Despite difficult economic conditions, international patent filings under the WIPO-administered Patent Cooperation Treaty (PCT) set a new record in 2011 with 181,900 applications – a growth of 10.7% on 2010 and the fastest growth since 2005.1 China, Japan and the United States of America (US) accounted for 82% of the total growth (annex 1). Chinese telecommunications company ZTE Corporation was the biggest filer of PCT applications in 2011.
(Photo: E. Berrod)
“The recovery in international patent filings that we saw in 2010 gained strength in 2011,” said WIPO Director General Francis Gurry. “This underlines the important role played by the PCT system in a world where innovation is an increasingly important feature of economic strategy. It also shows that companies have been continuing to innovate in 2011 – reassuring news in times of persistent economic uncertainty.”
Among the top filing countries, PCT applications from China (+33.4%), Japan (+21%), Canada (+8.3%), the Republic of Korea (+8%) and the US (+8%) saw the fastest growth in 2011. European countries witnessed a mixed performance, with Switzerland (+7.3%), France (+5.8%), Germany (+5.7%) and Sweden (+4.6%) experiencing growth, and the Netherlands (-14%), Finland (-2.7%), Spain (-2.7%) and the United Kingdom (-1%) seeing declines. The large middle-income economies of the Russian Federation (+20.8%), Brazil (+17.2%) and India (+11.2%) recorded double-digit filing growth.
The US with 48,596 filings remains the largest user of the PCT system, followed by Japan (38,888), Germany (18,568) and China (16,406). However, the US (-0.7%) and Germany (-0.5%) saw drop in their shares of total filings, while China (+1.5) and Japan (+1.8) each increased their share by more than a percentage point.
Top applicants
ZTE Corporation of China with 2,826 published applications overtook Panasonic Corporation of Japan (2,463) as the top PCT applicant in 2011 (annex 2).2 Huawei Technologies, Co. of China (1,831) ranks third, followed by Sharp Kabushiki Kaisha (1,755) of Japan and Robert Bosch Corporation (1,518) of Germany. Each of the top five applicants saw double-digit growth in published PCT applications. Five Japanese companies – Panasonic, Sharp, Toyota, NEC, and Mitsubishi – feature in the top 15-list.
The University of California, with 277 applications published in 2011, is the largest filer among educational institutions, followed by the Massachusetts Institute of Technology (179), the University of Texas System (127), Johns Hopkins University (111) and the Korea Advanced Institute of Science and Technology (103). US universities account for 30 of the top-50 educational institutions, followed by Japan and the Republic of Korea with 7 institutions each (annex 3).
PCT filings by fields of technology
Digital communications with 11,574 (or 7.1% of total) published applications remained the field of technology accounting for the largest share of total PCT applications in 2011, followed by electronic machinery (6.9%), medical technology (6.6%) and computer technology (6.4%).3
Most technology fields experienced growth in patenting in 2011. Electronic machinery (23.2%) saw the fastest growth, but 11 other fields also experienced double-digits growth (annex 4). Only 4 fields saw a decline in filings, including basic communication processes (-5.9%), organic fine chemistry (-4.1%), and pharmaceuticals (-1.9%).
Background
The PCT system facilitates the process of seeking patent protection in multiple countries. It simplifies this process by postponing the requirement to file a separate application in each jurisdiction until after a centralized processing and initial patentability evaluation have taken place. Examination of the patentability of the invention in national offices and the related expenses are postponed, in the majority of cases, by up to 18 months – or even longer in some offices – as compared to direct patent filings. The PCT system now has 144 member states. Annex 5 presents total PCT filings from all member states from 2007 to 2011.
Data updates and further analysis
For data updates and additional analysis on the performance of the PCT system in 2011, please consult the PCT Yearly Review: The International Patent System in 2011, which will be published on WIPO Intellectual Property Statistics website in April of 2012.
Annexes
Annex 1 - PCT international applications – Top 15 countries
Annex 2: Published PCT international applications by top applicants
2011 Ranking
Position Changed
Applicant's Name
Country of Origin
PCT application published in 2011
Change on 2010
1
1
ZTE CORPORATION
China
2'826
958
2
-1
PANASONIC CORPORATION
Japan
2'463
310
3
1
HUAWEI TECHNOLOGIES CO.' LTD.
China
1'831
304
4
4
SHARP KABUSHIKI KAISHA
Japan
1'755
469
5
1
ROBERT BOSCH CORPORATION
Germany
1'518
217
6
-3
QUALCOMM INCORPORATED
United States of America
1'494
-181
7
4
TOYOTA JIDOSHA KABUSHIKI KAISHA
Japan
1'417
322
8
-1
LG ELECTRONICS INC.
Republic of Korea
1'336
39
9
-4
KONINKLIJKE PHILIPS ELECTRONICS N.V.
Netherlands
1'148
-285
10
-1
TELEFONAKTIEBOLAGET LM ERICSSON (PUBL)
Sweden
1'116
-31
11
-1
NEC CORPORATION
Japan
1'056
-50
12
0
SIEMENS AKTIENGESELLSCHAFT
Germany
1'039
209
13
1
MITSUBISHI ELECTRIC CORPORATION
Japan
834
108
14
-1
BASF SE
Germany
773
-44
15
2
SAMSUNG ELECTRONICS CO.' LTD.
Republic of Korea
757
183
16
-1
NOKIA CORPORATION
Finland
698
66
17
5
INTERNATIONAL BUSINESS MACHINES CORPORATION
United States of America
661
245
18
0
HEWLETT-PACKARD DEVELOPMENT COMPANY' L.P.
United States of America
591
27
19
-3
3M INNOVATIVE PROPERTIES COMPANY
United States of America
563
-23
20
5
HITACHI' LTD.
Japan
547
175
21
11
KABUSHIKI KAISHA TOSHIBA
Japan
517
198
22
2
CANON KABUSHIKI KAISHA
Japan
499
120
23
-4
FUJITSU LIMITED
Japan
494
19
24
3
PROCTER & GAMBLE COMPANY
United States of America
488
129
25
-2
MITSUBISHI HEAVY INDUSTRIES' LTD.
Japan
480
89
26
2
SONY CORPORATION
Japan
471
124
27
-7
MICROSOFT CORPORATION
United States of America
446
-24
27
3
SUMITOMO CHEMICAL COMPANY' LIMITED
Japan
446
123
29
-8
E.I. DUPONT DE NEMOURS AND COMPANY
United States of America
424
-28
30
57
SCHAEFFLER TECHNOLOGIES GMBH & CO. KG
Germany
422
255
31
-5
BOSCH-SIEMENS HAUSGERATE GMBH
Germany
421
50
32
3
HONDA MOTOR CO.' LTD.
Japan
418
109
33
16
FUJIFILM CORPORATION
Japan
414
139
34
12
DOW GLOBAL TECHNOLOGIES INC.
United States of America
399
111
35
177
SEMICONDUCTOR ENERGY LABORATORY CO.' LTD.
Japan
382
306
36
0
COMMISSARIAT A L'ENERGIE ATOMIQUE ET AUX ENERGIES ALTERNATIVES
France
371
63
37
11
KYOCERA CORPORATION
Japan
356
77
38
21
PANASONIC ELECTRIC WORKS CO.' LTD.
Japan
353
147
39
-2
BAKER HUGHES INCORPORATED
United States of America
336
29
40
-11
NOKIA SIEMENS NETWORKS OY
Finland
332
-13
41
48
HUAWEI DEVICE CO.' LTD.
China
327
163
42
-2
NTT DOCOMO' INC.
Japan
323
25
43
-5
MURATA MANUFACTURING CO.' LTD.
Japan
318
13
44
18
INTEL CORPORATION
United States of America
309
108
45
-12
APPLIED MATERIALS' INC.
United States of America
308
-5
46
-12
THOMSON LICENSING
France
303
-8
47
-6
FRAUNHOFER-GESELLSCHAFT ZUR FORDERUNG DER ANGEWANDTEN FORSCHUNG E.V.
Germany
294
-3
48
4
GENERAL ELECTRIC COMPANY
United States of America
291
17
48
25
ASAHI GLASS COMPANY' LIMITED
Japan
291
111
50
-1
ALCATEL LUCENT
France
287
12
51
65
SANYO ELECTRIC CO.' LTD.
Japan
285
156
52
-13
UNIVERSITY OF CALIFORNIA
United States of America
277
-27
53
18
APPLE COMPUTER' INC.
United States of America
269
87
54
45
PEUGEOT CITROEN AUTOMOBILES SA
France
268
121
55
37
SUMITOMO ELECTRIC INDUSTRIES' LTD.
Japan
264
103
56
-9
EASTMAN KODAK COMPANY
United States of America
261
-23
57
8
L'OREAL
France
260
62
58
-3
KONICA MINOLTA OPTO' INC.
Japan
256
4
59
31
HALLIBURTON ENERGY SERVICES' INC.
United States of America
252
90
60
-7
CORNING INCORPORATED
United States of America
243
-25
61
1
ILLINOIS TOOL WORKS INC.
United States of America
237
36
62
-13
HENKEL KOMMANDITGESELLSCHAFT AUF AKTIEN
Germany
232
-43
63
-6
RESEARCH IN MOTION LIMITED
Canada
226
9
64
16
GOOGLE' INC.
United States of America
224
53
65
-22
MEDTRONIC' INC.
United States of America
215
-74
66
-6
LG CHEM' LTD.
Republic of Korea
214
11
66
7
HITACHI HIGH-TECHNOLOGIES CORPORATION
Japan
214
34
68
144
YAZAKI CORPORATION
Japan
205
129
69
-5
SCHLUMBERGER CANADA LIMITED
Canada
204
4
69
35
DAIMLER AG
Germany
204
61
71
-5
NOVARTIS AG
Switzerland
200
10
72
-14
CENTRE NATIONAL DE LA RECHERCHE SCIENTIFIQUE (CNRS)
France
196
-11
73
46
NITTO DENKO CORPORATION
Japan
195
67
74
-18
BRIDGESTONE CORPORATION
Japan
194
-53
75
-14
F. HOFFMANN-LA ROCHE AG
Switzerland
189
-13
76
23
UNI-CHARM CORPORATION
Japan
187
40
77
-9
NESTEC S.A.
Switzerland
186
-2
77
5
CONTINENTAL AUTOMOTIVE GMBH
Germany
186
16
79
-11
NIPPON STEEL CORPORATION
Japan
185
-3
80
21
SOCIETE DE TECHNOLOGIE MICHELIN
France
184
38
81
12
AGENCY OF SCIENCE' TECHNOLOGY AND RESEARCH
Singapore
180
26
81
30
BAYER MATERIALSCIENCE AG
Germany
180
47
83
-1
EVONIK DEGUSSA GMBH
Germany
179
9
83
18
MASSACHUSETTS INSTITUTE OF TECHNOLOGY
United States of America
179
33
85
-12
DSM IP ASSETS B.V.
Netherlands
178
-2
86
39
ALCATEL-LUCENT USA INC.
United States of America
177
53
87
-17
FRANCE TELECOM
France
176
-7
87
-10
ZF FRIEDRICHSHAFEN AG
Germany
176
0
87
61
ALCATEL SHANGHAI BELL CO.' LTD.
China
176
72
90
-36
DAIKIN INDUSTRIES' LTD.
Japan
175
-81
90
72
MITSUBISHI CHEMICAL CORPORATION
Japan
175
80
92
41
NISSAN MOTOR CO.' LTD.
Japan
174
61
93
-8
OSRAM GESELLSCHAFT MIT BESCHRANKTER HAFTUNG
Germany
173
4
94
-51
SONY ERICSSON MOBILE COMMUNICATIONS AB
Sweden
171
-118
94
-4
MERCK PATENT GMBH
Germany
171
9
96
23
SOCIETE NATIONALE D'ETUDE ET DE CONSTRUCTION DE MOTEURS D'AVIATION
France
170
42
96
49
SANOFI-AVENTIS DEUTSCHLAND GMBH
Germany
170
65
98
-26
KONICA MINOLTA HOLDINGS' INC.
Japan
167
-14
99
2
TOKYO ELECTRON LIMITED
Japan
166
20
99
5
BAYER CROPSCIENCE AKTIENGESELLSCHAFT
Germany
166
23
Annex 3: Published PCT international applications by top universities
2011 Ranking
Position Changed
Applicant's Name
Country of Origin
PCT application published in 2011
Change on 2010
52
-13
UNIVERSITY OF CALIFORNIA
United States of America
277
-27
83
18
MASSACHUSETTS INSTITUTE OF TECHNOLOGY
United States of America
179
33
119
-3
UNIVERSITY OF TEXAS SYSTEM
United States of America
127
-2
140
37
JOHNS HOPKINS UNIVERSITY
United States of America
111
22
159
184
KOREA ADVANCED INSTITUTE OF SCIENCE AND TECHNOLOGY
Republic of Korea
103
52
168
-11
SEOUL NATIONAL UNIVERSITY
Republic of Korea
99
2
171
-26
UNIVERSITY OF TOKYO
Japan
98
-7
174
32
UNIVERSITY OF MICHIGAN
United States of America
96
17
193
-25
HARVARD UNIVERSITY
United States of America
88
-3
193
6
CORNELL UNIVERSITY
United States of America
88
7
204
-60
UNIVERSITY OF FLORIDA
United States of America
84
-23
208
-40
COLUMBIA UNIVERSITY
United States of America
82
-9
217
110
LELAND STANFORD JUNIOR UNIVERSITY
United States of America
79
25
240
134
KYOTO UNIVERSITY
Japan
70
23
263
-51
UNIVERSITY OF PENNSYLVANIA
United States of America
64
-12
272
111
ISIS INNOVATION LIMITED
United Kingdom
62
16
282
364
KOREA UNIVERSITY
Republic of Korea
60
33
285
2
OSAKA UNIVERSITY
Japan
59
-1
285
63
CALIFORNIA INSTITUTE OF TECHNOLOGY
United States of America
59
9
316
-45
ARIZONA STATE UNIVERSITY
United States of America
55
-9
341
472
GWANGJU INSTITUTE OF SCIENCE AND TECHNOLOGY
Republic of Korea
52
31
345
20
DUKE UNIVERSITY
United States of America
51
3
345
67
HEBREW UNIVERSITY OF JERUSALEM
Israel
51
8
345
83
TOHOKU UNIVERSITY
Japan
51
10
351
-60
UNIVERSITY OF UTAH
United States of America
50
-9
351
32
HANYANG UNIVERSITY
Republic of Korea
50
4
351
363
NATIONAL UNIVERSITY OF SINGAPORE
Singapore
50
26
371
-80
UNIVERSITY OF ILLINOIS
United States of America
47
-12
371
153
UNIVERSITY OF COLORADO
United States of America
47
13
381
-7
WISCONSIN ALUMNI RESEARCH FOUNDATION
United States of America
46
-1
381
78
NORTHWESTERN UNIVERSITY
United States of America
46
8
408
12
UNIVERSITY OF NORTH CAROLINA
United States of America
43
1
408
38
TEL AVIV UNIVERSITY
Israel
43
4
408
51
YONSEI UNIVERSITY
Republic of Korea
43
5
408
254
TOKYO INSTITUTE OF TECHNOLOGY
Japan
43
17
434
-86
PURDUE UNIVERSITY
United States of America
41
-9
434
25
HOKKAIDO UNIVERSITY
Japan
41
3
434
212
KYUSHU UNIVERSITY
Japan
41
14
442
71
CAMBRIDGE UNIVERSITY
United Kingdom
40
5
442
117
STATE UNIVERSITY OF NEW YORK
United States of America
40
8
467
-93
UNIVERSITY OF SOUTHERN CALIFORNIA
United States of America
38
-9
467
473
VANDERBILT UNIVERSITY
United States of America
38
20
480
234
YALE UNIVERSITY
United States of America
37
13
493
84
POSTECH FOUNDATION
Republic of Korea
36
5
493
169
UNIVERSITY OF PITTSBURGH
United States of America
36
10
493
221
DANMARKS TEKNISKE UNIVERSITET
Denmark
36
12
493
221
TSINGHUA UNIVERSITY
China
36
12
512
202
UNIVERSITY OF SYDNEY
Australia
35
11
530
-48
UNIVERSITY OF WASHINGTON
United States of America
34
-3
530
-48
INDIANA UNIVERSITY
United States of America
34
-3
530
132
NEW YORK UNIVERSITY
United States of America
34
8
530
132
UNIVERSITY OF ROCHESTER
United States of America
34
8
Annex 4: PCT international application by fields of technology
Annex 5: PCT international applications by country
__________________ 1 The data are provisional as WIPO continues to receive PCT applications filed with national offices in 2011. 2 For confidentiality reasons, the ranking of top applicants and the breakdown by field of technology are based on PCT applications published (rather than filed). Statistics based on publication date have a delay of approximately 6 months compared to those based on international filing date. 3 The breakdown of published PCT applications by technology field relies on WIPO's International Patent Classification and Technology concordance table.
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