随着全球能源资源和环境问题的日益严峻，缓解能源危机、开发清洁能源 成为世界各国能源战略的重要举措。风能具有分布广、无污染的特点，因此， 风力发电成为世界各国能源发展的重要选择。中国风能资源非常丰富，但是中 国风能开发、利用时间较短、经验不足，面临非常严峻的技术压力，严重遏制 中国风力发电产业的高速发展。为此，基于专利视角探析中国风力发电产业技 术发展概况，同时分析国际风力发电产业热点技术领域、技术演化情况等，均 能为中国风力发电产业技术发展提供有价值的借鉴。 首先，采用统计分析方法分析中国风力发电产业专利技术时间趋势、申请 人情况，发现外国企业在华专利申请占据着中国风力发电产业专利申请的绝对 优势；应用技术生命周期理论绘制中国风力发电产业技术生命周期曲线，发现 中国风力发电产业处于复苏期；采用空间自相关分析方法分析中国风力发电产 业有效专利盛市分布情况，分析有效发明专利空间自相关情况，发现中国风 力发电产业有效发明专利呈现较明显的正的空间自相关特性。 其次，基于国际专利分类号、德温特手工代码，采用技术共现分析方法绘 制专利技术共现图谱，探析国际风力发电产业热点技术领域，发现国际风力发 电产业热点技术领域，有风力发电机技术领域、风力发电控制设备领域、多源 系统互连电力传输领域、风力发电风车叶片领域等。 II 最后，从专利质量角度探析国际风力发电产业核心专利情况。基于专利引 文主路径视角发掘国际风力发电产业核心专利，并梳理国际风力发电产业技术 演化情况；为保证国际风力发电产业技术演化路径的准确性及价值，结合专利 强度指标，对演化路径专利质量予以评价，发现基于专利引文探析的国际风力 发电产业专利技术演化路径质量较高，同时发现中国风力发电产业核心专利拥 有量严重不足。 关键词：风力发电产业；专利信息分析；技术演化路径；核心专利；GIS 空间分析 III WINDPOWERINDUSTRYPATENTTECHNOLOGYRESEARCHAND DEVELOPMENTOVERVIEW,RESEARCHANDDEVELOPMENT HOTSPOTSANDEVOLUTIONPATHRESEARCH ABSTRACT Withtheincreasingseverityofglobalenergyresourcesandenvironmentalissues, alleviatingtheenergycrisisanddevelopingcleanenergyhavebecomeimportant measuresintheenergystrategiesofcountriesaroundtheworld.Windenergyhasthe characteristicsofwidedistributionandnopollution.Therefore,windpower generationhasbecomeanimportantchoiceforenergydevelopmentincountries aroundtheworld.China'swindenergyresourcesareveryrich,butChina'swind energydevelopmentandutilizationtimeisrelativelyshort,lackofexperience,facing veryseveretechnicalpressure,andseverelycurbtherapiddevelopmentofChina's windpowerindustry.Tothisend,fromtheperspectiveofpatentanalysisofChina's windpowerindustrytechnologydevelopmentoverview,whileanalyzingthe internationalwindpowerindustryhottechnologyareas,technologyevolution,etc., canprovideavaluablereferenceforChina'swindpowerindustrytechnology development. First,thestatisticalanalysismethodisusedtoanalyzethetimetrendofChina's windpowerindustrypatenttechnologyandthestatusofapplicants.Itisfoundthat foreigncompanies'patentapplicationsinChinaoccupytheabsoluteadvantageof China'swindpowerindustrypatentapplications;applyingtechnologylifecycle theorytodrawChina'swindpowerindustrytechnologyLifecyclecurve,foundthat China'swindpowerindustryisinarecoveryperiod;usingspatialautocorrelation analysismethodtoanalyzethedistributionofeffectivepatentprovincesandcitiesin China'swindpowerindustry,analyzethespatialautocorrelationofeffective inventionpatents,andfindthatChina'swindpowerindustry'seffectiveinvention IV patentsappearThemoreobviouspositivespatialautocorrelationcharacteristics. Secondly,basedontheinternationalpatentclassificationnumberandDerwent handcode,thetechnicalco-occurrenceanalysismethodisusedtodrawthepatent technologyco-occurrencemap,toanalyzethehottechnologyfieldsofthe internationalwindpowerindustry,andfindthatthehottechnologyfieldsofthe internationalwindpowerindustryhavewindturbinetechnologyField,windpower generationcontrolequipmentfield,multi-sourcesysteminterconnectionpower transmissionfield,windpowergenerationwindmillbladefield,etc. Finally,thecorepatentsoftheinternationalwindpowerindustryareanalyzed fromtheperspectiveofpatentquality.Explorethecorepatentsoftheinternational windpowerindustryfromtheperspectiveofthemainpathofpatentcitations,and sortoutthetechnicalevolutionoftheinternationalwindpowerindustry;inorderto ensuretheaccuracyandvalueoftheinternationalwindpowerindustrytechnology evolutionpath,combinedwiththepatentstrengthindex,theevolutionpathpatent qualityTheevaluationfoundthattheevolutionarypathofpatenttechnologyinthe internationalwindpowerindustrybasedonpatentcitationanalysisisofhighquality, andatthesametimefoundthatthenumberofcorepatentsintheChinesewind powerindustryisseriouslyinsufficient. KEYWORDS:windpowerindustry;patentinformationanalysis;technology evolutionpath;corepatents;GISspatialanalysis V 目录 一、绪论......................................................................................................................................1 1.1研究背景......................................................................................................................1 1.2研究目的与研究意义..................................................................................................2 1.2.1研究目的...........................................................................................................2 1.2.2研究意义...........................................................................................................3 1.3文献综述.......................................................................................................................3 1.3.1风力发电产业专利视角综述...........................................................................3 1.3.2技术动态演化路径综述...................................................................................5 1.3.3专利价值综述...................................................................................................6 1.3.4相关文献研究述评..........................................................................................7 1.4研究框架与内容...........................................................................................................8 1.4.1研究框架...........................................................................................................8 1.4.2研究内容...........................................................................................................8 1.5数据来源与研究方法..................................................................................................9 1.5.1数据来源..........................................................................................................9 1.5.2研究方法........................................................................................................10 1.5.3应用软件........................................................................................................11 1.6相关概念界定............................................................................................................12 1.6.1风能与风力发电.............................................................................................12 1.6.2风力发电技术体系.........................................................................................12 1.6.3风力发电产业.................................................................................................12 1.7主要创新点.................................................................................................................13 二、中国风力发电产业专利技术研发概况............................................................................15 2.1专利申请时间趋势及技术生命周期分析................................................................15 2.1.1专利申请量时间趋势分析.............................................................................15 2.1.2技术生命周期分析........................................................................................17 VI 2.2申请人分布特征........................................................................................................19 2.3中国风力发电产业有效专利区域分布特征............................................................21 2.3.1中国各盛市风力发电产业有效专利总体分布........................................22 2.3