基于专利的全球秸秆利用技术发展态势分析

目的 通过专利分析揭示全球秸秆利用技术的研发现状与态势，为中国秸秆产业创新技术发展提供情报支撑。方法 文章利用Derwent Innovation（DI）、德温特数据分析软件（Derwent Data Analyzer，DDA）、incoPat等专业分析工具和平台，对申请年截止日期为2020年的全球秸秆利用专利申请趋势、专利布局、重要申请人、技术发展态势等内容进行深入分析。结果 （1）截止2020年，中国秸秆利用发明专利数量为5.36万件，占全球的76.80%，居第一。美国希乐克公司专利申请量居首位，中国科学院、中国农业科学院分列第二、第三位。中国专利申请呈“小而散”的特点。（2）中国秸秆利用专利布局主要在国内，涵盖了“五料化”（肥料化、饲料化、燃料化、基料化、原料化）利用各领域，且以秸秆肥料化利用专利为主。（3）对全球排名前50申请人类型分析表明，国外申请人以企业为主，中国申请人类型则以高校和研究机构为主。（4）中国秸秆利用专利授权率20.49%，转让与许可专利比例仅为5.56%，与发达国家差距仍较大（美国73.67%）。结论 中国是秸秆利用专利申请大国，但与发达国家相比，在专利质量、核心专利以及专利转化方面仍存在高价值专利少、专利转化水平低等一些问题，因此建议：（1）提高企业的研发水平，促进校企合作。（2）密切关注国际核心关键技术研发动态，增加自身核心专利或高影响力专利的数量。（3）发挥中国在秸秆肥料与秸秆建筑材料等利用技术方向的专利优势，加速专利向产业转化。

ANALYSIS ON THE DEVELOPMENT TREND OF GLOBAL STRAW UTILIZATION TECHNOLOGY BASED ON PATENT

The research aims to examine the status and trend of global straw utilization technology through patent situation analysis for the development of innovative technology of straw industry in China. Derwent Innovation (DI), Derwent Data Analyzer (DDA) and incoPat were used to analyze the global straw patent application trend, patent layout, important applicants, and technology development trend with 2020 set as the deadline. The results showed that by 2020, the number of invention patents on crop straw in China was 536 000, which accounted for 76.80% of the world''s total. A surge in Chinese crop straw patents from 2010 led to global straw patent growth. Based on the number of applicants'' patents, Xyleco in the United States ranked the first, followed by the Chinese Academy of Sciences and Chinese Academy of Agricultural Sciences that ranked the second and the third, respectively. China''s crop straw patents layout was mainly in domestic, the patents covered all areas of 5F utilization of fertilizer, fodder, fuel, edible fungi base and fiber, with fertilizer utilization as the principal method. The analysis of Top 50 applicants showed that enterprises were the main force of technological research and development among foreign applicants. Whereas Chinese crop straw, patents were mainly from universities and research institutes. The patent authorization rate of crop straw in China was 20.49 %, with a 5.56% of transfer and license patents far below that of developed countries such as the U.S. (73.67%). In summary, although China have the highest crop straw patents, there are challenges of low patent quality, a small number of key patents and low proportion with patent transformation. The research recommends the need for enterprises to improve their R & D level and promote school-enterprise cooperation. Secondly, key technologies and core patents or high-impact patents of other international researchers must be intensified. Finally, China needs to take advantage of its patent in the use of straw fertilizers and straw building materials, to accelerate the transfer of patents between research institutes and industries.