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研究生: 許芙瑲
Fu-Chiang Hsu
論文名稱: 智慧型專利文件分析-以群集及分類方法為基
Intelligent Patent Document Analysis Based on Clustering and Categorization Methods
指導教授: 張瑞芬
Amy J.C. Trappey
張力元
Charles V. Trappey
口試委員:
學位類別: 博士
Doctor
系所名稱: 工學院 - 工業工程與工程管理學系
Department of Industrial Engineering and Engineering Management
論文出版年: 2006
畢業學年度: 94
語文別: 英文
論文頁數: 105
中文關鍵詞: 專利分析資料探勘專利地圖分析專利群集分析專利技術群集分析專利技術成熟度
外文關鍵詞: Patent analysis, Data mining, Patent map analysis, Patent technology clustering, Patent document clustering, Technology maturity measurement
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  • 在智慧財產逐漸受到重視的今日的,如何善用專利資訊以瞭解技術發展現狀並據此提升研發效率,為企業研發乃至未來產品上市能否成功的關鍵之一,擁有完善的專利管理與分析制度,將可輔助企業在創新研發上獲得支援,除可協助決策階層擬定研發策略外,更能發掘既有專利分佈,以避免因侵犯他人專利而可能遭受之鉅額損失。因此,本研究以智慧型專利文件分析為題,發展以群集及分類方法為基之專利文件分析系統,以資料探勘之技術,將專利資訊作有效之運用,也由於專利文件所提供之法律與技術揭露特性,透過專利分析也將可協助企業釐清特定技術發展現狀,並瞭解主要競爭對手分佈,由此提升企業競爭優勢。
    本研究提出專利知識之擷取與專利分析之方法論,包含專利地圖分析、專利技術群集分析、專利文件群集分析、專利技術成熟度評估、與專利自動分類系統,期望透過這些分析輔助,協助企業提升專利分析效率,並提供企業擬定未來研究發展策略之輔助。此外,本研究也將依據以上所提出之方法論,建置一套整合性專利分析系統,並以動力手工具分析與無線射頻(RFID)分析為案例,探討以上分析流程,期能為企業在專利管理上帶來助益。


    With the fast pace of technology development and the global nature of competitors in the marketplace, patent management has become an important issue for R&D knowledge management. In this thesis, we develop an integrated framework based on data mining techniques to help companies manage patent documents automatically and effectively. Since patents provide exclusive rights and legal protection for patent inventors, these documents play an important role in the development of technology. Through patent analysis, the companies determine the state of technology development and the degree of competition in the market.
    This thesis proposes the process of patent knowledge extraction and methodologies of patent analysis to improve the efficiency of patent analysis. Furthermore, the methodologies proposed in this thesis include patent map analysis, patent technology clustering, patent document clustering and technology maturity measurement. Through these methodologies, companies derive rich information and achieve a better patent management. Moreover, the strategic plans of R&D can also be developed with the result of methodologies proposed in this thesis. In this research, the prototype is implemented and patents related to designs of innovative power hand-tools and radio frequency identification technologies are used to demonstrate the results of proposed framework.

    中文摘要 I ABSTRACT II 致謝辭 III TABLE of CONTENTS IV LIST of FIGURES VII LIST of TABLES X 1. INTRODUCTION 1 1.1 Motivation 1 1.2 Research Procedure 2 1.3 Goal 3 2. BACKGROUND 5 2.1 Knowledge and E-Document Management 5 2.2 Data Mining 7 2.2.1 Clustering techniques 8 2.2.2 Document categorization and clustering methodology 10 2.3 Ontology 12 2.4 Patent Content Analysis 13 3. PATENT DOCUMENT ANALYSIS METHODOLOGIES 17 3.1 Restructuring Patent Documents 18 3.1.1 Metadata definition 18 3.1.2 Key phrase extraction and correlation analysis 19 3.2 Patent Map Analysis 26 3.3 Patent Technology Clustering and Technology Maturity Measurement 27 3.4 Patent Document Clustering 29 3.5 Automated Document Categorization 30 3.5.1 Forward pass 31 3.5.2 Backward pass 32 4. SYSTEM ANALYSIS AND DESIGN 34 4.1 Role Analysis 34 4.2 System Function Design 35 4.3 System Hardware and Software Analysis 37 4.4 Data Schema Design 37 4.4.1 Package ACCOUNT_DATA 38 4.4.2 Package DOCUMENT_DATA 38 4.4.3 Package PHRASE_DATA 39 4.4.4 Package SYSTEM_DATA 40 4.5 System Function Flow Design 41 4.5.1 Functional flow of patent document sharing 41 4.5.2 Functional flow of patent document download 42 4.5.3 Functional flow of document phrase maintenance 43 4.5.4 Functional flow of document category management 44 4.5.5 Functional flow of phrase management 45 4.5.6 Functional flow of metadata management 46 4.5.7 Functional flow of project-based patent analysis 47 4.5.8 Functional flow of patent document categorization 48 4.5.9 Functional flow of patent document search 49 4.5.10 Functional flow of system management 50 5. SYSTEM IMPLEMENTATION AND CASE STUDY 51 5.1 System Implementation 51 5.1.1 System management 52 5.1.2 Document management 54 5.1.3 Phrase management 58 5.1.4 Metadata management 60 5.1.5 Project-based patent analysis 62 5.2 Case Study of Hand Tools Patent Analysis 69 5.2.1 The restructuring of hand tool patent documents 69 5.2.2 Patent map analysis for hand tools related patents 69 5.2.3 Technology clustering and technology maturity measurement 70 5.2.4 Patent document clustering 74 5.2.5 Case demonstration of patent document classification and search 75 5.3 Case Study of Radio Frequency Identification (RFID) Patent Analysis 83 5.3.1 The restructuring of RFID patent documents 84 5.3.2 Technology clustering and technology maturity measurement 84 5.3.3 Patent document clustering 87 6. CONCLUSIONS 88 REFERENCES 90 Appendix 1 – Stop Words 99 Appendix 2 – Power Hand Tool Patent List 101 Appendix 3 – RFID Patent List 103

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