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Country Study – How do Chinese applicants file patent
applications abroad?
Hao Zhou Sacha Wunsch-Vincent Liudmila Kashcheeva
Economics and Statistics Division WIPO
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Overview
What is the motivation of the study? What data do we use? What can we learn from the data? How can we improve?
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Objective
Most studies focus on patent filings within China
There are studies on Chinese filings at specific offices
There is lack of systematic description of Chinese filings abroad
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Database description
We use primarily PATSTAT database We construct patent families (first-
filing based) We group applications by WIPO’s
IPC-technology concordance We exclude PCT international filings
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Database issues
Name cleaning Identification of country of first filing Incompleteness due to procedural
delay
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Trend of Chinese foreign families
There is obvious surge of Chinese foreign patent families since 2004
0
2,000
4,000
6,000
8,000
10,000
Fore
ign-
orie
nted
pat
ent f
amili
es
1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009
Year
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Type of applicants
More than 80% are owned by companies University share is low
0
20
40
60
80
100
Shar
e of
fore
ign-
orie
nted
pat
ent f
amili
es
1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009Year
Business Research/University Individual
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Type of technology
ICT sector has the largest number of patent families (~1/3)
0
20
40
60
Shar
e of
fore
ign-
orie
nted
pat
ent f
amili
es
1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009Year
Electrical machinery Audio-visual technology Telecommunications Digital communicationComputer technology Semiconductors Optics Measurement
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Foreign families: rich vs. poor
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Gini coefficient = 0.6
0
20
40
60
80
100Sh
are
of p
aten
t fam
ilies
0 20 40 60 80 100
Share of owners
Foreign families: rich vs. poor
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Foreign families: “nouveau riche”
The top 3 – Hongfujin, Huawei and ZTE became “rich” only after 2004
0
500
1,000
1,500
2,000
Fore
ign-
orie
nted
pat
ent f
amili
es
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009
Year
HONGFUJIN PRECISION INDUSTRY (SHENZHEN) CO., LTD.HUAWEI TECHNOLOGIES CO., LTD.ZTE CORPORATIONSHENZHEN FUTAIHONG PRECISION INDUSTRY CO., LTD.FOXCONN (KUNSHAN) COMPUTER INTERFACES CO., LTD.FUZHUN PRECISION INDUSTRY (SHENZHEN) CO., LTD.TSINGHUA UNIVERSITYCHINA PETROLEUM & CHEMICAL CORPORATIONBYD CO., LTD.SILITEK ELECTRONIC (GUANGZHOU) CO., LTD.
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Filing strategy: destination
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Filing strategy: destination/technology
Relative Specialization Index reveals relative concentration of filings by destination office and technology
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Filing strategy: destination/technology
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
-0.136-0.121
-0.072-0.050-0.035-0.009
0.0330.107
0.2200.241
0.3040.307
0.3710.410
0.4650.493
United States of AmericaMexicoRussian FederationChina, Hong Kong SAR
JapanEuropean Patent Office
Republic of KoreaCanada
AustraliaMalaysia
OthersNew Zealand
BrazilFrance
GermanyUnited Kingdom
-1 -0.5 0 0.5 1
Transport
Filing strategy: destination/technology
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
-0.290-0.258
-0.0350.1190.123
0.1610.2180.232
0.3600.3640.381
0.4240.5160.524
0.5580.642
United KingdomUnited States of AmericaEuropean Patent Office
JapanOthers
Republic of KoreaRussian Federation
BrazilMexico
CanadaAustralia
China, Hong Kong SARNew Zealand
PhilippinesSouth Africa
Israel
-1 -0.5 0 0.5 1
Pharmaceuticals
Filing strategy: destination/technology
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
-0.385-0.120-0.116-0.103
0.0260.0740.0760.0820.1070.131
0.1630.177
0.2170.2390.241
0.420
United KingdomChina, Hong Kong SAREuropean Patent OfficeUnited States of America
MexicoRussian Federation
GermanyBrazil
CanadaMalaysia
Republic of KoreaOthersJapanIsrael
AustraliaSouth Africa
-1 -0.5 0 0.5 1
Materials, metallurgy
Filing strategy: number of offices
Majority families have just one foreign office (excluding CN, HK, TW)
0
20
40
60
80
100
Shar
e of
fore
ign-
orie
nted
pat
ent f
amili
es
1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009Year
1 office 2 offices 3 offices 4 offices 5 offices 6+ offices
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Filing strategy: top companies
0
1
2
3Av
erag
e nu
mbe
r of
fore
ign
offic
es p
er fa
mily
SINOPEC
BYD CO., LTD.
ZTE CORPORATION
TSINGHUA UNIVERSITY
HUAWEI TECHNOLOGIES CO., LTD.
SILITEK ELECTRONIC (GUANGZHOU) CO., LT
D.
SHENZHEN FUTAIHONG PRECISION INDUSTRY CO., LT
D.
FOXCONN (KUNSHAN) COMPUTER INTERFACES CO., LTD.
HONGFUJIN PRECISION INDUSTRY (SHENZHEN) CO., LTD.
FUZHUN PRECISION INDUSTRY (SHENZHEN) CO., LTD.
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Filing strategy: top companies
0
2040
60
80100
Sh
are
of
tota
l p
ate
nt
ap
plica
tio
ns
ab
road
BYD CO
., LT
D.
FOXC
ONN
(KUN
SHAN
) COM
PUTE
R INTE
RFAC
ES CO.
, LTD
.
FUZH
UN PR
ECISI
ON IN
DUST
RY (S
HENZ
HEN)
CO., L
TD.
HONG
FUJIN
PREC
ISION
INDU
STRY
(SHE
NZHE
N) CO.
, LTD
.
HUAW
EI TE
CHNO
LOGIES
CO.
, LTD
.
SHEN
ZHEN
FUTA
IHON
G PR
ECISI
ON IN
DUST
RY CO.
, LTD
.
SILITE
K EL
ECTR
ONIC (G
UANG
ZHOU
) CO.
, LTD
.
SINOP
EC
TSIN
GHUA
UNIVE
RSITY
ZTE C
ORPO
RATIO
N
EP JP KR US US US US EP US JP US TW US EP JP KR US JP US EP JP US
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Use of PCT
First direct filings are decreasing PCT national phase entries are increasing
0
20
40
60
80
100
Shar
e of
pat
ent a
pplic
atio
ns a
broa
d
1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009Year
First direct Subsequent direct PCT national phase
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Filing strategy: top companies
0
20
40
60
80
100Sh
are
of fa
mili
esus
ing
PCT
syst
em
ZTE CORPORATION
HUAWEI TECHNOLOGIES CO., LTD.
BYD CO., LTD.
SINOPEC
TSINGHUA UNIVERSITY
FOXCONN (KUNSHAN) COMPUTER INTERFACES CO., LTD.
HONGFUJIN PRECISION INDUSTRY (SHENZHEN) CO., LTD.
FUZHUN PRECISION INDUSTRY (SHENZHEN) CO., LTD.
SHENZHEN FUTAIHONG PRECISION INDUSTRY CO., LT
D.
SILITEK ELECTRONIC (GUANGZHOU) CO., LT
D.
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Use of PCT: regression analysis Probit Probit Probit
(1) (2) (3)
IPR type (PI) 0.2*** 0.2*** 0.2***
Company -0.3*** -0.1*** -0.1***
Individual -0.1*** -0.03** 0.003
University -0.2*** -0.1*** -0.01***
Family size > 5 0.6*** 0.4*** 0.4***
Domestic application 0.4*** 0.3*** 0.3***
Year FE Yes Yes Yes
Firm FE No Top 100 Top 300
Industry FE Yes Yes Yes Note: *p<0.01 **p<0.05 ***p<0.001
Use of PCT: regression analysis Families originated through patent for invention
applications are more likely to be applied through the PCT route
Research Institutes are more likely to apply trough the PCT route compared to Companies, Universities and Individuals
The bigger the size of a family, the more likely it is to be applied trough the PCT route
Patent families that include applications with SIPO among other patent offices are more likely to use the PCT route
Use of PCT: regression analysis Industry Coefficient
Pharmaceuticals 0.13
Biotechnology 0.11
Digital communication 0.11
Macromolecular chemistry, polymers 0.08
Analysis of biological materials 0.06
Medical technology 0.06
Civil engineering 0.06
Organic fine chemistry 0.05
Engines, pumps, turbines 0.05
Environmental technology 0.04
Note: the table includes industries with positive and significant coefficients
Use of PCT: regression analysis
Digital communication, biotechnology and pharmaceutical companies are more likely to use the PCT route compared to companies in other technology fields
Preliminary findings
Chinese filings abroad increased dramatically after 2004
There is huge imbalance between Chinese companies for filing abroad
A few companies in the ICT sector dominate the abroad filing activity
Highly targeted filing strategy and limited foreign destinations for protection
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)
Thank you. How can we improve?
WIPO/SIPO Experts’ Meeting (March 2014, Beijing)