improvement of technology. They also can provide a most useful survey of known solution possibilities, which avoid duplication and the resources wasting. Therefore, this study focuses on the patent searching and analysis of the mechanical overload protection devices. Patent information are fed into computer databases and stored for design around activities. The connections between biology and technology be called as bionics or biomimetics can lead to very useful and novel technical solution. This study introduced special underwater creatures ¡§snapping shrimp¡¨ which have a large claw can generate the snapping action. This action inspires us to find a new technical solution that using the liquid cohesion to store and release the energy. In the end, using the patent information and the new solution to achieve the new design of mechanical overload protection devices, include ¡§Force-Type¡¨ and ¡§Torque-Type¡¨.

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.

Patent documents are important intellectual resources of protecting interests of individuals, organizations and companies. These patent documents have great research values, beneficial to the industry, business, law, and policy-making communities. Patent mining aims at assisting patent analysts in investigating, processing, and analyzing patent documents, which has attracted increasing interest in academia and industry. However, despite recent advances in patent mining, several critical issues in current patent mining systems have not been well explored in previous studies. These issues include: 1) the query retrieval problem that assists patent analysts finding all relevant patent documents for a given patent application; 2) the patent documents comparative summarization problem that facilitates patent analysts in quickly reviewing any given patent documents pairs; and 3) the key patent documents discovery problem that helps patent analysts to quickly grasp the linkage between different technologies in order to better understand the technical trend from a collection of patent documents. This dissertation follows the stream of research that covers the aforementioned issues of existing patent analysis and mining systems. In this work, we delve into three interleaved aspects of patent mining techniques, including (1) PatSearch, a framework of automatically generating the search query from a given patent application and retrieving relevant patents to user; (2) PatCom, a framework for investigating the relationship in terms of commonality and difference between patent documents pairs, and (3) PatDom, a framework for integrating multiple types of patent information to identify important patents from a large volume of patent documents. In summary, the increasing amount and textual complexity of patent repository lead to a series of challenges that are not well addressed in the current generation systems. My work proposed reasonable solutions to these challenges and provided insights on how to address these challenges using a simple yet effective integrated patent mining framework.

This thesis attempts to analyze a part of the big and complex process of how intellectual property ownership and technological innovation influence the performance of firms and their revenues. Here I analyze a firm's stock market performance as a function of the quantity and quality of intellectual property (patents) owned by the firm in context of the three US high-technology sectors, Pharmaceuticals, Semiconductors and Wireless. In these sectors, value of a firm is predominantly driven by the technologies which a firm owns. I use citation based indicators and number of claims to measure the quality of patents. This research presents empirical evidence for the hypothesis that in high-tech sectors, companies which generate better quality intellectual property perform better than average in the stock market. I also posit that firms which are producing better quality technologies (good R&D) invest more in R&D regardless of their market performance. Furthermore, though smaller firms get relatively less returns on quality and quantity of innovation, they tend to invest a bigger fraction of their total assets in R&D when they are generating high quality patents. Larger firms enjoy the super-additivity effects in terms of market performance as the same intellectual property gives better returns to them. In addition, returns to R&D are relatively higher in the pharmaceutical industry than semiconductor or wireless industries.

全球日益嚴重的環境問題多為科技進步所帶來的副作用，科技發展確實為人們帶來許多好處，但同時也破壞了人們所居住的環境。當某些科技被發現對人類和自然環境為有害時，通常原採用此科技的企業會在消費大眾的輿論、政府法規或國際公約的規範壓力之下，停止使用此污染的科技和停止生產相關的產品。另一方面，企業、學術或研究單位也會積極研發相關的替代科技和產品。但污染技術的發展是否就如我們所想像的，會終結於政府法令或國際公約的規範、管制之下？本研究試圖以CFC（氟氯碳化物）破壞臭氧層的例子透過相關專利的分析來觀察此技術和替代技術的發展歷程。 就CFC技術的發展過程，加以相關文獻回顧，提出三項研究問題： 一、當CFC初步被發現會對臭氧層造成破壞，但尚無實際科學證據時，其相關的應用技術是否不再發展？同時，是否會有相關的替代技術開始發展？ 二、當政府頒布法令以禁止CFC的製造和使用時，其相關應用技術是否不再發展？同時，其相關的替代技術是否會增加？ 三、當1987年「蒙特婁議定書」國際公約規範形成，並開始管制CFC之生產和使用後，其相關應用技術是否不再發展？同時，其相關的替代技術是否會大增？ 根據本研究專利分析之驗證，獲得以下結論： 1.當污染的因果關係被發現時，若原科技具污染性的科學證據仍不足、大量原設備仍有很長的使用壽命、替代品的價格相對較為昂貴，則企業為維持既有市場利益，污染技術繼續被使用、相關應用技術仍繼續發展，而替代技術發展開始起步，但開發的情形並不積極。 2.當政府頒布法規來管制污染科技的製造和使用，但若管制範圍僅限於單一國家區域內，企業仍可在其他非管制的國家區域進行製造和使用原污染科技，則污染科技會繼續發展，且替代技術開發的壓力不大，以致成效不彰。 3.當國際間有公約規範形成，並開始管制污染科技的生產和消費時，因為國際公約為世界全面性的管制，且管制的時程具有階段性，則污染技術之發展隨即轉為衰退，且為「逐漸」的減少、衰退。迫使企業必須逐漸停止使用污染技術及其應用之開發，轉而積極投入研發新的替代技術，使替代技術有蓬勃的發展，因此國際公約為影響污染技術和替代技術發展非常重要的因素。 4.在專利審查制度對污染技術發展的影響方面，於政府頒布禁令、國際公約簽署開始管制污染技術的生產和使用之後，仍有使用污染技術專利出現的情形。此係企業為了保有技術的完整性、盡量擴大其專利範圍，於專利範圍中列出該技術所有可使用的化學物質，其中含有已被管制之污染物質。然而專利審查制度中，實用性只考慮該技術是否「能夠」被實施，並未考慮到是否「被允許」實施。因此，雖然新技術的實施並不「必然」要使用舊技術，但新技術專利範圍中含有可使用舊技術的情形，仍可能增加舊技術的需求，因為其價格較低，在開發中或落後國家繼續被使用而造成環境的危害。而專利具有擴散技術知識的功能，因此專利的實用性應考量應用的原料是否環保，為減少污染物質被使用的機會，應除去其中之污染物質。

Plus de 40 ans après la découverte de la technologie des hybridomes, une soixantaine d’anticorps monoclonaux thérapeutiques IgG ou assimilés sont aujourd’hui commercialisés. Leur succès découle de leur humanisation, en particulier celle de la portion Fc qui dérive de différents variants humains naturels, isotypes et allotypes. Depuis quelques années, apparaissent sur le marché de nombreux anticorps comportant des portions Fc artificiellement modifiées dans le but de moduler diverses propriétés pharmacologiques (propriétés cytolytiques, demi-vie, stabilité, etc.), dont certaines ont été particulièrement étudiées suite aux travaux de notre équipe. Les variants Fc sont protégés par des technologies brevetées dont on connaît mal l’étendue, qui ne font pas nécessairement l’objet de publications scientifiques, et dont la raison d’être reste méconnue des chercheurs et plus encore des professionnels de santé. Nous avons donc entrepris de réaliser une cartographie et une analyse fine des brevets traitant des modifications dans la portion Fc des IgG. Cette analyse a été menée de front avec une étude bibliographique détaillée, car les données scientifiques décrites dans les brevets sont toujours à considérer avec prudence, les demandes de brevets n’étant pas revues par des pairs. Nous avons eu l’occasion d’ailleurs d’épingler certaines dérives, comme celle de considérer qu’il pourrait y avoir plus de 4 sous-classes d’IgG dans l’espèce humaine (jusqu’à 19 dans certaines revendications…). / More than 40 years after the discovery of the hybridoma technology, around sixty therapeutic monoclonal antibodies based on IgG or assimilated are marketed today. Their success comes from their humanization, especially of the Fc portion derived from various natural human variants, isotypes and allotypes. For some years, many antibodies artificially modified in their Fc portions have emerged, in order to alter various pharmacological properties (cytolitic properties, half-life, stability, etc.), some of them having been particularly studied following the works of our team. Fc variants are covered by patented technologies of which little is known about the extent, which are not necessarily the subject of scientific publications, and whose purpose remains unknown for researchers and even more for health professionals. We therefore undertook to realize a landscape and a detailed analysis of patents dealing with modifications in the Fc portion of IgG. This analysis has been conducted in front with a detailed literature survey, since the scientific data described in patents must be treated with caution, as patent application are not peer reviewed. We actually point certain abuses, such as to consider that there might be more than four human IgG subclasses (up to 19 in some claims…).