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標題: | 美國專利多方複審程序立案決定之預測 Predicting Institution Decisions of Patent Litigation: A Study on Inter Partes Review |
作者: | Yuh-Harn Yang 楊喻涵 |
指導教授: | 鄭卜壬(Pu-Jen Cheng) |
關鍵字: | 專利訴訟,自然語言處理,信息網絡,節點向量,知識特徵學習, Patent litigation,Natural Language Processing,Information Network,Node Embedding,Domain Knowledge Learning, |
出版年 : | 2017 |
學位: | 碩士 |
摘要: | 專利是一個政府跟專利權人之間的契約。在專利權有效期間內,專利權人擁有排除他人實施其發明的權利; 作為交換,專利權人必須向社會大眾公開其發明, 以便於專利權過期之後,該發明能成為公共財產,為社會大眾所用。專利訴訟具有高度專業性與技術性,往往須花龐大的金額以及冗長的時間,除了對訴訟雙方造成龐大的經濟壓力之外,訴訟結果的不確定性也為雙方的商業運作帶來諸多不利。因此若能在訴訟啟始或具體結果出爐之前,以資訊技術準確預測專利訴訟結果, 對於商業策略的擬定將有關鍵性的影響,並且可能為雙方節省可觀的金錢與時間資源。
專利期限一般長達20年,在此期間內賦予專利權人排除他人實施發明之權利,乃是一種強大的特權授予。為了避免政府不當授予的專利權妨礙科技進展, 各國政府多制定讓社會大眾挑戰專利有效性之制度。美國專利多方複審程序是在2012年修法後新增的挑戰現行專利權之有效性的行政訴訟程序。依據美國專利與商標局截至2016年底的統計,在多方複審程序中,一旦訴願者提出之專利挑戰被成功立案, 且最終達成書面判決, 被挑戰專利至少有一個請求項被判無效的機率高達83%。因此,立案與否會造成兩造談判籌碼的顯著消長,乃是多方複審程序中一個重要的分水嶺。然而目前為止對多方複審制度立案決定的資訊分析與預測模式的研究非常的少,因此在這篇論文,我們測試了3種預測立案決定的模型, 並對這些模型進行分析比較。 我們從多方複審程序中系爭專利文件以及程序文件中抽取出三組不同的特徵作為基礎來建構預測模型。第一組是以文字為基礎的特徵,我們利用資訊獲利技術,從挑戰專利的訴願書中分離出有代表性及鑑別力的字;第二組是以網絡為基底的特徵,我們使用社交網路的概念,分析多方複審程序中有影響力的個體或關鍵字彼此之間的關係,利用機器學習得出有代表性的連續數值來表示這些個體/關鍵字的特徵值;第三組特徵主要是依循“Valuable Patent”[1]這篇在專利界影響深遠的論文中提到的「有價值專利」的特徵,從專利文件中抽取出如請求項數量,申請時間長度等特徵。 最後的結果顯示我們的模型有很不錯的準確率,做了很多實驗嘗試後,第一組特徵的準確率是最好的,ROC也可以達到優良鑑別力,表示訴願書對立案與否是關鍵,第二組特徵的ROC是三組中最好的,將網絡運用在專利關係上是很新穎又有效的特徵,第三組特徵雖然準確率並不如預期,但發現申請時間長度對立案影響很大。另外依時間序列的資料用我們的模型預測以ROC曲線分析也達到優良鑑別力,代表我們的模型在真實狀況下具有應用價值。這篇論文的其中一個目標是希望可以幫助訴願人及專利權人規劃訴訟策略,所以除了數字的結果外,我們也歸納出會預測立案的原因給他們參考。本研究是少數針對多方複審程序進行定量法律預測的前驅研究之一,可作為進一步發展複雜專利訴訟預測模型的參考。 Patent is an agreement between the government and patent owner. At a certain time, the patent owner has the right to exclude others from implementing the invention. As an exchange, the patent owner needs to reveal the invention to public. When the right expired, it can be public property used by the community. A patent litigation is very professional and technical, so it costs huge amount of money and time. The litigation not only causes heavy economic pressures, and the uncertainty of the results also bring disadvantages for business operations of both sides. If we can predict the results precisely by information technology before the litigation begins or the results come out, it would be key effect on designing business strategies and save huge money and time for both sides. The time of the right to exclude others for patent owner usually lasts for 20 years, so it’s very powerful. To prevent the government from giving the right improperly and obstructing progresses of technologies, there are plenty of laws for the community to challenge the rights in every country. In USA, a new law process called inter partes review(IPR) was announced by United States Patent and Trademark Office(USPTO) in 2012. As of the end of 2016 statistics by USPTO, once the IPR instituted and get the final written decision, the probability of at least one claim of the challenge patent being invalidated up to 83%. That’s why decision of institution is so important for both petitioners and patent owners, however, the previous works which study on prediction and analysis of institution decisions for IPR are very few. In this thesis, we design and analyze three predicting models for institution decision of IPR. We extracted three different kinds of features from documents of IPRs as bases to construct a predicting model. The first one is text-based features and we define a formula to find representative and discriminate terms in the petition. In graph-based features, the model uses the concept of a social network and learns continuous representation of influential entities from IPRs by the relations between each other. The last features follow “Valuable Patent”[1], a very influential paper in patent field, such as number of claims. In the end, our model can predict the decision with a strong accuracy and AUC. The accuracy of text-based feature is the best. The idea of using graph-based feature in patent prediction is novel and it get the excellent performance of AUC. Although the performance of the third feature is not so well, we find that the length of grant lag is important for decision of institution. The performance of time-series is getting better and better with time and its AUC surpasses 0.81which means our model can implement in the real world. Our aim is to help formulate strategies for both petitioners and patent owners, so we analyze the results and infer some summaries about the reasons of the prediction. Our results represent an important advance for the science of quantitative legal prediction and are practical with high commercial value. |
URI: | http://tdr.lib.ntu.edu.tw/jspui/handle/123456789/67169 |
DOI: | 10.6342/NTU201702913 |
全文授權: | 有償授權 |
顯示於系所單位: | 資訊工程學系 |
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