| 专利池必要专利客观评估：技术进化中的适者生存 |
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| 引用本文： | 许琦,顾新建.专利池必要专利客观评估：技术进化中的适者生存[J].科研管理,2021,41(12):204-218. |
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| 作者姓名： | 许琦 顾新建 |
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| 作者单位： | 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 |
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| 基金项目： | 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)。 |
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| 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。
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| 收稿时间： | 2018-05-23 |
| 修稿时间： | 2018-11-05 |
Objective evaluation of essential patents in patent pools: Survival of the fittest in technological evolution |
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| Xu Qi,Gu Xinjian.Objective evaluation of essential patents in patent pools: Survival of the fittest in technological evolution[J].Science Research Management,2021,41(12):204-218. |
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| Authors: | Xu Qi Gu Xinjian |
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| Abstract: | A technical-evolution-oriented objective evaluation method of essential patents in patent pools is proposed, aiming to overcome the defects caused by the current method hiring of third-party experts to identify and evaluate essential patents subjectively. Following the Mendel’s genetic law, the origin and evolution of technology are traced with the method of technological genetic decomposition. The concept of technological adaptation index is put forward to measure adaptabilities of patents in technological evolutions. The adaptive patents with high technological adaptation index are strictly screened and filtered combining with technical standards as candidates of essential patents. The essentials of patents in patent pools are ensured and the "win-win" development of patentees and technology fields is guaranteed. Through an empirical analysis, adaptive patents in technological evolutions of the fuel cell are evaluated. Results show that, these adaptive patents demonstrate technological developments of the fuel cell both from the perspectives of patent citations and patent contents. It is consistent with the central idea of essential patent evaluation: technological evolution. And these adaptive patents contain some technological elements, which are important means and technical support of functional indexes or performance requirements specified in fuel cell related technical standards. So these adaptive patents should be essential patents that are unavoidable. |
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| Keywords: | essential patent technological evolution patent pool technological adaptation index fuel cell |
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