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Patent Cooperation Treaty Yearly Review 2020 The International Patent System The International Patent System Patent Cooperation Treaty Yearly Review 2020Except where otherwise indicated, this publication is licensed under the Creative Commons Attribution 3.0 IGO License. The user is allowed to reproduce, distribute, adapt, translate and publicly perform this publication, including for commercial purposes, without explicit permission, provided that the content is accompanied by an acknowledgement that WIPO is the source and that it is clearly indi- cated if changes were made to the original content. Suggested citation: WIPO (2020), PCT Yearly Review 2020: The International Patent System. Geneva: WIPO. Adaptation/translation/derivatives should not carry any official emblem or logo, unless they have been approved and validated by WIPO. Please contact us via the WIPO website to obtain permission. For any derivative work, please include the following disclaimer: “The Secretariat of WIPO assumes no liability or responsibility with regard to the transformation or translation of the original content.” When content published by WIPO, such as images, graphics, trademarks or logos, is attributed to a third party, the user of such content is solely responsible for clearing the rights with the right holder(s). To view a copy of this license, please visit creativecommons/ licenses/by/3.0/igo The designations employed and the presentation of material through- out this publication do not imply the expression of any opinion what- soever on the part of WIPO concerning the legal status of any country, territory or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. This publication is not intended to reflect the views of the Member States or the WIPO Secretariat. The mention of specific companies or products of manufacturers does not imply that they are endorsed or recommended by WIPO in preference to others of a similar nature that are not mentioned. WIPO, 2020 First published 2020 World Intellectual Property Organization 34, chemin des Colombettes, P.O. Box 18 CH-1211 Geneva 20, Switzerland ISBN: 978-92-805-3165-75 Attribution 3.0 IGO (CC BY 3.0 IGO) Photo credits: Getty Images / koto_feja Printed in Switzerland3 Table of contents Acknowledgements 4 Further information 4 Key numbers for 2019 5 Special theme: The top 50 PCT clusters 7 A. Statistics on the international phase: PCT applications 19 Highlights 19 Global trends in PCT applications 25 PCT applications by receiving office 26 PCT applications by origin 27 PCT applications by applicant type 30 Top PCT applicants 33 PCT applications by field of technology 38 Participation of women inventors in PCT applications 41 Statistical table 45 B. Statistics on PCT national phase entries 49 Highlights 49 Global trends in PCT national phase entries 53 National phase entries by origin 54 National phase entries by office 57 Patent applications by filing route 61 Top applicants in foreign-oriented patent families 64 Statistical table 66 C. Statistics on the performance of the PCT System 71 Highlights 71 PCT applications by publication language and filing medium 75 PCT applications filed via the ePCT-filing portal 76 Timeliness in processing PCT applications by the International Bureau 77 Efficiency in processing PCT applications by the International Bureau 78 Receiving offices 80 International Searching Authorities 83 Supplementary International Searching Authorities 87 International Preliminary Examining Authorities 87 PCT-Patent Prosecution Highway pilots 89 Annexes 91 A brief presentation of the Patent Cooperation Treaty 91 Data description 94 Acronyms 95 Glossary 96 PCT Contracting States 1004 Further information Online resources The electronic version of the Review, as well as the underlying data used to compile all figures and tables, can be downloaded at wipo.int/ipstats. This webpage also provides links to the IP Statistics Data Center offering access to WIPOs statistical data and the IP Statistical Country Profiles. The following other patent resources are available on WIPOs website: PCT homepage WIPOs gateway to PCT resources for applicants, offices and the public. PCT Newsletter PCT monthly publication containing information about the filing of PCT applications and news about changes relating to the PCT. PATENTSCOPE enables the search and download of published PCT applica- tions and national/regional patent collections. Also provides access to related patent and technology information programs and services. Contact information Department for Economics and Data Analytics Website: wipo.int/ipstats Email: ipstats.mailwipo.int Acknowledgements The PCT Yearly Review was developed under the direction of Francis Gurry (Director General) and supervised by Hao Zhou (Director of Statistics). The report was pre- pared by a team led by Bruno Le Feuvre and comprising Kyle Bergquist, Ryan Lamb, Anastasiya Letnikava, all from the Department for Economics and Data Analytics. Thanks go to colleagues from the Patents and Technology Sector for providing valuable comments on drafts at various stages. Judith Davila Monzon, Samiah Do Carmo Figueiredo and Jovana Stojanovi pro- vided valuable administrative support. Gratitude is also due to the Communications Division for the editing and design of the review, and to the Printing Plant for their services. Finally, WIPO is grateful to national and regional patent offices for sharing their annual statistics.5 Key numbers for 2019 647,700 (+2.6%) PCT national phase entries 265,800 (+5.2%) PCT applications filed 127 (unchanged) Countries in which PCT applications were filed 56.9% (0.5 percentage point) Share of PCT national phase entries in worldwide non-resident filings 18.7% (+1.6 percentage points) Share of women among PCT inventors Note: The latest available year for PCT national phase entry data is 2018. 67 This years special theme provides a descriptive analy- sis of PCT filing activity at the subnational level, based on the location of inventors named in PCT applications. Whereas this is the first time that the PCT Yearly Review has analyzed clusters of innovative activity in this way, WIPOs Global Innovation Index (GII) has since 2018 supplied statistics on the worlds top-ranked science and technology clusters, while the 2019 edition of the World Intellectual Property Report (WIPR) focused on the evolution of the global innovation hotspots and their network over 40 years. Identifying and analyzing clusters of PCT filings (i.e., PCT clusters) allows for a more detailed overview of where the innovations described in PCT applications took place globally. As can be seen in figure A8, the bulk of PCT applications are filed in just a few coun- tries. On closer analysis, this special theme is able to show that most PCT filing actually originates from a relatively small number of metropolitan areas.The methodology used to identify and rank PCT clus- ters consists of three separate steps. Step 1 was to geocode to the highest level of detail obtainable the 3.1 million addresses listed in the 1.1 million PCT applications published between 2014 and 2018, done mainly through Esris ArcGIS service (see figure S1). Overall, 97% of inventor addresses were accurate to the city level or better. Over 97% of inventor addresses for 16 of the top 20 PCT origins were geocoded with an accuracy of city level or better, with the remaining four having 81% of their addresses geocoded to city level or better. Step 2 consisted in identifying and con- solidating clusters that is, those areas with a high innovative output by grouping PCT inventors with authors in scientific publications using the Density- Based Spatial Clustering of Applications with Noise (DBSCAN) algorithm.1Finally, once clusters had been identified, step 3 was to calculate the respective num- ber of PCT applications using the fractional count (share) of listed inventors present in the clusters. For further details on the methodology used, please refer to WIPOs Economic Research Working Paper No. 34 “Identifying and Ranking the Worlds Largest Clusters of Inventive Activity” and its subsequent work pre- sented in the 2018 edition of the GII. The indicators presented hereafter allow for the ana- lyzing of PCT filing activity at a global scale and the description of the main characteristics of the top 50 PCT clusters for the period 20142018. Six of the eight largest PCT clusters were in East Asia Map S1 shows the location of PCT activity per 100 square kilometers, utilizing the geocoded location of inventors; hence, the higher the peak, the denser is the innovative activity within a geographical area. As can be seen, PCT activity is widely dispersed geo- graphically. Those areas with particularly dense filing 1 This special theme follows the broader definition of a cluster as presented in the special section of the 2018 edition of the GII. Patents only present one potential avenue of innovation. Incorporating scientific publications into the clustering process broadens the definition of innovation and provides a refined picture of where dense innovative activity is occurring. Thus, the clusters represent a combination of dense patent activity and dense Academic publication activity. It is important to note that, although Web of Science data was used to form the boundary of each cluster, Scientific publication data have been excluded from this particular analysis. Resulting data and analysis were derived from PCT applications alone. Special theme: The top 50 PCT clustersPCT YEARLY REVIEW 2020 8 S1. PCT application density per 100 square kilometers, 20142018 80 K PCT applications per 100 km2 10 K 1 K 100Source: WIPO Statistics Database, March 2020. S2. Top 50 PCT clusters, location, 20142018 Source: WIPO Statistics Database, March 2020. Cluster rank 110 1 130 3150THE TOP 50 PCT CLUSTERS 9 SPECIAL THEME S3. Top 50 PCT clusters, ranking, 20142018 Rank Cluster Origin PCT applications Share of overall PCT applications (%) Share of origins PCT applications (%) Share of inventors in origins total (%) Top applicant Share of top applicant (%) 1 Tokyo-Yokohama Japan 113,244 10.8 50.8 57.2 Mitsubishi Electric 8.8 2 Shenzhen-Hong Kong- Guangzhou China / China, Hong Kong SAR 72,259 6.9 46.6* 44.9* Huawei 23.5 3 Seoul Republic of Korea 40,817 3.9 59.6 68.9 LG Electronics 19.3 4 San Jose- San Francisco, CA U.S. 39,748 3.8 13.9 14.5 Google 8.6 5 Osaka-Kobe-Kyoto Japan 29,464 2.8 13.2 14.9 Murata Manufacturing 11.1 6 Beijing China 25,080 2.4 16.2 16.4 BOE Technology Group 28.2 7 San Diego, CA U.S. 19,665 1.9 6.9 7.2 Qualcomm 59.3 8 Nagoya Japan 19,327 1.8 8.7 9.8 DENSO Corp. 21.8 9 Boston-Cambridge, MA U.S. 15,458 1.5 5.4 5.6 MIT 6.3 10 Paris France 13,561 1.3 33.5 35.8 LO r a l 7.1 11 Shanghai China 13,347 1.3 8.6 8.7 ZTE Corp. 22.7 12 New York City, NY U.S. 12,302 1.2 4.3 4.4 Honeywell 6.0 13 Seattle, WA U.S. 11,558 1.1 4.1 4.2 Microsoft 45.4 14 Houston, TX U.S. 10,852 1.0 3.8 4.0 Halliburton 19.4 15 Los Angeles, CA U.S. 9,764 0.9 3.4 3.6 University of California 6.3 16 Stuttgart Germany 8,336 0.8 9.3 9.2 Robert Bosch 45.7 17 Daejeon Republic of Korea 8,306 0.8 12.1 14.0 LG Chem 44.1 18 Eindhoven Netherlands 8,226 0.8 40.1 46.6 Philips Electronics 72.1 19 Cologne Germany 7,827 0.7 8.7 8.6 Henkel 9.5 20 Munich Germany 7,532 0.7 8.4 8.3 BMW 16.4 21 Tel Aviv-Jerusalem Israel 7,076 0.7 84.5 68.5 Intel 5.5 22 Minneapolis, MN U.S. 6,444 0.6 2.3 2.4 3M Innovative Properties 36.0 23 Portland, OR U.S. 6,270 0.6 2.2 2.3 Intel 54.3 24 Chicago, IL U.S. 6,167 0.6 2.2 2.3 Illinois Tool Works 15.7 25 Stockholm Sweden 5,736 0.5 30.1 36.3 LM Ericsson 46.2 26 Frankfurt am Main Germany 5,167 0.5 5.8 5.7 Merck Patent 9.9 27 Hangzhou China 4,832 0.5 3.1 3.1 Alibaba Group 42.9 28 Washington, DC- Baltimore, MD U.S. 4,592 0.4 1.6 1.7 Johns Hopkins University 12.9 29 Amsterdam-Rotterdam Netherlands 4,409 0.4 21.5 25.1 Shell 8.4 30 London U.K. 4,281 0.4 16.4 14.0 British Telecom 9.2 31 Singapore Singapore 4,019 0.4 93.1 100.0 A*Star 17.9 32 Heidelberg-Mannheim Germany 3,913 0.4 4.4 4.3 BASF 42.2 33 Cincinnati, OH U.S. 3,900 0.4 1.4 1.4 Procter & Gamble Company 41.6 34 Nuremberg-Erlangen Germany 3,729 0.4 4.2 4.1 Siemens 35.3 35 Hamamatsu Japan 3,407 0.3 1.5 1.7 NTN Corp. 26.2 36 Berlin Germany 3,333 0.3 3.7 3.7 Siemens 13.8 37 Bengaluru India 3,289 0.3 1.2 29.7 Hewlett-Packard 10.1 38 Philadelphia, PA U.S. 3,173 0.3 1.1 1.2 University of Pennsylvania 10.4 39 Brussels Belgium 3,171 0.3 54.1 51.0 Procter & Gamble Company 5.9 40 Dallas, TX U.S. 3,157 0.3 1.1 1.2 Halliburton 15.9 41 Zrich Switzerland 3,117 0.3 15.0 24.3 Sika Technology 5.1 42 Kanazawa Japan 2,987 0.3 1.3 1.5 Fujifilm Corp. 31.0 43 Copenhagen Denmark 2,958 0.3 44.8 47.7 Novozymes 10.8 44 Raleigh, NC U.S. 2,949 0.3 1.0 1.1 Duke University 9.9 45 Helsinki Finland 2,789 0.3 32.7 39.3 Nokia 11.8 46 Denver, CO U.S. 2,789 0.3 1.0 1.0 University of Colorado 7.1 47 Taipei-Hsinchu Taiwan, Province of China 2,721 0.3 1.8* 63.8 MediaTek 14.2 48 Istanbul Turkey 2,677 0.3 59.1 59.1 Arcelik 47.7 49 Suzhou China 2,627 0.3 1.7 1.7 Fujitsu 11.8 50 Cambridge U.K. 2,623 0.3 10.1 8.6 ARM 11.5Note: * Corresponds to the share of PCT applications in China. * Data refer to the Chinese mainland part of the cluster. MIT is the Massachusetts Institute of Technology. Source: WIPO Statistics Database, March 2020.PCT YEARLY REVIEW 2020 10 SPECIAL THEME activity are mostly concentrated in East Asia, Western Europe and the United States of America (U.S.). Six of the eight densest areas in the world are in East Asia and the other two in the U.S. In many other parts of the world, intense filing activity is visible, but generally at a lower density. Map S2 shows the geographical locations of the top 50 PCT clusters identified using the methodology outlined. Distribution across geographical regions is highly uneven: none of the top 50 PCT clusters are to be found in Africa, Latin America and the Caribbean (LAC) or Oceania, but are instead evenly distributed across the other three regions of the world, namely Asia (17), Europe (17) and North America (16). (Maps showing the areas of PCT filing activity for each of the six geographical regions of the world are provided in figure S6 at the end of this special theme.) The top 50 PCT clusters account for almost 58% of all PCT filings Table S3 shows the 50 clusters with the highest number of PCT applications during the period 2014 to 2018. Combined, these top 50 PCT clusters account for 57.8% of all PCT filings. Tokyo-Yokohama is by far the largest PCT cluster. It represents almost 11% of PCT applications published during this period. It is followed by Shenzhen-Hong Kong-Guangzhou and
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