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Patent Cooperation Treaty (PCT): latest developments WIPO studies: 2013 Global Innovation Index 2011 World Intellectual Property Report: the Changing Face of Innovation. Matthew Bryan, Director, PCT Legal Division, WIPO August 2013. PCT Coverage Today. 148 PCT States. =PCT.

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Patent cooperation treaty pct latest developments wipo studies 2013 global innovation index

Patent Cooperation Treaty (PCT): latest developments

WIPO studies:

2013 Global Innovation Index

2011 World Intellectual Property Report: the Changing Face of Innovation

Matthew Bryan, Director, PCT Legal Division, WIPO

August 2013


Pct coverage today

PCT Coverage Today


Patent cooperation treaty pct latest developments wipo studies 2013 global innovation index

148 PCT States

=PCT

Costa Rica

Côte d'Ivoire

Croatia

Cuba

Cyprus

Czech Republic

Democratic People's

Republic of Korea

Denmark

Dominica

Dominican Republic

Ecuador

Egypt

El Salvador

Equatorial Guinea

Estonia

Finland

France,

Gabon

Gambia

Georgia

Germany

Ghana

Greece

Grenada

Guatemala

Guinea

Malawi

Malaysia

Mali

Malta

Mauritania

Mexico

Monaco

Mongolia

Montenegro

Morocco

Mozambique

Namibia

Netherlands

New Zealand

Nicaragua

Niger

Nigeria

Norway

Oman

Panama

Papua New Guinea

Peru

Philippines

Albania

Algeria

Angola

Antigua and Barbuda

Armenia

Australia

Austria

Azerbaijan

Bahrain

Barbados

Belarus

Belgium

Belize

Benin

Bosnia and Herzegovina

Botswana

Brazil

Brunei Darussalam

Bulgaria

Burkina Faso

Cameroon

Canada

Central African Republic

Chad

Chile

China

Colombia

Comoros

Congo

Guinea-Bissau

Honduras

Hungary

Iceland

India

Indonesia

Iran (Islamic Republic of)

(4 Oct. 2013)

Ireland

Israel

Italy

Japan

Kazakhstan

Kenya

Kyrgyzstan

Lao People’s Dem Rep.

Latvia

Lesotho

Liberia

Libyan Arab Jamahiriya

Liechtenstein

Lithuania

Luxembourg

Madagascar

St. Kitts and Nevis

Sweden

Switzerland

Syrian Arab Republic

Tajikistan

Thailand

The former Yugoslav

Republic of Macedonia

Togo

Trinidad and Tobago

Tunisia

Turkey

Turkmenistan

Uganda

Ukraine

United Arab Emirates

United Kingdom

United Republic of Tanzania

United States of America

Uzbekistan

Viet Nam

Zambia

Zimbabwe

Poland

Portugal

Qatar

Republic of Korea

Republic of Moldova

Romania

Rwanda

Russian Federation

Saint Lucia

Saint Vincent and the Grenadines

San Marino

Sao Tomé e Principe

Saudi Arabia (3 Aug. 2013)

Senegal

Serbia

Seychelles

Sierra Leone

Singapore

Slovakia

Slovenia

South Africa

Spain

Sri Lanka

Sudan

Swaziland


Countries not yet in pct

Countries not yet in PCT

Afghanistan

Andorra

Argentina

Bahamas

Bangladesh

Bhutan

Bolivia

Burundi

Cambodia

Cape Verde

Democratic Republic of Congo

Djibouti

Eritrea

Ethiopia

Fiji

Guyana

Haiti

Iraq

Jamaica

Jordan

Kiribati

Kuwait

Lebanon

Maldives

Marshall Islands

Mauritius

Micronesia

Myanmar

Nauru

Nepal

Pakistan

Palau

Paraguay

Samoa

Solomon Islands

Somalia

South Sudan

Suriname

Timor-Leste

Tonga

Tuvalu

Uruguay

Vanuatu

Venezuela

Yemen

(45)


Pct applications 2012

PCT Applications 2012

NL: +14%

CN: +13.6%

KR: +13.4%

FI: +13.2%

JP: +12.3%

194,400 PCT applications

+6.6% in 2012

87.3% fully electronic

Forecasting +3.8% in 2013


Patent cooperation treaty pct latest developments wipo studies 2013 global innovation index

International applications received in 2012 by country of origin

Top 15 countries responsible for 92.7% of IAs filed in 2012


Patent cooperation treaty pct latest developments wipo studies 2013 global innovation index

PCT National phase entries—total

  • 507,400 national phase entries estimated in 2011 (+ 4.2%)

  • 431,800 (about 85%) of NPEs are from non-resident applicants, making

    PCT NPEs responsible for 54.9% of all non-resident patent applications

    filed worldwide in 2011


Patent cooperation treaty pct latest developments wipo studies 2013 global innovation index

PCT National phase entries 2011—by target DO

  • USPTO most preferred DO for National Phase Entries; had highest growth among the IP5 Offices (+7.3%)

  • Brazil (+12.6%) and India (+9.8%) had highest growth rates among top 10 Offices


Top pct applicants 2012

Top PCT Applicants 2012

  • ZTE Corporation—CN (3906)*

  • Panasonic—JP (2951)

  • Sharp—JP (2001)

  • Huawei—CN (1801)

  • Bosch—DE (1775)

  • Toyota—JP (1652)

  • Qualcomm—US (1305)

  • Siemens—DE (1272)

  • Philips—NL (1230)

  • Ericsson—SE (1197)

  • LG Electronics—KR (1094)

  • Mitsubishi Electric—JP (1042)

  • NEC—JP (999)

  • Fujifilm Corporation (891)

  • Hitachi—JP (745)

  • Samsung Electronics—KR (683)

  • Fujitsu—JP (671)

  • Nokia—FI (670)

  • BASF—DE (644)

  • Intel—US (640)

*Almost 18 IAs/working day

() of published

PCT applications


Top university pct applicants 2012

Top University PCT Applicants 2012

  • University of California (US)

  • MIT (US)

  • Harvard University (US)

  • Johns Hopkins (US)

  • Columbia University (US)

  • University of Texas (US)

  • Seoul National University (KR)

  • Leland Stanford University (US)

  • Peking University (CN)

  • University of Florida (US)

  • Cal Tech (US)

  • Korea Advanced Institute of Science and Technology (KR)

  • Cornell University (US)

  • University of Tokyo (JP)

  • Yonsei University (KR)

  • Isis Innovation Limited (GB)

  • Tsinghua University (CN)

  • Kyoto University (JP)

  • University of Michigan (US)

  • Purdue University (US)


Recent pct developments

Recent PCT developments

America Invents Act (AIA) Simplification for PCT

3rd Party Observation system

Indication of availability for license

ePCT


Epct future improvements 1

ePCT: future improvements (1)

Web-based electronic filing of new PCT applications

Currently in pilot with RO/IB

Aiming at Q3/2013 for opening up for RO/IB filing

Aiming to have even better validations than PCT-SAFE

Aiming for fully hosted RO service by end 2014

Further online actions

Prepare and submit Chapter II Demand online

Request to indicate availability for licensing, etc.

Multilingual interface (eventually 10 languages)

Extension of ePCT to interested Offices in their various capacities (RO, ISA, SISA, IPEA, DO, EO) has started, including hosting on behalf of offices, and 2-way communication


Epct future improvements 2

ePCT: future improvements (2)

Offer centralized real-time credit card transactions for all fee types and all authorities

National phase entry function could be added to ePCT

Opt-in for DOs

Applicant would select from among participating DOs, upload any necessary documents and add any bib. data not already available to IB

Local counsel could be fully involved

Would not initially include fee payment facility, but this could be added in the future

Positive reaction at Feb. 2013 IP5 meeting


Recent pct developments1

Recent PCT developments

America Invents Act (AIA) Simplification for PCT

3rd Party Observation system

Indication of availability for license

ePCT

WIPO AMC fee reduction for PCT users

Misleading invitations


Recent pct developments2

Recent PCT developments

America Invents Act (AIA) Simplification for PCT

3rd Party Observation system

Indication of availability for license

ePCT

PCT-PPH

WIPO AMC fee reduction for PCT users

Misleading invitations

PCT Working Group 2013


Pct working group may 21 24 1

PCT Working Group May 21-24 (1)

USPTO/UK--Mandatory response to negative comments in the national phase (PCT/WG/6/16)

USPTO/UK-- Formal integration of PPH into PCT (PCT/WG/6/17)

USPTO/UK-- Mandatory top-up search in Ch. II (PCT/WG/6/18)

USPTO/UK-- Mandatory recordation of search strategies (PCT/WG/6/19)

Other USPTO/UK “20/20” proposals:

Self-service Rule 92bis changes and priority claim corrections

Limited Chapter I corrections to claims

Simplified withdrawal without signatures within limited period

Formally integrate collaborative search into PCT

Incorporate Global Dossier into PCT

Availability of Written Opinion of ISA as of publication date (PCT/WG/6/13)

Requirements and procedures of appointment of International Authorities (PCT/WG/6/4)

PCT Fee Reductions (PCT/WG/6/10)

Restoration of the Right of Priority (PCT/WG/6/12)

Evaluation Report of 2nd Collaborative Search/Exam pilot (PCT/WG/6/22)


Pct working group may 21 24 2

PCT Working Group May 21-24 (2)

PCT Minimum Documentation (PCT/WG/6/9)

PCT Sequence Listing Standard (PCT/WG/6/7)

Revision of WIPO Standard ST.14 (PCT/WG/6/8)

Updates:

Supplementary International Search

3rd party observations

ePCT

Quality (PCT/MIA/20/3)

Report from the Quality Subgroup

Matters Arising from Report from the Quality Subgroup

Future Quality-Related Work


Pct working group may 21 24 outcomes

PCT Working Group May 21-24: Outcomes

2 sets of amendments forwarded to PCT Assembly

Amend PCT Rules 66 and 70 to require IPEAs to conduct top-up searches during IPE

Delete PCT Rule 44ter and amend PCT Rule 94 to make WO/ISA available to the public via PATENTSCOPE at international publication

If approved by PCT Assembly in October, these amendments to the PCT Regulations will enter into force July 1, 2014, for demands for IPE filed on or after that date, and for applications filed on or after that date, respectively

Many of the proposals discussed will be revised for further discussion next year


Future pct developments

Future PCT developments

Further work on all remaining WG proposals:

Fee reductions

Appointment of ISAs/IPEAs

US/UK 20/20 proposals

Etc.

Collaborative search


Collaborative pct search

WIPO’s position: collaborative search should be part of the future of the PCT

PCT past discussions

PCT Collaborative Search (and Examination) were important elements of initial “PCT Roadmap” proposal presented at the 2009 PCT WG

Most recent status reports at 2012 PCT MIA (PCT/MIA/19/4) and 2012 PCT WG (PCT/WG/5/9)

2nd IP5 pilot—preliminary views of EPO (as example)

In 87% of cases, feedback from USPTO and KIPO examiners resulted in addition of citations to ISR, and in 27% resulted in amendments to WO-ISA

In 92% of cases, lead examiner (EPO) perceived the final products (ISR and WO-ISA) improved as a result of collaboration; in more than 1/3 of cases, significant improvement

In 70% of cases, EPO examiners (as peer examiners) would trust both search and exam results produced collaboratively

In 30% of cases, complementary examination would be required at EPO due to differences in patent law (e.g., medical use, method of treatment, etc.)

Collaborative PCT Search


Pct training options

PCT training options

  • PCT Distance learning course content available in the 10 PCT publication languages

  • PCT Webinars

    • providing free updates on developments in PCT procedures

    • upon request also for companies or law firms

  • Video- and teleconferences

  • In-person PCT Seminars and training sessions


Patent cooperation treaty pct latest developments wipo studies 2013 global innovation index

PCT Resources/Information

For further information about the PCT, see

http://www.wipo.int/pct/en/

For general questions about the PCT, contact the PCT Information Service at:

Telephone: (+41-22) 338 83 38

Facsimile: (+41-22) 338 83 39

E-mail: [email protected]

[email protected]


Wipo studies

WIPO Studies

  • WIPO strategic goal: “World reference for IP Information and Analysis”

  • WIPO Chief Economist’s office issuing interesting and important IP-related studies

    • 2 Examples:

      • 2013 Global Innovation Index

      • 2011 World Intellectual Property Report: “The Changing Face of Innovation”


Patent cooperation treaty pct latest developments wipo studies 2013 global innovation index

www.globalinnovationindex.org


Overview

Overview

Unlike primary resources, capacity to innovate can be acquired

GII 2013 ranks innovation performance of 142 countries, representing 95% of the world’s population and 99% of the world’s GDP—global reference/action tool on innovation for researchers, and public/private decision makers

As a benchmark for policy makers, GII helps identify targeted policies, good practices, and other levers to foster innovation, with country profiles indicating areas of strengths and weaknesses

UN Secretary-General Ban Ki-moon, at launch of 2013 report, said that innovation is “at the heart of addressing the interlinked challenges of global development,” citing reliance on traditional biomass energy sources, high rates of youth unemployment, and challenges of food security as evidence of the clear need for innovation


Gii multi stakeholder effort

GII: multi-stakeholder effort

Co-published by Cornell University, INSEAD and WIPO

Four Knowledge Partners: Booz & Company, the Confederation of Indian Industry, du, and Huawei

Independent statistical audit by the Joint Research Centre of the European Commission

International advisory board


A tool for action around 84 metrics

A tool for action around 84 metrics


Gii 2013 rankings top 10

GII 2013 rankings – Top 10

GII

Efficiency Ratio

Output Sub-Index

Input Sub-Index

Singapore

Hong Kong (China)

United States of America

United Kingdom

Sweden

Finland

Switzerland

Denmark

Canada

Netherlands

Switzerland

Netherlands

Sweden

United Kingdom

Malta

Luxembourg

Iceland

Finland

Israel

Germany

Mali

Moldova, Rep.

Guinea

Malta

Swaziland

Indonesia

Nigeria

Kuwait

Costa Rica

Venezuela, Bolivarian Rep.

Switzerland

Sweden

United Kingdom

Netherlands

United States of America

Finland

Hong Kong (China)

Singapore

Denmark

Ireland


Australia in gii 2013

Australia in GII 2013

#19 overall (between KR and FR), up 4 places from 2012, in the group of “Leaders”

Examples of Strengths:

  • 9th: Rule of Law

  • 9th: Assessment in reading, math and science

  • 4th: Ease of getting credit

  • 3rd: Ease of starting a business

  • 2nd: School life expectancy, years

  • 7th: Research and development

  • 5th: QS University ranking

  • 3rd: Knowledge workers

  • 7th: Knowledge-intensive employment, %

  • 9th: Online creativity

    Examples of Weaknesses:

  • 77th: Communications, computer & info services exports

  • 74th: R&D financed by abroad

  • 74th: Communications, computer & info services imports


Gii 2013 some key mesages

GII 2013 – some key mesages

Innovation is a global game

Innovation is a mindset

  • Requires identification and mobilization of multiple resources and engagement of many stakeholders

    Innovation divide persists, though room for cautious optimism as some economies are demonstrably learning and rapidly improving their innovation capabilities

    Local dynamics of innovation are critically important

    Metrics are useful

  • Provide commonly accepted tool to monitor/identify priorities

    Core ingredient in innovation is talent

  • Even more important than investment, research and cooperation


R d expenditure is growing

R&D expenditure is growing

Source: WIPO estimates, based on data from UNESCO Institutefor Statistics, Eurostat and OECD, September 2011


Demand for ip rights has grown

Demand for IP rights has grown

Source: WIPO Statistics Database, October 2011


Sound patent institutions are crucial

Sound patent institutions are crucial

  • Patent institutions perform the essential tasks of

    • ensuring the quality of patents granted

    • providing balanced dispute resolution

  • Unprecedented level of patenting has put these institutions under considerable pressure

    • In 2010, there were an estimated 5.17 million of unprocessed patent applications


Knowledge markets based on ip rights are on the rise though still nascent

Knowledge markets based on IP rights are on the rise, though still nascent

Source: WIPO based on data in Athreye and Young (2011)


University and pro patenting is on the rise

University and PRO patenting is on the rise

Source: WIPO Statistics Database, June 2011


Patents can facilitate specialization and learning

Patents can facilitate specialization and learning

  • Studies have shown that patent-based knowledge markets enable firms to specialize, allowing them to be more innovative and efficient at the same time

  • Patents allow firms to control which knowledge to guard and which to share so as to maximize learning – a key element of open innovation strategies

  • Online availability of patent documents has created new catch-up opportunities for technologically less developed economies


Public policies have encouraged the commercialization of scientific knowledge

Public policies have encouraged the commercialization of scientific knowledge

  • Public-private knowledge exchanges occur through a number of channels

  • Almost all high-income countries have institutional frameworks to incentivize commercialization

    • Patenting by universities and public research organizations (PROs) and subsequent commercial development of their inventions through technology transfer offices (TTOs)

  • Several low- and middle-income countries have pursued similar policies


Examples of additional findings

Examples of additional findings

  • Geography of innovation has shifted/is shifting, although high-income countries still dominate global R&D spending

  • Innovation process is increasingly international in nature

  • Innovation appears to have become more collaborative and open, which can benefit firms and society

  • IP ownership has become even more central to business strategies

  • Patent portfolio races complicate cumulative innovation processes

  • Innovators and IP owners are experimenting with new IP policies and practices, such as defensive publication, IP donations, collaboration with universities and patent pools


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