Evaluation on patent output in research area of agricultural non-point source pollution and heavy metal polluted croplands funded by the National Key Research and Development Program of China
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摘要: 专利评估是科研项目成果产出评价的重要方面。本文基于“十三五”国家重点研发计划“农业面源和重金属污染农田综合防治与修复技术研发”专项, 对各项目在实施周期内产生的专利成果进行了评估和分析。作者运用专利大数据对现有的专利价值评估指标进行优化和筛选, 在原有的技术、法律、市场“三维一体”的评价体系基础上, 关注技术热点和专利运营情况的挖掘分析。结果表明, “十三五”农业面源专项产出的专利成果整体表现良好, 评分均值为71.01, 专利技术分布与市场关注方向的匹配度较高, 但大部分专利成果距离产业化阶段还存在一定距离, 专利申请文本质量有待提升。该研究可为科学评估科研项目专利成果产出、深入识别和挖掘高价值专利、加强项目管理精细化水平提供理论方法与案例借鉴, 同时为科研单位加强专利产出与管理、推动成果转化应用提供参考。Abstract: Patent evaluation is of importance in assessing the output of research projects. In this paper, the authors evaluated the patent achievements during the implementation of the key project of National Key R&D Program of China in the 13th Five-Year Plan entitled “Research and development of comprehensive control and remediation technology for agricultural non-point source and heavy metal polluted farmland”. The authors employed big data on patent information, optimized current patent evaluation indicator system, and highlighted the assessment of technique hotspots and patent operation on the basis of the former evaluation system which consisted of three dimensions of technique, law and market. The results showed that the overall evaluation of the patent achievements generated from the National Key R&D Program of 13th Five-Year Plan was acceptable with an average rating of 71.01. The distribution of patent techniques has a high matching degree with the market hotspots. However, a large portion of patent achievements were insufficient for industrialization, and the quality of patent application text needed to be improved. This study is expected to properly evaluate the patent outputs from research projects, to recognize patents with high values and to provide methodology and case study examples for the scientific management of research projects. Meanwhile, it provides relevance for scientific research institutions to strengthen patent output, management and application, and to promote the transformation and application of technological advances.
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图 3 专利成果权利要求项数和说明书页数分布情况
Figure 3. Number of claims and pages of patent application materials
图 4 专利成果技术方案按应用领域的分布情况
Figure 4. Distribution of technical solutions of patents by application fields
图 6 专利成果按评分区间的累计数量分布情况
Figure 6. Distribution of the cumulative number of patent output by scoring interval
图 7 主要专利技术领域的评分均值分布情况
图中各技术领域编号的释义来源于国家知识产权局发布的国际专利分类表[8]。G01N: 利用化学或物理性质分析材料; C12N: 微生物或酶; B09C: 污染土壤的再生; B01J: 化学或物理方法; C05G: 肥料的混合物; C05F: 有机肥料; C02F: 水、废水、污水或污泥的处理; A01G: 园艺; A01C: 种植、播种、施肥; A01B: 农业机械、农具部件。The definition of the technical field number in the figure is from the international patent classification of the World Intellectual Property Organization[9]. G01N: investigating or analysing materials by determining their chemical or physical properties. C12N: microorganisms or enzymes, compositions of propagating, preserving, or maintaining microorganisms; mutation or genetic engineering; culture media. B09C: reclamation of contaminated soil. B01J: chemical or physical processes, e.g. catalysis or colloid chemistry; their relevant apparatus. C05G: mixtures of fertilisers covered individually by different subclasses of class. C05G: mixtures of one or more fertilisers with additives not having a specific fertilising activity. C05F: organic fertilisers not covered fertilisers from waste or refuse. C02F: treatment of water, waste water, sewage, or sludge. A01G: horticulture; cultivation of vegetables, flowers, rice, fruit, vines, hops or seaweed; forestry; watering. A01C: planting; sowing; fertilizing. A01B: soil working in agriculture or forestry; parts, details, or accessories of agricultural machines or implements, in general.
Figure 7. Distribution of average scores in major patented technology areas
表 1 各类型项目专利成果统计表
Table 1. Patent output from projects of different types
项目类型
Category项目数量
Projects number专利产出
Patent output平均值
Average基础研究类
Basic research7 100 14.3 技术研发类
Technique research and
development15 516 34.4 示范应用类
Demonstration and application13 341 26.2 合计 Total 35 957 — 
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表 2 主要专利申请(授权)人的专利申请及状态分布情况
Table 2. Top 10 patent applicants and relative patent status
申请(专利权)人
Applicant申请数
Application number授权数
Grant number授权率
Grant ratio (%)有效数
Effective number农业农村部环境保护科研监测所
Agro-Environmental Protection Institute, Ministry of Agriculture and Rural Affairs48 28 58.3 28 浙江大学 Zhejiang University 38 31 81.6 31 南京农业大学 Nanjing Agricultural University 34 24 70.6 24 中国科学院南京土壤研究所 Institute of Soil Science, Chinese Academy of Sciences 26 20 76.9 20 江苏省农业科学院 Jiangsu Academy of Agricultural Sciences 26 19 73.1 19 北京市农林科学院 Beijing Academy of Agriculture and Forestry Sciences 26 23 88.5 23 中国农业大学 China Agricultural University 24 19 79.2 19 华中农业大学 Huazhong Agricultural University 24 14 58.3 14 华南农业大学 South China Agricultural University 23 13 56.5 13 山东省农业科学院农业资源与环境研究所
Institute of Agricultural Resources and Environment, Shandong Academy of Agricultural Sciences22 11 50.0 11
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表 3 代表性高评分专利成果情况(10件)
Table 3. Ten representative patents with high evaluation scores
专利名称
Patent title评分
Rating技术功效
Technical efficacy一种水质探测器、水体污染排放源监测系统及方法
A water quality detector, water pollution discharge source monitoring system and method91.22 实现污染源定位, 提高监测准确率
Locate pollution sources and improve monitoring accuracy一种面源污染监测评估方法及装置
Method and device for monitoring and evaluating surface source pollution89.22 监测数据具有针对性和区域差异性, 评估结果更为准确
Targeted and regionally heterogeneous data, and more accurate assessment results一种基于水位调控的灌区水田非点源污染负荷估算方法
A method for estimating non-point source pollution load of paddy field in irrigated area based on water level regulation87.07 环境优化管理; 构型改良; 反映异质性特征
Environmental optimization management, configuration improvement, reflect heterogeneous features一种基于土壤共存金属影响的小麦籽粒镉富集量预测方法
A method for predicting cadmium concentration in wheat grains under the co-exposure of heavy metals in soil86.26 参数易获得、适用性强、预测效果良好的预测方法
Prediction method with easy parameter availability, strong applicability and good prediction effect一种准确测定耕地重金属污染状况的方法
A method for accurately measuring heavy metal pollution condition in farmland85.45 提高重金属含量测定结果的可靠性
Improve the reliability of heavy metal content determination results异位发酵床畜禽养殖粪污处理系统及其应用
The treatment system for ectopic fermentation bed of livestock and poultry manure and its application85.42 提升发酵质量, 扩大粪污处理能力, 提高发酵运行效率
Improve fermentation quality, expand manure treatment capacity, and improve fermentation operation efficiency一种中轻度重金属污染土壤上稻米安全生产的方法
A method for safe production of rice in soil contaminated by heavy metals at the moderate-mild levels84.79 控制土壤重金属活性, 确保中轻度污染稻田水稻的安全生产
Control the activity of heavy metals in the soil to ensure the safe production of rice in moderately and lightly polluted paddy fields一种基于多源数据的农田重金属高风险区遥感快速识别方法
A fast and remote sensing identification method for heavy metal high risk areas in farmland based on multi-source data83.58 精确地识别出研究和防范价值更高的重金属污染高风险区域及准确边界
Accurately identify high-risk areas and precise boundaries for research and prevention of higher value heavy metal contamination一种农田土壤重金属污染决策系统及方法
A decision-making system and method for heavy metal pollution of farmland soil83.36 可实现农田土壤重金属污染的风险评估、分级预警、应急处置
Realize risk assessment, graded early warning and emergency disposal of heavy metal pollution in farmland soil一种镉污染土壤上间作种植籽粒苋与小麦的方法
A method for interplanting amaranth and wheat in the cadmium-contaminated soil83.22 提高了镉污染土壤上种植的小麦质量
Improve quality of wheat grown in cadmium-contaminated soil
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表 4 专利成果的稳定性、技术先进性、保护范围评价的分值分布情况
Table 4. Rating of stability, technical advancement and protection range of the patents
分值
Rating评价指标 Evaluation indicator 稳定性
Stability技术先进性
Technical advancement保护范围
Protection range1~2 196 195 190 3~4 150 176 17 5~6 0 49 264 7~8 297 236 479 9~10 314 301 7
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