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This manual has been prepared by the OECD Secretariat in conjunction with the Working Party of National Experts on Science and Technology Indicators (NESTI) in order to provide users and producers of patent statistics with basic guidelines for compiling and analysing these data.

The importance which the OECD attaches to the use of patent statistics goes back to the late 1970s. The OECD issued a first edition of this manual in 1994. At the “Blue Sky” conference on “New science and technology indicators for a knowledge-based economy”, organised by the OECD in 1996, experts identified patents as a promising avenue for improving our quantitative understanding of science and technology (S&T) activities in a rapidly evolving economic and policy context. Since then, statistical work on patents has advanced significantly, at the OECD, in member countries and in academia. This manual takes account of these developments.

The manual shows what patent statistics can be used for, what they cannot be used for, and how to count patents in order to maximise information on S&T activities while minimising “noise” and bias. Patent data provide unique insights into the processes and outcomes of inventive activities (e.g. the location of inventive activities, inventive networks, emerging technologies, etc.). Used with other data, they support the analysis of other dimensions of innovation that are of policy interest, such as the role of intellectual property in economic performance, entrepreneurship, and the tracking of linkages in the S&T system. Yet, patent-based indicators suffer from several weaknesses and, as a result, they should be designed and interpreted with care, hence the need for this manual.

The Patent Statistics Manual belongs to the Frascati family of OECD manuals dealing with the measurement of scientific and technical activities, along notably with the Frascati Manual (R&D), the Oslo Manual (innovation), and the Canberra Manual (human resources for S&T), the last two of which are joint publications with Eurostat. These manuals are the outcome of work by the OECD and its group of national experts to conceptualise S&T activities and develop statistical methods of measuring their most pertinent aspects along internationally agreed lines.

 

 

Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Chapter 1. Objectives and Scope of the Manual. . . . . . . . . . . . . . . . . . . . . . . 11
Reference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Chapter 2. Patents as Statistical Indicators of Science and Technology . . 17
  2.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
  2.2. Legal foundations of patents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
  2.3. Administrative routes for protection . . . . . . . . . . . . . . . . . . . . . . . . 19
  2.4. Economic foundations of patents . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
  2.5. The information content of patent documents . . . . . . . . . . . . . . . . 24
  2.6. Patents as statistical indicators of inventive activity . . . . . . . . . . . 26
  2.7. Patent databases. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
  2.8. Topics of investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

Annex 2.A1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

Chapter 3. Patent Systems and Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . 39
  3.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
  3.2. The core patenting procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
  3.3. National and regional procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
  3.4. International patent applications . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57

Chapter 4. Basic Criteria for Compiling Patent-Based Indicators . . . . . . . . 59
  4.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
  4.2. Reference date . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
  4.3. Reference country . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
  4.4. PCT applications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
  4.5. Patent families . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
  4.6. Normalised country-level patent indicators . . . . . . . . . . . . . . . . . . 74

Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
Annex 4.A1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77

Chapter 5. Classifying Patents by Different Criteria . . . . . . . . . . . . . . . . . . . 83
  5.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
  5.2. Technology fields . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
  5.3. Industry classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
  5.4. Regional classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
  5.5. Institutional sectors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
  5.6. Patents by companies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
  5.7. Patents by inventors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99

Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101

Chapter 6. The Use and Analysis of Citations in Patents . . . . . . . . . . . . . . 105
  6.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
  6.2. What are citations? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
  6.3. Uses and applications of citations indicators . . . . . . . . . . . . . . . . . 107
  6.4. Citation practices in patent offices . . . . . . . . . . . . . . . . . . . . . . . . . . 108
  6.5. Citation-based indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
  6.6. Non-patent literature. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
  6.7. Other indicators based on the categories of citations(EPO and PCT search reports). 120
Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122

Chapter 7. Indicators of the Internationalisation of Science and Technology . . . . . . . . 125
  7.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
  7.2. Indicators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
  7.3. Ownership and research strategies . . . . . . . . . . . . . . . . . . . . . . . . . . 132

Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133

Chapter 8. Indicators of Patent Value . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
  8.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
  8.2. Forward citations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138
  8.3. Indicators based on procedural information and applicants’ behaviour. . . . . . . . 139
  8.4. Other indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144

Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151

 

List of Boxes
  1.1. A sample of regular patent statistics . . . . . . . . . . . . . . . . . . . . . . . . 15
  3.1. Patentability criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
  3.2. Main provisions of the TRIPs Agreement . . . . . . . . . . . . . . . . . . . . 44
  4.1. Methodologies for nowcasting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
  4.2. Nowcasting methods based on transfer rates . . . . . . . . . . . . . . . . 70
4.A1.1. Other definitions of patent families. . . . . . . . . . . . . . . . . . . . . . . . . 78
  6.1. The problem of equivalents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
  7.1. Regional dispersion of patenting . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
  8.1. Reforms concerning the designation of states . . . . . . . . . . . . . . . . 143
  8.2. A combined indicator (European protection): the scope year index. . . . . . . . . 144

List of Tables
  3.1. Differences between the three main patent offices. . . . . . . . . . . . 47
4.A1.1. Differences in patent counts (EPO filings and grants) depending on the reference

           selected, 2000 . . . . . . . . . . . . . . . . . . . 80
4.A1.2. Country shares in EPO applications with various criteria of attribution  . . . . . . 81
  5.1. Main characteristics of IPC codes (example). . . . . . . . . . . . . . . . . . 86
  5.2. Examples of keywords/clues used to identify patentee sectors. . 96
  6.1. Occurrence of patent and non-patent references (USPTO and EPO) .. . . . . . . 109
  6.2. Occurrence of USPTO and EPO journal and non-journal references. . . . . . . . . . . . . 117
  6.3. Occurrence of USPTO and EPO non-journal sources . . . . . . . . . . . 118
  6.4. Citation categories at the EPO and PCT . . . . . . . . . . . . . . . . . . . . . 120
  8.1. Main indicators of patent value discussed in the literature . . . . . 140
  8.2. Shares of countries in total patent applications under different indicators (priority date

         2000) .. . . . . . . . . . . . . . 141

List of Figures
2.A1.1. Front page of an EPO patent application . . . . . . . . . . . . . . . . . . . . . 35
2.A1.2. Sample front page of a JPO patent application . . . . . . . . . . . . . . . . 36
2.A1.3. Front page of a USPTO published patent application . . . . . . . . . . 37
2.A1.4. Front page of a PCT application . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
  3.1. Timeline for PCT procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
  4.1. Share of countries in patents taken at the three major regions, 2005 . . . . . . . 65
  4.2. Patents applied for under the PCT procedure, EPO designations. . . . . . . . . . 66

  4.3. Share of countries in patents filed under the PCT procedure, 2004 . . . . . . . . 68
  4.4. Share of Euro-PCT applications entering the regional phase, 2002-04 . . . . . 68
  4.5. Share of countries in total triadic patent families, 2005 . . .  . . . . . . . . . . . . 72
  4.6. Example of close and extended patent families. . . . . . . . . . . . . . . 73
  4.7. Triadic patent families over GDP, 2005 . . . . . . . . . . . . . . . . . . . . . . 74
  4.8. Triadic patent families per million population, 2005. . . . . . . . . . . 74
  5.1. Trends in patenting of fuel cells, share of patents filed under the PCT, 1987-2004.  . 85
  5.2. Share of countries in fuel cell patents, 1987-2004. . . . . . . . . . . . . 89
  5.3. Share of related-techniques in fuel cell patents,1987-2004 . . . . . 89
  5.4. Specialisation index of biotechnology patents filed at the EPO, 1995-2002 .. . . . . . 90
  5.5. Patenting by industry and business R&D,PCT applications 2002-04 . . . . . . . . . . 93
  5.6. ICT patents by region in Europe, the United States and Japan . . 95
  6.1. Share of NPL in citations in search reports of PCT patent applications  . . . . 119
  6.2. Share of NPLin citations ? all patents . . . . . . . . . . . . . . . . . . . . . . . 119
  6.3. Share of NPL in citations ? ICT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
  7.1. Globalisation of S&T based on patent indicators . . . . . . . . . . . . . 129
  7.2. Foreign ownership of domestic inventions. . . . . . . . . . . . . . . . . . . 129
  7.3. Domestic ownership of inventions made abroad . . . . . . . . . . . . . 130
  7.4. Composition of cross-border ownership in PCT applications . . . 133

 

 

 

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