清洁技术企业专利策略研究
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摘要
环境危机与金融危机的双重背景下，“绿色新政”理念在全球兴起。世界各国将环境改善与经济复苏寄希望于清洁技术的发展。清洁技术被认为是21世纪最具潜力的技术，并将带来下一个经济的快速发展。更多的企业开始加入到该技术领域中来，竞争正不断加剧。清洁技术领域的竞争实际上是技术创新的竞争，专利策略是企业获取竞争力并保持持续竞争力的强有力工具，直接决定企业在竞争中的成败。本文以绿色专利法律政策为背景，从清洁技术的内在特征出发，综合运用专利理论、专利战略理论以及竞争优势理论等领域的最新研究成果，采用理论分析、比较分析、案例分析和实证分析等研究方法，对清洁技术企业的专利策略问题进行了研究。
首先，本文在回顾专利理论与专利战略理论的基础上，探讨清洁技术企业专利策略运用的一般框架与重点环节。清洁技术具有分布领域广泛、“转用发明”普遍、技术复杂以及与气候问题联系紧密等诸多内在特征，这些特征决定了清洁技术企业的专利策略运用框架与重点与其他任何产业都有所不同。同时，专利策略的运用还受到气候、经济特别是法律政策和措施所形成的外部系统的影响。本文基于以上分析总结出清洁技术企业专利策略运用的一般框架与重点环节，即基于清洁技术分布领域广泛性的绿色专利信息获取策略、主要针对“转用发明”的专利申请策略、基于技术复杂性所形成的专利组合策略以及基于复杂的气候背景所形成的专利许可策略。
其次，本文研究影响清洁技术企业专利策略形成的外部系统，重点对绿色专利政策与措施对清洁技术企业专利策略行为的影响进行了探讨。从绿色专利制度的国际相关讨论出发，对当前主要国家（及地区）实施的绿色专利新政策和措施进行对比研究，重点探讨绿色专利数据库建设和绿色专利加速审查程序。从理论和实证上分析这两种政策和措施对清洁技术企业专利活动的影响。结果表明它们不但有助于企业“绿色创新理念”的形成，而且可以加快企业的清洁技术创新与商业化，从长远看还可以为企业带来“绿色品牌”效应。
最后，本文对清洁技术企业专利策略中四个重点环节分别作了深入研究。专利信息在企业专利策略的整个过程中起重要作用，由于清洁技术分散于多个技术领域中，因而企业在准确获取专利信息上存在较大的困难，本文借鉴文献计量研究中的词频分析方法，结合新近各专利机构确定出的绿色专利IPC，提出了基于词频分析和对比分析的清洁技术企业专利信息获取策略，并就选定的清洁技术领域对该方法进行了验证。获得专利申请不仅是企业保护创新的途径，也是其开展专利策略的第一步，鉴于“转用发明”在清洁技术创新中的普遍性，本文针对“转用发明”这类清洁技术创新的专利申请策略展开讨论，研究在分析中、美两国对“转用发明”的可专利性相关规定的基础上，就企业在这类专利申请中如何回避“固有先占”原则和“显而易见性”提出了具体的策略。专利组合策略是清洁技术企业获取竞争力和保持持续竞争力的重要工具。本文从专利组合策略的形成机理开始分析，运用典型案例探讨了不同的清洁技术企业如何根据其创新特点和经营目标建立专利组合，并采用专利组合分析方法实证研究“碳捕捉和封存”领域的专利组合情况。论文最后分析了清洁技术企业专利实施中的重点环节即专利许可策略。在清洁技术领域，专利许可的实施方式不仅可以为企业带来适当的投资回报，战略性的专利许可还可以为企业创造进入特定市场或者建立销售渠道的机会；另外，基于社会责任所建立的“绿色专利共享计划”以及“绿色知识产权交换联盟”等形式的开放式专利许可模式值得关注，它不仅有助于清洁技术的扩散和传播，而且对气候问题的解决大有裨益。
A Green New Deal is regarded a way for many countries to pull them back fromeconomic and environmental meltdown. Cleantech is considered to be the most potentialtechnology of the21st century which will bring us a rapid environmental improvementand economic development. With more and more enterprises entering into this field, thecompetition is heating up. In fact, competition in Cleantech industry is competition oftechnological innovation. Patent strategies are powerful tools for enterprises to obtain andmaintain sustainable competitiveness and sometimes it is the key to success. Based on thebackground of green patent policies and initiatives, this study researches the patentstrategies of Cleantech enterprises according to the inherent characteristics of Cleantech.Moreover, the study adopts the theories of patent strategy and green patent, applies themethods of theoretical research, comparative research, case study and empirical research.
First of all, based on the theories of patent and patent strategy, the study focuses onthe general pattern and key points of patent strategy used by Cleantech enterprises. Strictlyspeaking, Cleantech does not appear to be a unified industry but spans many industryverticals. Many of today’s Cleantech derive from technical advancements from otherindustries. Cleantech closely links with climate issues and some kinds of Cleantech arevery complexity. These are the inner characteristics of Cleantech which differentiate themfrom any other industries and determine the deployment of patent strategies of Cleantechenterprises directly, while the backgrounds composed of policies and initiatives of climate,legal and economic have an important impact on patent strategies. The study concludes ageneral pattern and key points of patent strategies used by Cleantech enterprises. Theycomposed of four aspects, namely the strategies of searching patent information, obtainingpatent rights, building patent portfolios and patent licensing.
Secondly, the study focuses on the policies and initiatives in the external system,especially green patent policies and initiatives. Beginning with the international debateover green patent system, Chapter4makes an analysis on the main policies and initiativesover the world, for example, building green patent database and program to acceleratepatent examination for green patent. The theoretical and empirical researches on the abovepolicies and initiatives show that they contribute to popularizing the concept of greeninnovation and commercializing clean technology. In the long run it will also bring green brand effect for cleantech enterprises.
Finally, the study deeply analyzes four aspects of the pattern of strategy. Patentinformation plays a very important role in developing patent strategy. Green patent data isvery difficult to be obtained accurately due to their dispersibility characteristics.Combined with the terms frequency analysis from bibliometric study and the IPC analysisused by some patent offices over the world recently, Chapter5drew a useful patent searchstrategy to obtain the green patent data more accurately. Moreover，an empirical study ofsolar PV proves its applicability and effectiveness. For Cleantech enterprises, obtainingpatent right is not only a way to protect their innovation, but also the first step to deploytheir patent strategy. Chapter6mainly researches the strategies to obtain green patent right.Because many of today’s Cleantech derives from and builds upon technical advancementsfrom other industries, the study discusses how patent law in China and USA attemps todetermine through statutes and case law regarding new uses of known processes. A greenpatenting case study provides an illustration of the suggested strategies to overcome thedoctrines of inherent anticipation and obviousness. Patent portfolio strategy is animportant tool for clean technology companies to obtain and maintain a sustainablecompetitive. After analyzing the formation mechanism of patent portfolio strategy,Chapter7makes an empirical study of the field of carbon capture or sequestration usingthe method of patent portfolio analysis. Moreover, some cases from different field ofCleantech are studied to explore how to establish patent portfolio according to theinnovation features and business targets. Patent licensing strategy is the last aspects of thepatent strategy pattern of cleantech enterprises. Case study in Chapter8shows patentlicensing not only can bring the Cleantech enterprise rational revenue, but also can helpthem to eliminate barriers to market entry and provide access to establish distribution andcustomer networks. Moreover, Chapter8also studies the open patent licensing model suchas Eco-patent Commons and GreenXchange established by some Cleantech enterprisesbased on social responsibility, and argues they facilitate green patent transfer and benefitto mitigating climate issues.
首先，本文在回顾专利理论与专利战略理论的基础上，探讨清洁技术企业专利策略运用的一般框架与重点环节。清洁技术具有分布领域广泛、“转用发明”普遍、技术复杂以及与气候问题联系紧密等诸多内在特征，这些特征决定了清洁技术企业的专利策略运用框架与重点与其他任何产业都有所不同。同时，专利策略的运用还受到气候、经济特别是法律政策和措施所形成的外部系统的影响。本文基于以上分析总结出清洁技术企业专利策略运用的一般框架与重点环节，即基于清洁技术分布领域广泛性的绿色专利信息获取策略、主要针对“转用发明”的专利申请策略、基于技术复杂性所形成的专利组合策略以及基于复杂的气候背景所形成的专利许可策略。
其次，本文研究影响清洁技术企业专利策略形成的外部系统，重点对绿色专利政策与措施对清洁技术企业专利策略行为的影响进行了探讨。从绿色专利制度的国际相关讨论出发，对当前主要国家（及地区）实施的绿色专利新政策和措施进行对比研究，重点探讨绿色专利数据库建设和绿色专利加速审查程序。从理论和实证上分析这两种政策和措施对清洁技术企业专利活动的影响。结果表明它们不但有助于企业“绿色创新理念”的形成，而且可以加快企业的清洁技术创新与商业化，从长远看还可以为企业带来“绿色品牌”效应。
最后，本文对清洁技术企业专利策略中四个重点环节分别作了深入研究。专利信息在企业专利策略的整个过程中起重要作用，由于清洁技术分散于多个技术领域中，因而企业在准确获取专利信息上存在较大的困难，本文借鉴文献计量研究中的词频分析方法，结合新近各专利机构确定出的绿色专利IPC，提出了基于词频分析和对比分析的清洁技术企业专利信息获取策略，并就选定的清洁技术领域对该方法进行了验证。获得专利申请不仅是企业保护创新的途径，也是其开展专利策略的第一步，鉴于“转用发明”在清洁技术创新中的普遍性，本文针对“转用发明”这类清洁技术创新的专利申请策略展开讨论，研究在分析中、美两国对“转用发明”的可专利性相关规定的基础上，就企业在这类专利申请中如何回避“固有先占”原则和“显而易见性”提出了具体的策略。专利组合策略是清洁技术企业获取竞争力和保持持续竞争力的重要工具。本文从专利组合策略的形成机理开始分析，运用典型案例探讨了不同的清洁技术企业如何根据其创新特点和经营目标建立专利组合，并采用专利组合分析方法实证研究“碳捕捉和封存”领域的专利组合情况。论文最后分析了清洁技术企业专利实施中的重点环节即专利许可策略。在清洁技术领域，专利许可的实施方式不仅可以为企业带来适当的投资回报，战略性的专利许可还可以为企业创造进入特定市场或者建立销售渠道的机会；另外，基于社会责任所建立的“绿色专利共享计划”以及“绿色知识产权交换联盟”等形式的开放式专利许可模式值得关注，它不仅有助于清洁技术的扩散和传播，而且对气候问题的解决大有裨益。
A Green New Deal is regarded a way for many countries to pull them back fromeconomic and environmental meltdown. Cleantech is considered to be the most potentialtechnology of the21st century which will bring us a rapid environmental improvementand economic development. With more and more enterprises entering into this field, thecompetition is heating up. In fact, competition in Cleantech industry is competition oftechnological innovation. Patent strategies are powerful tools for enterprises to obtain andmaintain sustainable competitiveness and sometimes it is the key to success. Based on thebackground of green patent policies and initiatives, this study researches the patentstrategies of Cleantech enterprises according to the inherent characteristics of Cleantech.Moreover, the study adopts the theories of patent strategy and green patent, applies themethods of theoretical research, comparative research, case study and empirical research.
First of all, based on the theories of patent and patent strategy, the study focuses onthe general pattern and key points of patent strategy used by Cleantech enterprises. Strictlyspeaking, Cleantech does not appear to be a unified industry but spans many industryverticals. Many of today’s Cleantech derive from technical advancements from otherindustries. Cleantech closely links with climate issues and some kinds of Cleantech arevery complexity. These are the inner characteristics of Cleantech which differentiate themfrom any other industries and determine the deployment of patent strategies of Cleantechenterprises directly, while the backgrounds composed of policies and initiatives of climate,legal and economic have an important impact on patent strategies. The study concludes ageneral pattern and key points of patent strategies used by Cleantech enterprises. Theycomposed of four aspects, namely the strategies of searching patent information, obtainingpatent rights, building patent portfolios and patent licensing.
Secondly, the study focuses on the policies and initiatives in the external system,especially green patent policies and initiatives. Beginning with the international debateover green patent system, Chapter4makes an analysis on the main policies and initiativesover the world, for example, building green patent database and program to acceleratepatent examination for green patent. The theoretical and empirical researches on the abovepolicies and initiatives show that they contribute to popularizing the concept of greeninnovation and commercializing clean technology. In the long run it will also bring green brand effect for cleantech enterprises.
Finally, the study deeply analyzes four aspects of the pattern of strategy. Patentinformation plays a very important role in developing patent strategy. Green patent data isvery difficult to be obtained accurately due to their dispersibility characteristics.Combined with the terms frequency analysis from bibliometric study and the IPC analysisused by some patent offices over the world recently, Chapter5drew a useful patent searchstrategy to obtain the green patent data more accurately. Moreover，an empirical study ofsolar PV proves its applicability and effectiveness. For Cleantech enterprises, obtainingpatent right is not only a way to protect their innovation, but also the first step to deploytheir patent strategy. Chapter6mainly researches the strategies to obtain green patent right.Because many of today’s Cleantech derives from and builds upon technical advancementsfrom other industries, the study discusses how patent law in China and USA attemps todetermine through statutes and case law regarding new uses of known processes. A greenpatenting case study provides an illustration of the suggested strategies to overcome thedoctrines of inherent anticipation and obviousness. Patent portfolio strategy is animportant tool for clean technology companies to obtain and maintain a sustainablecompetitive. After analyzing the formation mechanism of patent portfolio strategy,Chapter7makes an empirical study of the field of carbon capture or sequestration usingthe method of patent portfolio analysis. Moreover, some cases from different field ofCleantech are studied to explore how to establish patent portfolio according to theinnovation features and business targets. Patent licensing strategy is the last aspects of thepatent strategy pattern of cleantech enterprises. Case study in Chapter8shows patentlicensing not only can bring the Cleantech enterprise rational revenue, but also can helpthem to eliminate barriers to market entry and provide access to establish distribution andcustomer networks. Moreover, Chapter8also studies the open patent licensing model suchas Eco-patent Commons and GreenXchange established by some Cleantech enterprisesbased on social responsibility, and argues they facilitate green patent transfer and benefitto mitigating climate issues.
引文
②详见，国家知识产权局，全球低碳技术专利发展态势分析，专利统计简报，2010年第10期（总第86期）。
①Quirin Shiermeier, Green Patents Corralled, Nature News, May4,2010
①一个季度报告，对部分绿色专利参数进行追踪企图揭示清洁技术专利活动的发展趋势。参见：Clean Energy Patent Growth Index3rd Quarter2011, http://cepgi.typepad.com/heslin_rothenberg_farley_/2011/12/clean-energy-patent-growth-index-3rd-quarter-2011-.html
①WIPO. World Intellectual Property Indicators,2010[R].
①See35U.S.C.100
②See Bristol-Myers Squibb Co. v. Ben Venue Labs., Inc.,246F.3d1368,1376(Fed. Cir2001)(Newly discoveredresults of known processes directed to the same purpose are not patentable because such results are inherent”)
③See Abbott Labs. v. Baxter Pharm. Prods., Inc.,334F.3d1274,1279(Fed. Cir.2003),
①See Graham v. John Deere Co.,383US1,11(1966).
①See KSR Int'l Co. v. Teleflex, Inc.,550U.S.398(2007)
③Eco-Patent Commons to Receive Three Patents from HP, World Bus Council For Sustainable Dev.(July1,2010).
④Dow and Fuji Xerox Join Eco-Patents Commons, Xerox Pledges Additional Patent to Help the Planet,World Bus Council For Sustainable Dev.(Oct.20,2009).
⑤Ricoh and Taisei Join Eco-Patent Commons, DuPont Contributes Additional Eco-Friendly Patents, World Bus CouncilFor Sustainable Dev.(Mar.23,2009),
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①Quirin Shiermeier, Green Patents Corralled, Nature News, May4,2010
①一个季度报告，对部分绿色专利参数进行追踪企图揭示清洁技术专利活动的发展趋势。参见：Clean Energy Patent Growth Index3rd Quarter2011, http://cepgi.typepad.com/heslin_rothenberg_farley_/2011/12/clean-energy-patent-growth-index-3rd-quarter-2011-.html
①WIPO. World Intellectual Property Indicators,2010[R].
①See35U.S.C.100
②See Bristol-Myers Squibb Co. v. Ben Venue Labs., Inc.,246F.3d1368,1376(Fed. Cir2001)(Newly discoveredresults of known processes directed to the same purpose are not patentable because such results are inherent”)
③See Abbott Labs. v. Baxter Pharm. Prods., Inc.,334F.3d1274,1279(Fed. Cir.2003),
①See Graham v. John Deere Co.,383US1,11(1966).
①See KSR Int'l Co. v. Teleflex, Inc.,550U.S.398(2007)
③Eco-Patent Commons to Receive Three Patents from HP, World Bus Council For Sustainable Dev.(July1,2010).
④Dow and Fuji Xerox Join Eco-Patents Commons, Xerox Pledges Additional Patent to Help the Planet,World Bus Council For Sustainable Dev.(Oct.20,2009).
⑤Ricoh and Taisei Join Eco-Patent Commons, DuPont Contributes Additional Eco-Friendly Patents, World Bus CouncilFor Sustainable Dev.(Mar.23,2009),
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