专利池必要专利客观评估:技术进化中的适者生存  

Objective evaluation of essential patents in patent pools: Survival of the fittest in technological evolution

作　　者：许琦 顾新建[1] Xu Qi;Gu Xinjian(Key Laboratory of Zhejiang Advanced Manufacturing Technology,Zhejiang University,Hangzhou 310027,Zhejiang,China;Intellectual Property Alliance of Pump and Motor Industry in Taizhou,Taizhou Vocational and Technical College,Taizhou 318000,Zhejiang,China)

机构地区：[1]浙江大学浙江省先进制造技术重点实验室,浙江杭州310027 [2]台州职业技术学院台州市泵与电机产业知识产权联盟,浙江台州318000

出　　处：《科研管理》2020年第12期204-218,共15页Science Research Management

基　　金：2016年度教育部人文社会科学研究青年基金项目:“破解专利丛困境的双赢方案:企业专利池组建与管理”(16YJC630150);2016年度浙江省哲学社会科学规划课题:“专利丛困境中的企业发展路径:专利联盟组建及其管理策略分析”(16NDJC303YBM);2016年度台州市哲学社会科学规划社科优秀青年专项课题:“基于专利引证分析的高校专利产业化辨析”(16GHQ17)。

摘　　要：提出了一种面向技术进化的专利池必要专利客观评估方法,以克服现有的聘请第三方专家进行主观鉴定和评估的缺陷。效仿孟德尔遗传定律,采用技术遗传分解的方法,追踪技术的起源和演变。提出了技术适应指数的概念,衡量专利在技术进化中的适应能力。结合技术标准,对技术适应指数较高的适应性专利进行严格地甄别和筛选,以确保拟入池专利的必要性,保障专利权人和技术领域的"双赢"发展。以1873年至2002年美国专利商标局授权的燃料电池相关专利及其引证数据为样本,通过实证研究,评估了该领域的适应性专利。研究结果表明,无论从引证关系上看还是从专利内容上看,这些适应性专利都表征了燃料电池领域的技术发展情况,这与必要专利评估的中心思想:面向技术进化,是相符合的;这些适应性专利中某些技术要素是实现燃料电池相关技术标准功能指标或性能要求的重要手段和技术支撑,这些专利应该是"绕不开"的必要专利。Strict screening of the essentialities of patents is the first step in the formation of a patent pool, but also the most critical step. In this way, technology tie-in of patent trolls, which attempts to use a patent pool to promote and seek improper private interests can be avoided and the prestige of a patent pool can be established. This article proposes a objective evaluation method of essential patents in a patent pool, which is orienting technological evolution. Its target is to overcome the defects caused by the current method hiring of third-party experts to identify and evaluate essential patents subjectively. In fact, this method tries to use the natural law of survival of the fittest to select the essential patents. And the concept of technological adaptation index is put forward to measure adaptabilities of patents in technological evolutions. In the process of technological evolution, patents in the competition of survival of the fittest survive, which can follow the changes to adapt to the environment through variation and heredity. And the others will be eliminated by nature. The proposed method consists of the following steps:(1) on the basis of the Mendel′s genetic law, the method of technological genetic decomposition is adopted to trace the origin and evolution of technology;(2) the adaptive patents with high technological adaptation index are considered to have adapt to the environment and survived. They are chosen as candidates of essential patents;(3) these patents are strictly screened and filtered combining with technical standards. The essentialities of patents which gain admittance to patent pools are ensured and the "win-win" development of patentees and technology fields is guaranteed. An empirical analysis of the fuel cell is carried out as follows:(1)3054 fuel cell patents authorized from 1873 to 2002 are collected from the patent database of the United States Patent and Trademark Office;(2)14214 patent citations are queried from the patent data set of the National Bureau of Economi

关 键 词：必要专利 技术进化 专利池 技术适应指数 燃料电池 

分 类 号：G306.0[文化科学]