专利信息检索和分析

1、专利信息检索和分析专利信息检索和分析内容概要Abstract企业自主创新的机遇和挑战 Opportunities and challenges of enterprise self-innovation专利信息在技术创新中的价值Value of patent information in the technological innovation专利信息检索Patent information searching专利战略分析Patent strategies analysis搭建企业专利信息服务平台 Construction of enterprise patent information se

2、rvice platform专利信息检索和分析自我介绍Self-introduction现任 Current post 北京东方灵盾科技有限公司总裁 President of Beijing East LINDEN Science and Technology Co., Ltd. 曾任 Past posts 国知局专利检索咨询中心检索处处长Director of Searching Office, Patent Searching & Consulting Center, National Intellectual Property Right Bureau 国家知识产权局专利检索咨询中心数据

3、加工处处长Director of Data Processing Office, Patent Searching & Consulting Center, National Intellectual Property Right Bureau 国家知识产权局知识产权出版社专利数据研发中心主任Director of Patent Data Research and Development Center, Intellectual Property Right Copyright Society, National Intellectual Property Right Bureau 经历Exp

4、erience 二十余年专利信息工作经验 More than twenty years of patent information experience领导完成国家知识产权局第一个具有国际先进水平和自主知识产权的成果中国中药专利数据库He has led and completed the first achievement of National Intellectual Property Right Bureau with international advanced level and self-owned intellectual property rightChina TCM pat

5、ent database 现领导东方灵盾建设自主知识产权深度标引的世界传统药物专利数据库，开发专利检索分析相关软件，广泛开展专利信息咨询服务，为政府和企事业单位量身定制专业化的中外专利数据库。 The comrade is now leading East LINDEN to construct the world traditional medicine patent database labeled with in-depth intellectual property right, develop relevant software of patent searching analysi

6、s, launch out patent information consulting service and fabricate professional domestic and foreign patent database for the government, SOE and enterprises. 专利信息检索和分析自主创新中小企业的发展机遇Self-innovation-development opportunities for medium and small-sized enterprises中国进入WTO以后，正面临着科技进步和经济全球化的挑战。我国企业若要赢得这场挑战，

7、就必须依靠技术创新迅速提高产品的技术水平，提升核心竞争力。After Chinas entry into WTO, it is confronted with the challenges of technological progress and economic globalization. Our enterprises must rely on technological innovation to swiftly upgrade the product technological level and level up the core competitiveness in order

8、 to win the challenges. 党中央在十七大适时提出 “提高自主创新能力，建设创新型国家”的发展战略，将其作为提高综合国力的关键。The Partys Central Committee has mentioned the development strategies of “upgrading the self-innovative ability and constructing an innovative country” in 17th National Peoples Congress and taken it as the key point in upgradi

9、ng the comprehensive national strength. 中小企业是我国技术创新的主体，也是成长最快的科技创新力量，国家政策的东风为中小企业的发展带来了良好的机遇。Medium and small-sized enterprises are the main body of Chinas technological innovation and the technological innovative strength with fastest growth. The national policies have brought about excellent oppor

10、tunities for the development of medium and small-sized enterprises. 专利信息检索和分析中小企业发展的历史现状Development historical status of medium and small-sized enterprises 但是，由于中国的知识产权制度建立仅二十多年，由于中国长期处于国企为主的计划经济，中小企业仅在改革开放后才得以发展等历史原因，我国中小企业大多数是靠低创业资本起家、靠仿制、贴牌、拷贝等低成本生产，而获得最初的发展。However, Chinas IP system has been est

11、ablished for only above twenty years. China has been in the planned economic status focusing on state-owned enterprises for a long time. The great development of the medium and small-sized enterprises starts after reform and opening-up. Most of the medium and small-sized enterprises in China have st

12、arted through low investment and achieved initial development through low cost production such as simulation, brand adhesion, copy and so on. 这种习惯于仿制、贴牌、拷贝等低成本生产和对知识产权知识的无知，使我国很多中小企业在面对知识产权经济大潮到来和进入国际市场竞争时，遭到巨大冲击，吃尽苦头! The low cost production such as simulation, brand adhesion and copy and ignorance

13、 of IP knowledge have made a lot of medium and small-sized enterprises suffer from great impact and setback faced with emergence of IP economic tide and during the international market competition! 专利信息检索和分析337调查的警示 Warning of 337 investigation 2007年3月31日，美国国际贸易委员会对爱普生起诉24家（其中中国有16家）通用墨盒企业侵犯其专利权一案，做

14、出了初审裁决，全部被告均涉侵权，并建议发布普遍排除令和停止令，要求所有被告停止向美进口和在美销售侵权墨盒，并禁止所有侵权墨盒进入美国市场。普遍排除令和停止令并发，是337可能做出的最严厉裁决。On March 31st, 2007, the American International Trade Committee has offered the initial judgment to EPSONs lawsuit to 24 (16 in China) general ink box enterprises concerning patent infringement. All the d

15、efendants have involved in the infringement. It is recommended to promulgate the general elimination order and stop order. All the defendants are asked to stop import to and sales in America of ink boxes. And all the infringing ink boxes are prohibited from entry into American market. The joint prom

16、ulgation of general elimination order and stop order may be the strictest judgments of 337. 2002年以来，美国已对我国发起337调查60起，我国已连续5年成为遭受337调查最多的国家。 Since 2002, America has made sixty 337 investigations to our country. China has become the country with most 337 investigations for five consecutive years. 遭遇33

17、7调查，表明了我国中小企业知识产权意识的淡薄和知识产权战略的缺失。337 investigation has shown the weak IP consciousness in Chinas medium and small-sized enterprises and deficiency of IP strategies. 专利信息检索和分析中国MP3德国参展遭扣China MP3 products are confiscated in German exhibition 2007年，在全球消费电子、IT及通信业一年一度的重要大展德国汉诺威CeBIT博览会上，中国的名牌MP3因涉嫌侵犯意大

18、利Sisvel公司有关MP3方面的专利，而在德国汉诺威CeBIT的展台惨遭德国海关查抄。In 2007, in the annual exhibition of IT and communication industry-German Hannover CeBIT exhibition, Chinas famous MPS products are confiscated by German customs at German Hannover CeBIT exhibition hall due to infringement upon MP3 patent of Italy Sisvel.

19、据悉，Sisvel拥有MPEG-2美国之外的专利权。如果生产涉及MPEG-2标准的MP3、MP4等影音产品，必须每个产品向Sisvel支付60美分的专利费用。According to relevant information, Sisvel owns the patent right outside MPEG-2 America. Once MP3 and MP4 products concerning MPEG-2 standard are manufactured, 60 cents patent expense must be paid to Sisvel for each produc

20、t. 专利信息检索和分析产品出口的专利壁垒Patent barrier of products export 此外，从DVD到汽车、摩托，从手机到电脑、芯片，我国企业在国外遭遇多起“专利门”事件。在国外竞争对手的专利法宝面前，一些“中国制造”成了待宰的羔羊。Besides, Chinas enterprises have encountered numerous “patent” incidents from DVD to automobile, motorcycle from mobile phone to computer and chips. Before the patent of f

21、oreign competitors, some “made in China” products have become the lamb awaiting death. 我国企业在专利战中所处的劣势，充分反映了以下几方面问题：The disadvantages of Chinas enterprises in the patent war have adequately reflected the following several problems: 忽视技术创新，缺乏核心技术Neglect technological innovation and lack core technolog

22、y 忽视专利技术分析，未能进行侵权规避设计Neglect patent technological analysis and fail to conduct infringement evasive design 缺乏专利预警机制，无法及时发觉侵权风险Lack patent pre-alarm mechanism and fail to discover infringement risks in a timely manner. 专利信息检索和分析专利信息在技术创新中的价值Value of patent information in technological innovation 专利信息

23、检索和分析专利文献是世界上反映科技发明成果发展水平最迅速、最系统、最全面的信息资源，是科学技术竞争情报中最活跃的因素。Patent documentary is the fastest, most systematic and complete information sources in the world reflecting the scientific and technological invention achievements. It is the most dynamic element in the technological competitive information.

24、 专利说明书中含有90-95%的研发成果，其中80%以上的技术将不再出现于其它技术文献中。The patent specification contains 90-95% research and development achievements, above 80% of which will not occur in other technological documentary. 据多年前的统计，欧洲的十几个专利条约成员国中，由于在应用技术的研究开发中利用了专利文献，避免了重复研究，每年可节约研究开发经费300亿马克。According to the statistics a few y

25、ears ago, above ten patent convention membership countries in Europe have avoided repeated research due to and utilization of patent documentary in the applicable technologies research, development. They have saved 30 billion Mark research and development expenditure. 专利信息法律性技术性商业性专利信息是技术创新的源泉Patent

26、 information is the source of technological innovation 专利信息检索和分析技术竞争情报Technological competitive information 商业竞争情报Business competitive information 战略竞争情报Strategic competitive information 专 利 信 息 Patent information 蕴含丰富的技术、经济和法律信息Rich technological, economic and legal information 揭示世界技术的发展历史、趋势和分布Unv

27、eil the development history, tendency and distribution of world technologies 反映竞争对手的技术和市场发展动态Reflect the technological and market development status of competitors 揭示科技创新和市场发展的机会和风险Unveil the opportunities and risks of technological innovation and market development 揭示技术引进、技术应用、技术转让的机会和风Unveil the o

28、pportunities and risks of technological introduction, application and transfer 最有价值的Most valuable专利信息检索和分析利用专利信息指导技术研发Technological research and development under the guidance of patent information 充分有效的利用专利信息，可以启迪企业研究人员的创新思路，提高创新的起点，实现创新目标。Adequate and effective utilization of patent information ca

29、n inspire the enterprise research personnel to have an innovative thought, upgrade the innovative starting point and realize innovative objectives. 海尔集团在开发一款出口美国的BF111型冷藏箱时，根据美国客户的市场反馈，设计人员决定加上一个易拉罐自动补位装置。在设计之前，专利工作人员进行了国内外专利检索，发现加拿大A公司在美国申请的专利与海尔的设计初步方案有抵触，为此，海尔委托美国的专利事务所进行了侵权对比分析，并提供了法律意见。据此，知识产权人

30、员配合设计人员就所设计的一种更新颖、更方便的易拉罐自动补位装置，进行反复专利防侵权论证，确认不与在先权利冲突后，确定了技术方案。产品出口美国后，受到了消费者的极大欢迎，市场销量猛增。 Haier Group designers have decided to add a tin automatic position compensation device according to the American market feedback during the development of BF111 refrigerating storage exported to America. Befo

31、re the design, the patent personnel have conducted a domestic and foreign patent searching and discovered that patent applied by Canada Company A in America is contrary to Haiers initial design plan. Therefore, Haier has entrusted American patent office to conduct an infringement contrast analysis a

32、nd provided legal opinions. IP personnel have coordinated with designers to conduct repeated patent anti-infringement demonstration concerning a newer and more convenient tin automatic position compensation device. The technological plan has been confirmed after confirmation of no right confrontatio

33、ns. The products have won the great welcome of consumers after export to America and the market volume has increased sharply. 专利信息检索和分析不经过专利分析 No patent analysis 真正有效的专利不到总数的1/3，2/3花的是冤枉钱。Effective patent technologies only take up 1/3 of the total volume/ 2/3 are a waste of money. 专利分析显示Patent analy

34、sis has shown:97件专利技术中的23件专利是过期的，29件专利已临近到期，13件则刚刚递交申请，没有授权，真正算数的专利只有32件，仅占总数的3323 of 97 patent technologies are out of date. 29 are at the edge of expiration. 13 have just applied the patent right without any authorization yet. Only 32 patent technologies are valuable which take up 33% of the total

35、 volume. 专利技术股金Patent technology share capital 1600万美元 16 million USD 天价换来垃圾 Purchase rubbish with high price某外商以97项专利技术共折合1600万美元入股，与北京某汽车厂合资A certain foreign investor has invested with 97 patent technologies which is equal to 16 million USD and cooperated with a certain automobile plant in Beijing

36、. 企业忽视专利信息的惨痛教训Painful lessons drawn from enterprise neglecting patent information 技术引进中的专利陷阱 Patent ambush in the technological introduction专利信息检索和分析忽视专利信息检索导致重复研发Repeated research and development due to neglect of patent information searching 许多企业在产品研发之前没有充分地进行专利检索和预警分析，了解本行业最前沿的研发动向，陷入了“闭门造车”的状态，

37、结果导致重复研发，不仅浪费了人力和资金，还无意中造成了侵权，使得多年的成果付诸东流。A lot of enterprises fail to conduct adequate patent searching and pre-alarm analysis before products research and development and do not know the frontier research and development orientations within the circle which have led to “self-sufficiency” status an

38、d repeated research & development. They have not only wasted manpower and fund, but also led to infringement unintentionally. Therefore, years of achievements have been wasted. 据统计，我国关于中药新药的研发有90都是重复研究。中国专利局签发的数百万件专利中，可能有一半会被漏检的外国专利、各国期刊论文，以及其他事实和规则予以推翻。According to the statistics, 90% of the new TC

39、M research and development are repeated in China. Maybe a half of the millions of patent technologies signed and issued by China Patent Bureau will be demolished foreign patents, periodical thesis of various countries and other facts and regulations which will be leaked. 专利信息检索和分析专利信息检索Patent inform

40、ation searching 专利信息检索和分析因特网上的免费专利信息资源Free patent information resources in the Internet 国家知识产权局网站 ()中国知识产权网 ()美国专利商标局网站()日本特许厅网站（ ）韩国专利数据库网站()欧洲专利局网站及各国专利数据库（ep.espacenet ）世界知识产权数字图书馆（)加拿大专利数据库（)澳大利亚知识产权网站 ()俄罗斯联邦专利数据库网站（）新加坡知识产权局网站（）台湾APIPA网站及台湾专利数据库 ()专利信息检索和分析检索界面的形式Form of searching interface表格式

41、检索界面：直接将所要检索的内容填写在特定字段的表格中，然后开始检索。这是在中国国家知识产权局官方网站上检索中国专利数据库的检索界面。Form searching interface: directly fill in the searching content in the form with special fields and then start searching. This is the searching interface of China patent database in the official website of China IP Bureau. 专利信息检索和分析检

42、索界面的形式Form of searching interface命令式式检索界面：将所要检索的主题内容按照一定的逻辑组配关系组成检索提问式填写在表格中，并开始检索。这是通过因特网检索美国专利商标局网站上的美国专利数据库。Command searching interface: form the searching questions with topic contents according to a certain logical integration relationship, fill in the form and start searching. This is American

43、 patent database in the official website of American Patent Trademark Bureau through the Internet. 专利信息检索和分析专利文献的检索途径和字段代码Searching route and field code of patent documentary号码检索No. searching: 专利申请号(AN)、公告号(PN)等名称检索Name searching: 发明人(IN)、申请人(AP)主题检索 Topic searching: 专利篇名(TI) 文摘 (AB) 关键词 (KW) 德温特主题代

44、码(MC) 分类检索Classified searching: 国际专利分类(IC) 美国专利分类(CL) 德温特分类(DC) 范畴分类(CT-中国专利库) 优先权检索 Preemptive right searching: (PR) 日期检索Date searching: 申请日(AD) 公告日(PD)引证文献检索 Quoted documentary searching: (CT)法律状态检索Legal status searching: （LG)其它检索途径 Other searching routes: 国别省市代码 (CO) 化学结构 基因序列 (Chemical structure

45、 gene sequence) 中药方剂 说明书全文检索等 Full text searching of TCM ingredient specification 专利信息检索和分析号码检索No. searching 主要通过申请号、专利号检索。例如，在有关报刊、文摘或商品中查到某相关专利号后，可通过该号码查找该专利的文摘或全文。通过申请号及专利号，还可以检索特定专利的同族专利。通过专利号查到某专利后，还可从中进一步得到分类号、优先权等信息，据此进一步扩大检索范围。 The application number and patent number shall be mainly adopted

46、 for searching. For instance, after relevant patent number has been searched in the newspapers, periodicals, digest or commodities, the number can be adopted to search the patent documentary or full text. The application number and patent number shall be utilized to search the specific patent. After

47、 a certain patent has been searched through the patent number, the classification number and preemptive right can be further obtained. And the searching scope can be enlarged. 专利信息检索和分析名称检索Name searching 主要通过发明人、专利权人名称查找特定专利。例如，可以定期对某一领域的专家作为发明人进行检索，跟踪其技术开发的动态，并根据检索结果，从中寻找本公司或企业需求的专家、潜在雇员、或可能的技术转让者。

48、还可将同一领域的公司、企业或科研机构作为专利权人进行定期跟踪检索，随时掌握对方的技术开发动态，使本企业在市场竞争中知己知彼，并根据竞争对手的动态随时调整自己的发展战略。 Specific patent shall be searched mainly through inventor and patentees name. For instance, the expert in a certain field can be searched regularly as the inventor. The technological development dynamic shall be tra

49、cked. According to the searching result, the experts needed for the company, potential employees or possible technological transferees can be searched. Furthermore, the companies, enterprises or scientific research institutions in the same field can be taken as the patentee for regular tracking sear

50、ching to master the technological development dynamics at any time so that the enterprise can keep well informed all the information in the market competition and adjust its own development strategies according to the competitors dynamics at any time. 专利信息检索和分析主题检索Topic searching 主题检索途径主要通过选取主题词（关键词

51、）、主题代码查找相关技术主题的专利。这是最常用的检索途径。根据课题需要，主题检索与名称检索可进行组合。 The topic searching routes shall mainly refer to searching relevant technological topic patent through the topic word (key word) and topic code. This is the most frequently adopted searching route. According to the topic demand, the topic search an

52、d name searching can be integrated. paper feed*epson检索爱普生公司申请的有关“打印机的进纸装置”的专利 Search EPSON “printer paper device” patent专利信息检索和分析分类检索 Classified searching 分类途径是系统检索专利文献的常用途径。由于世界各国都采用统一的国际专利分类法，相同技术主题的文献都具有相同的分类号，因此通过分类检索专利文献，可以比其他途径达到更高的查全率，特别适合专利查新检索。 Classification route is the frequently adopted

53、 route for patent documentary searching. Since various countries in the world have adopted the unified international patent classification method, the documentary with same technological topic will have the same classification number. Therefore, classified patent documentary searching can realize hi

54、gher searching rate than other routes. It is particularly applicable to the new patent searching. 选择IPC分类位置Select IPC classification position 专利信息检索和分析优先权检索 Preemptive right searching 优先权项是指同族专利中基本专利的申请号、申请国别、申请日期。由于同族专利都具有相同的优先权项，因此通过优先权项可以方便、快捷地检索出有关同一发明的全部同族专利。通过某一项技术发明的同族专利数量及申请国别，可对该项技术的潜在经济价值进

55、行评价，为技术引进提供依据，为产品出口避开对方的专利保护区提供情报。 The preemptive right shall refer to the application number, country and date of basic patent in the same type of patent. Given same preemptive right in the same type of patent technologies, the preemptive right shall be utilized to search all the patents of same in

56、vention conveniently and swiftly. Same type of patent quantity and application country in a certain technological invention shall be utilized to evaluate the potential economic value of the technology, provide basis for the technological introduction and provide information for the products export t

57、o evade counterparts patent protective area. 专利信息检索和分析INPADOC同族专利检索INPADOC same type of patent searching 专利信息检索和分析引证文献检索(USPTO)Quoted documentary searching (USPTO) 专利信息检索和分析法律状态检索Legal status searching 专利信息检索和分析如何构造检索策略How to construct searching strategies 制定检索策略是指在分析用户检索课题基础上,确定检索途径与检索用词,并明确各词之间的逻辑

58、关系，安排科学的查找步骤。Searching strategies stipulation shall refer to confirmation of searching routes and words based on analysis of users searching topics, making clear the logical relationship between various words and arranging scientific searching procedures. 构造检索策略,往往涉及各方面的知识和技能,例如,需要了解检索系统特性和功能，了解所检索课

59、题的专业知识，熟悉数据库的记录结构、标引规则及词表构造，需要掌握必要的检索方法与随机调整技术等。所以要构造一个成功的检索策略,首先要求检索者具备较高的专业水平、外语水平和检索经验。Searching strategies construction shall often touch upon various knowledge and skills such as searching system features and functions, searching topic professional knowledge, database recording structure, label

60、ing regulations and word form structure, necessary searching methods and random adjustment techniques. Therefore, the searchers shall first have rather high professional level, foreign language proficiency and searching experience in order to construct a successful searching strategy. 评估检索效果的优劣有两个指标