Patenting in the south

Patenting in the South available data and coverage in

PATSTAT

CRIOS

Center for Research on Innovation, Organization and Strategy

1• Gianluca Tarasconi, Crios DBA rawpatentdata.blogspot.com

Utrecht 6/5/2014

In brief

• The goal of this presentation is to

analyze EPO PATSTAT as data source

for BRICS countries and its advantages

and disadvantages.

2

Why PATSTAT

Obviously, where available the best data sources are national patent offices but some issues arise when trying to use the files to get one integrated DB (different formats, information missing, data unavailable for some authorities) and most of all the BI effort is very heavy.

EPO Patstat offers an integrated source of data, a lot of plug and play extensions (ie nutsificatons, standard names…); most of all data can be compared to other patent offices or get some other data (ie triadics/PCT/characteristic of cited / citing)

WIPO IP Statistics Data Center (on-line service enabling access to WIPO's statistical data) ,and WIPO Statistical Country Profiles for around 190 countries have a wider coverage but dont allow to build our own indicators.

On the other hand data available have different reliability and coverage: limitations apply…

5

From national patent offices

(examples): raw data• CN: http://english.sipo.gov.cn/service/:

sipo xml txt and tiff data

• IN: (in PDF)

http://ipindia.nic.in/ipr/patent/journal_archieve/

journal_2014/patent_journal_2014.htm data

• WIPO statistics (for coverage)

• http://www.wipo.int/ipstats/en/resources/

office_stats_reports.html

4

Coverage check: a sheer

publication count• Select a.APPLN_AUTH, a.FILING_YEAR, Count(a.APPLN_ID) From applications a Group By a.APPLN_AUTH,

a.FILING_YEAR

5

LAST TEN YEARS

year 'BR' 'CN' 'IN' 'RU' 'ZA'

2000 20701 111827 517 26433 3414

2001 20594 132468 443 30833 6033

2002 19221 164926 290 34122 6541

2003 20860 205108 469 38283 6365

2004 22751 235436 427 39523 7938

2005 23922 288504 450 42222 7094

2006 24318 343009 499 47683 7162

2007 18994 386766 618 49336 6994

2008 10072 464611 839 50437 5421

2009 8993 576915 748 45686 3409

2010 7646 714276 842 42720 502

(caveat: data transmission lag to EPO can differ from office to office so

comparisons amons very recent data can lead to misguiding results)

Percentage of granted patents

SQL CODE IN APPENDIX

6

% of granted patents (IN = 0%!!)

The Indian mutiny…

• Official data for India applications vs all applcount (including unpublished)

• On EPO website at page: https://data.epo.org/data/data.html coverageby authority is listed (available in absolutenumbers not in % )

IN

2007 2215

2008 2541

2009 2514

2010 2988

2011 872

2012 28

https://data.epo.org/data/data.html

All over coverage in 2009

Reasons are: different agreements (ie India) – only

EU/PCT relevant documents integrated (ie priorities /

citations)

8

office type off data patstat %

BR 25951 9054 34.9%

IN 34287 2514 7.3%

RU A 40966 34763 84.9%

U 11671 10419 89.3%

ZA 9271 3767 40.6%

CN A+U 693917 580668 83.7%

PCT percentage

• % of PCT (note IN after Y2000 care some type A were deleted

because unpublished)

9

Percentage of tradics

• This type of counts requires integrated data from

several patent offices; code in the appendix

10

Inventors countries coverage

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009

BR 1.2% 1.0% 1.2% 1.2% 1.2% 1.1% 1.1% 1.8% 5.0% 6.2%

CN 98.4% 97.6% 95.7% 91.9% 85.0% 76.7% 69.5% 66.1% 51.7% 9.6%

IN 25.7% 41.9% 58.3% 78.7% 97.1% 98.6% 99.2% 99.4% 99.3% 98.4%

RU 20.5% 27.6% 69.0% 98.4% 100.0% 99.9% 100.0% 100.0% 100.0% 100.0%

ZA 4.5% 1.8% 2.0% 2.0% 2.4% 4.2% 1.2% 1.0% 1.2% 1.5%

11

CN data decay

after 2005; RU

after 2003

nearly 100%

Applicants countries coverage

12

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009

BR 99.7% 99.9% 99.9% 99.9% 99.8% 99.9% 99.9% 99.9% 100.0% 99.9%

CN 99.2% 98.9% 97.8% 95.5% 91.0% 85.9% 79.4% 71.7% 57.3% 12.3%

IN 60.6% 80.6% 94.3% 99.9% 99.4% 99.2% 99.3% 99.4% 99.1% 98.4%

RU 13.7% 16.3% 50.5% 98.8% 100.0% 100.0% 100.0% 100.0% 100.0% 99.9%

ZA 13.5% 6.0% 5.8% 6.9% 7.8% 10.0% 5.2% 2.8% 4.5% 5.7%

CN – same

decay after

2006; RU, BR

good coverage

Domestic inventions with

foreign ownership (2005)

13

pat off for ownership

BR 1.44%

CN 0.12%

IN 1.30%

RU 1.08%

ZA 2.21%

Domestic ownership of

inventions made abroad (2005)

14

pat off dom own

BR 1.73%

CN 0.09%

IN 0.60%

RU 1.09%

ZA 0.37%

Compare to EPO USPTO PCT

data (I)

CY EPO USPTO PCT

BR 29.8% 41.8% 9.3%

CN 27.9% 45.9% 7.3%

IN 31.6% 64.7% 13.4%

RU 52.4% 70.0% 12.7%

ZA 27.4% 13.3% 23.0%

15

Share of domestic inventions with foreign ownership in 2005

Values changes dramaticaly:

overlapping of different

effects (ie applied in the

name of local branch)

Compare to EPO USPTO PCT

data (II)

16

Share of domestic ownership of inventions made abroad (2005)

CY EPO USPTO PCT

BR 3.5% 1.8% 4.5%

CN 9.4% 13.1% 4.0%

IN 3.9% 3.3% 8.1%

RU 2.7% 11.6% 5.3%

ZA 3.6% 3.1% 1.0%

Less dramatic changes: only

for CN 2 orders of

magnitude of change

Average Backward Citations rate

17

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009

CN 0.0232 0.0408 0.0248 0.026 0.0327 0.0395 0.0551 0.0725 0.0711 0.0715

IN 1.1721 2.5011 4.0069 4.6503 4.6838 4.7022 4.8677 5.0243 4.9058 6.3128

RU 0.0978 0.0898 0.0778 0.0703 0.0644 0.0771 0.0778 0.084 0.0896 0.099

ZA 0.3453 0.1548 0.1536 0.156 0.1041 0.099 0.0977 0.0736 0.1096 0.1555

BR 0.0317 0.0389 0.0454 0.0448 0.0542 0.0484 0.0577 0.0944 0.1725 0.2694

IT 0.2104 0.2606 0.3356 0.3478 0.3351 0.3589 0.3345 0.3708 1.8654 3.4196

AVG 0.3134 0.5143 0.774 0.8825 0.879 0.8875 0.915 0.9532 1.2023 1.7213

Italy has been added as benchmark; for all countries (apart India

with mainly PCT only apps) most citations are not included

Average Forward Citations rate

18

Italy has been added as benchmark; for all countries (apart India with

mainly PCT only apps) many citations are not included since originated

from national patents2000 2001 2002 2003 2004 2005 2006 2007 2008 2009

'CN' 0.1087 0.1136 0.1177 0.1165 0.1073 0.0974 0.0898 0.0823 0.0648 0.0436

'IN' 0.9168 1.6411 2.3759 2.6972 2.7822 2.4778 1.992 1.5534 1.0644 0.5829

'RU' 0.1377 0.1119 0.0841 0.0796 0.0636 0.0479 0.0365 0.0289 0.0196 0.013

'ZA' 0.1415 0.0736 0.0624 0.0855 0.0325 0.0302 0.0243 0.0104 0.0153 0.0079

'BR' 0.0153 0.0125 0.0188 0.0168 0.0207 0.0166 0.0173 0.0203 0.0262 0.0213

'IT' 0.1249 0.1342 0.1489 0.139 0.116 0.1131 0.0925 0.0782 0.063 0.0242

0.2408 0.3478 0.4679 0.5224 0.5203 0.4638 0.3754 0.2955 0.2088 0.1154

Forward

citations

contained are

more alike

other countries

patterns: focus

on them

Who cites BRICS (patent

authorities 2000-2009)BR BR 20.7%

BR US 20.7%

BR EP 20.1%

BR GB 5.9%

BR DE 4.2%

BR OTH 28.4%

CN CN 60.4%

CN US 24.7%

CN EP 4.7%

CN GB 2.2%

CN WO 1.4%

CN OTH 6.6%

IN US 23.6%

IN EP 19.8%

IN IN 13.7%

IN WO 9.2%

IN GB 5.5%

IN OTH 28.2%

RU RU 36.1%

RU US 23.3%

RU EA 9.8%

RU EP 7.9%

RU DE 3.2%

RU OTH 19.7%

ZA US 25.1%

ZA EP 17.9%

ZA GB 8.9%

ZA WO 8.4%

ZA AU 7.1%

ZA OTH 32.7%

19

Yellow slice = domestic

citations; CN/RU very

high; ZA not in top 5

Who cites BRICS: focus on CN

domestic citation rate by year

pat off % year

'CN' 45.1% 2000

'CN' 45.5% 2001

'CN' 48.3% 2002

'CN' 49.0% 2003

'CN' 53.5% 2004

'CN' 58.0% 2005

'CN' 64.2% 2006

'CN' 67.8% 2007

'CN' 70.9% 2008

'CN' 77.7% 2009

20

Conclusions

• Patstat is a good source of data but

cannot be taken ‘as it is’ (validation of

data must be done);

• Patent offices important for EU have

better coverage compared to non

strategic;

• Improvements will take place over time.

21

Appendix 1: SQL code for

PATSTAT (I)• create table applications

• Select

• APPLN_ID,

• APPLN_AUTH,

• APPLN_NR,

• APPLN_KIND,

• year(appln_filing_date) As FILING_YEAR,

• APPLN_AUTH As REFAPPLN_AUTH,

• "N" As TRIADIC_FLAG,

• "N" As GRANTED,

• IF(appln_kind = "W", "Y", "N") as PCT

• From

• patstat.tls201_appln T01

• where

• appln_auth in ("CN","BR", "RU", "IN", "CN", "ZA") and appln_kind <> "D2"

• and year(appln_filing_date) <>9999;

• -- Removes unpublished

• delete a.*

• From

• applications a Left Join

• patstat.tls211_pat_publn b On a.APPLN_ID = b.APPLN_ID

• where b.appln_id is null;

22


PATSTAT (II)• -- sets grant flag

• update

• applications a Inner Join

• patstat.tls211_pat_publn b On a.APPLN_ID = b.APPLN_ID

• set

• a.GRANTED = "Y"

• Where

• b.PUBLN_FIRST_GRANT = 1;

• -- sets triadic flag

• update

• patstat.triadic_inpadoc t1 Inner Join

• patstat.tls219_inpadoc_fam t19 On t1.INPADOC_FAMILY_ID = t19.INPADOC_FAMILY_ID

• Inner Join

• applications t2 On t19.APPLN_ID = t2.APPLN_ID

• set

• t2.TRIADIC_FLAG = "Y";

23


PATSTAT (III)• -- TRIADIC INPADOC CALCULATION

• -- EP + JP + US grants based on inpadoc family

• -- inpadoc triadic families

• drop table if exists test.t1;




• -- T4: US EP JP publications excluding D2

• create table test.t4

• Select distinct

• t1.APPLN_ID,

• t11.PUBLN_AUTH,

• t11.publn_first_grant

• From

• patstat.tls201_appln t1 Inner Join

• patstat.tls211_pat_publn t11

• On t1.APPLN_ID = t11.APPLN_ID

• Where

• (t11.PUBLN_AUTH = "JP" or t11.PUBLN_AUTH = "US" or t11.PUBLN_AUTH = "EP")

• and t1.APPLN_KIND <> "D2";

24


PATSTAT (IV)• ALTER TABLE `test`.`t4` ADD INDEX Ìndex_1`(àppln_ID`), ADD INDEX Ìndex_2`(`PUBLN_AUTH`);

• -- EP


• Select distinct

• t19.INPADOC_FAMILY_ID

• From

• patstat.tls219_inpadoc_fam t19 Inner Join

• test.t4 t11 On t11.APPLN_ID = t19.APPLN_ID

• -- patstat.tls211_pat_publn t11 On t11.APPLN_ID = t19.APPLN_ID

• where

• t11.PUBLN_AUTH= "EP";

• -- Us


• Select distinct


• From




• where

• t11.PUBLN_AUTH= "US“ and t11.publn_first_grant = 1;

25


PATSTAT (V)• -- JP


• Select distinct


• From




• where

• t11.PUBLN_AUTH= "JP";

• -- triadic_inpadoc

• ALTER TABLE `test`.`t1` ADD INDEX Ìndex_1`(ÌNPADOC_FAMILY_ID`);



• drop table if exists patstat.triadic_inpadoc;

• create table patstat.triadic_inpadoc

• Select distinct


• From

• test.t1 t1 Inner Join

• test.t2 t2 On t1.INPADOC_FAMILY_ID = t2.INPADOC_FAMILY_ID Inner Join

• test.t3 t3 On t2.INPADOC_FAMILY_ID = t3.INPADOC_FAMILY_ID;

• ALTER TABLE `patstat`.`triadic_inpadoc` ADD PRIMARY KEY (ÌNPADOC_FAMILY_ID`);26


PATSTAT (VI)• -- PCT / TRIADIC / GRANTED CALC

• Select a.FILING_YEAR, a.REFAPPLN_AUTH, Sum(If(a.GRANTED = 'Y', 1, 0)) / Count(a.APPLN_ID) As gr,

• Sum(If(a.TRIADIC_FLAG = 'Y', 1, 0)) / Count(a.APPLN_ID) As tr, Sum(If(a.PCT = 'Y', 1, 0)) / Count(a.APPLN_ID) As pct

• From applications a Group By a.FILING_YEAR, a.REFAPPLN_AUTH

• -- count of country coverage by applicant

• -- note do not count distincts but by applications

• Select

• Count(t1.APPLN_ID), Year(t1.APPLN_FILING_DATE) As yy, t1.APPLN_AUTH,

• Sum(If(t6.PERSON_CTRY_CODE = '', 0, 1)) / Count(t6.person_id) As appcyperc

• From

• patstat.tls201_appln t1 Inner Join

• patstat.tls207_pers_appln t7 On t1.APPLN_ID = t7.APPLN_ID Inner Join

• patstat.tls206_person t6 On t7.PERSON_ID = t6.PERSON_ID

• Where

• Year(t1.APPLN_FILING_DATE) >= 2000 And

• Year(t1.APPLN_FILING_DATE) <= 2009 And

• t7.APPLT_SEQ_NR > 0 And (t1.APPLN_AUTH = ‘BR’ or t1.APPLN_AUTH = 'CN' Or t1.APPLN_AUTH = 'IN' Or

t1.APPLN_AUTH = 'RU' Or t1.APPLN_AUTH = 'ZA')

• Group By

• Year(t1.APPLN_FILING_DATE), t1.APPLN_AUTH

27


PATSTAT (VII)• -- count of country coverage by inventor

• -- note do not count distincts but by applications

• Select

• Count(t1.APPLN_ID), Year(t1.APPLN_FILING_DATE) As yy, t1.APPLN_AUTH,

• Sum(If(t6.PERSON_CTRY_CODE = '', 0, 1)) / Count(t6.person_id) As appcyperc

• From

• patstat.tls201_appln t1 Inner Join patstat.tls207_pers_appln t7 On t1.APPLN_ID = t7.APPLN_ID Inner Join

• patstat.tls206_person t6 On t7.PERSON_ID = t6.PERSON_ID

• Where

• Year(t1.APPLN_FILING_DATE) >= 2000 And Year(t1.APPLN_FILING_DATE) <= 2009 And

• t7.INVT_SEQ_NR > 0 And And (t1.APPLN_AUTH = ‘BR’ or t1.APPLN_AUTH = 'CN' Or t1.APPLN_AUTH = 'IN' Or

t1.APPLN_AUTH = 'RU' Or t1.APPLN_AUTH = 'ZA')

• Group By Year(t1.APPLN_FILING_DATE), t1.APPLN_AUTH, t7

28


PATSTAT (VIII)• -- Share of domestic inventions with foreign ownership in 2009

• Select

• a.APPLN_AUTH,

• sum(if(t6a.PERSON_CTRY_CODE <> t6i.PERSON_CTRY_CODE,1,0))/ count(t6a.PERSON_CTRY_CODE)

• From

• patstat.tls201_appln a Inner Join

• patstat.tls207_pers_appln t7a On a.APPLN_ID = t7a.APPLN_ID Inner Join

• patstat.tls207_pers_appln t7i On a.APPLN_ID = t7i.APPLN_ID Inner Join

• patstat.tls206_person t6i On t7i.PERSON_ID = t6i.PERSON_ID Inner Join

• patstat.tls206_person t6a On t7a.PERSON_ID = t6a.PERSON_ID

• Where

• (Year(a.APPLN_FILING_DATE) = 2005) and

• (a.APPLN_AUTH = 'IN' Or a.APPLN_AUTH = 'CN' Or a.APPLN_AUTH = 'BR' Or a.APPLN_AUTH = 'RU' Or a.APPLN_AUTH =

'ZA')

• And t7i.INVT_SEQ_NR > 0 And t7a.APPLT_SEQ_NR > 0

• and a.APPLN_AUTH=t6i.PERSON_CTRY_CODE and t6a.PERSON_CTRY_CODE <>””

• group by a.APPLN_AUTH

29


PATSTAT (IX)• -- Share of domestic ownership of inventions made abroad in 2009

• Select

• a.APPLN_AUTH,

• sum(if(t6i.PERSON_CTRY_CODE <> t6a.PERSON_CTRY_CODE,1,0))/ count(t6i.PERSON_CTRY_CODE)

• From

• patstat.tls201_appln a Inner Join

• patstat.tls207_pers_appln t7a On a.APPLN_ID = t7a.APPLN_ID Inner Join

• patstat.tls207_pers_appln t7i On a.APPLN_ID = t7i.APPLN_ID Inner Join

• patstat.tls206_person t6i On t7i.PERSON_ID = t6i.PERSON_ID Inner Join

• patstat.tls206_person t6a On t7a.PERSON_ID = t6a.PERSON_ID

• Where

• (Year(a.APPLN_FILING_DATE) = 2005) and

• (a.APPLN_AUTH = 'IN' Or a.APPLN_AUTH = 'CN' Or a.APPLN_AUTH = 'BR' Or a.APPLN_AUTH = 'RU' Or a.APPLN_AUTH =

'ZA')

• And t7i.INVT_SEQ_NR > 0 And t7a.APPLT_SEQ_NR > 0

• and a.APPLN_AUTH=t6a.PERSON_CTRY_CODE and t6i.PERSON_CTRY_CODE <>"“

• group by a.APPLN_AUTH

30


PATSTAT (X)• -- count of backward citations rate

• select APPLN_AUTH, yy, sum(ncit)/ count(appln_id) as avgcit from

• (Select t1.APPLN_AUTH, year(t1.APPLN_FILING_DATE) as yy, t1.appln_id,

• ifnull(count(t12.CITED_PAT_PUBLN_ID), 0) as ncit

• From

• patstat.tls201_appln t1 Inner Join patstat.tls211_pat_publn t11 On t11.APPLN_ID = t1.APPLN_ID

• left Join patstat.tls212_citation t12 On t11.PAT_PUBLN_ID = t12.PAT_PUBLN_ID

• Where


• (t1.APPLN_AUTH = 'CN' Or t1.APPLN_AUTH = 'IN' Or t1.APPLN_AUTH = 'RU' Or t1.APPLN_AUTH = 'ZA‘Or

t1.APPLN_AUTH = ‘BR’) group by t1.APPLN_AUTH, t1.appln_id, year(t1.APPLN_FILING_DATE)) as AA

• group by APPLN_AUTH,yy;

• -- count of forward citations rate

• select APPLN_AUTH, yy, sum(ncit)/ count(appln_id) as avgcit from

• (Select t1.APPLN_AUTH, year(t1.APPLN_FILING_DATE) as yy, t1.appln_id,

• ifnull(count(t12.CITED_PAT_PUBLN_ID), 0) as ncit

• From

• patstat.tls201_appln t1 Inner Join patstat.tls211_pat_publn t11 On t11.APPLN_ID = t1.APPLN_ID

• left Join patstat.tls212_citation t12 On t11.PAT_PUBLN_ID = t12.CITED_PAT_PUBLN_ID

• Where


• (t1.APPLN_AUTH = 'CN' Or t1.APPLN_AUTH = 'IN' Or t1.APPLN_AUTH = 'RU' Or t1.APPLN_AUTH = 'ZA‘Or

t1.APPLN_AUTH = ‘BR’ group by t1.APPLN_AUTH, t1.appln_id, year(t1.APPLN_FILING_DATE)) as AA

• group by APPLN_AUTH,yy; 31


PATSTAT (XI)• -- raw count of citations received by appln auth

• Select

• t1.APPLN_AUTH, Count(Distinct t12.PAT_PUBLN_ID)/Count(Distinct t11.PAT_PUBLN_ID) As perc_rec,

• t1b.APPLN_AUTH As `citing_ APPLN_AUTH1`, Year(t1.APPLN_FILING_DATE) As yy

• From

• patstat.tls201_appln t1 Inner Join patstat.tls211_pat_publn t11 On t1.APPLN_ID = t11.APPLN_ID Inner Join

• patstat.tls212_citation t12 On t11.PAT_PUBLN_ID = t12.CITED_PAT_PUBLN_ID Inner Join

• patstat.tls211_pat_publn t11b On t12.PAT_PUBLN_ID = t11b.PAT_PUBLN_ID Inner Join

• patstat.tls201_appln t1b On t11b.APPLN_ID = t1b.APPLN_ID

• Where

• (Year(t1.APPLN_FILING_DATE) < 2010 And Year(t1.APPLN_FILING_DATE) > 1999) And

• (t1.APPLN_AUTH = 'CN' Or t1.APPLN_AUTH = 'IN' Or t1.APPLN_AUTH = 'RU' Or t1.APPLN_AUTH = 'ZA‘’ or t1.APPLN_AUTH = ‘BR’)

• Group By t1.APPLN_AUTH, t1b.APPLN_AUTH, Year(t1.APPLN_FILING_DATE)

• -- very raw count by inv citing country (full count so sum of ratio > 1)

• Select

• t1.APPLN_AUTH, t6.PERSON_CTRY_CODE As citing_inv_cy, Year(t1.APPLN_FILING_DATE) As yy,

• Count(Distinct t11.PAT_PUBLN_ID)/Count(Distinct t12.PAT_PUBLN_ID) as cyratio

• From

• patstat.tls201_appln t1 Inner Join patstat.tls211_pat_publn t11 On t1.APPLN_ID = t11.APPLN_ID Inner Join

• patstat.tls212_citation t12 On t11.PAT_PUBLN_ID = t12.CITED_PAT_PUBLN_ID Inner Join

• patstat.tls211_pat_publn t11b On t12.PAT_PUBLN_ID = t11b.PAT_PUBLN_ID Inner Join

• patstat.tls207_pers_appln t7 On t11b.APPLN_ID = t7.APPLN_ID Inner Join patstat.tls206_person t6 On t7.PERSON_ID = t6.PERSON_ID

• Where

• (Year(t1.APPLN_FILING_DATE) < 2010 And Year(t1.APPLN_FILING_DATE) > 1999) And

• t7.INVT_SEQ_NR > 0 and (t1.APPLN_AUTH = 'CN' Or t1.APPLN_AUTH = 'IN' Or t1.APPLN_AUTH = 'RU'

• Or t1.APPLN_AUTH = 'ZA' Or t1.APPLN_AUTH = 'BR')

• Group By t1.APPLN_AUTH, Year(t1.APPLN_FILING_DATE), t7.INVT_SEQ_NR, t6.PERSON_CTRY_CODE32

Technology

Patenting in the south