224

CHAPTER 8

CHEMICAL PATENTS: A COMPARATIVE

ANALYSIS

In trying to evaluate the innovative potential of a firm, an industry, a region or a nation-

--, no single perspective seems to be a sufficient guide. Rather a series of different

analytical lenses gives a better overall picture.

-Jane Marceau

CHAPTER 8

CHEMICAL PATENTS: A COMPARITIVE

ANALYSIS

224-

296

8.1 Need and importance of patent analysis 225

8.2 Benefits of patent analysis 226

8.3 Patent statistical resources 227

8.4 Patinformatics 228

8.5 Types of analysis 229

8.6 Patents: A tool for S & T indicators 232

8.7 Patent analysis 234

8.8 Significant findings and trends from the study 281

8.9 Emerging areas in chemical sciences 287

References 293

225

Chapter 8: Chemical Patents: A Comparative Analysis

Patents are treated as one of the best information resources as well as indicators in S &

T. Patents have occupied economic importance and value in IPR. Generally the study of

patent analysis is performed for measuring the developments in a particular scientific

area, contribution of countries, finding technological trends, etc. Searching patent

information is a skill and its analysis is a tedious task because of its vastness. Desired

and accurate useful information has to be collected and analyzed for decision making.

For this purpose, the data can be collected from the secondary sources like abstracting

journals, citations, patent office databases and few statistical and analytical information

resources which are available for searching patent information and also for statistical

analysis of patent literature. The statistical analysis support the aspects like

Awareness of the development in area of research.

Increasing stimulation for patenting activity.

Supporting the ideas and concepts of the inventor.

Valuation and commercialization of activity.

Drawing the state of art.

For trend analysis, technology review etc.

New concept has been developed in patent analysis which is now known as

Patinformatics. Patinformatics is relates to patent analysis which is carried out for

various purposes including policy decisions, and mapping trends etc. This term is

coined on the similar lines of the terms bioinformatics, chemoinformatics, informatics,

etc

8.1 Need and Importance of Patent Analysis.

The researchers need to test an idea before any substance is produced and brought to the

market to see whether the same concept or idea has not already been practiced or

anticipated by others. Then the researcher blocks his concept with patent protection.

Patent analysis provides an overview of innovation and a method to track technological

226

developments. Bailey Wood (Thomson,

http://www.infonortics.com/chemical/ch03/slides/derwent.pdf) in his presentation

suggested that patent analysis deals with counting of patents; (either application or

granted) to find out technological trends, geographic trends, company trends (assignee

trends), experts, key players, etc. This helps in tracking the competitive intelligence, R

& D strategies, key player‟s identification, area of contribution of the assignee and

predictions in technological trends.

8.2 Benefits of Patent Analysis:

Patent analysis enables to review technology and to trace the trends over a period of

time. This also enables to get the geographical distribution of patents (coverage of

patents in US, EP, KR, CN, DE, etc), major players (Sanofi, Astrazenica, Lilly, Takeda,

Merck, Bayer, etc.), and key inventors. This type of analysis is very useful for

developing future activities. It also supports technology portfolio analysis which

indicates the development of products like anti-cancer drugs, enzyme inhibitors,

antivirals, key inventors in the area etc. Thus patent analysis is considered as the best

method for highlighting the areas for further study and collaboration. Bagheri (2004)

pointed out that there is a need for analysis of patent literature which benefits the users

in tracking the development of science. He has grouped the patent information analysis

into 3 levels, viz.1) Strategic level, 2) Business level, and 3) Technical level.

8.2.1 Strategic Level:

In strategic level of analysis, the formulation of long-term technology strategies and

selection of suitable research projects according to those strategies is carried out. This

task is specialized and complicated. This task requires mastery over fields of technology

management like, „technology forecasting‟, „technology assessment‟, „technology

monitors‟, „technology mapping‟, and „formulation of technology strategy‟ etc. This

needs special kind of patent analysis entitled „patent mapping‟ through which it is

possible to trace the evolution of different technologies. Technological orientations of

major companies, selection of suitable partners for strategic technological partnerships,

are few of the benefits.

227

8.2.2 Business level:

Patent analysis is beneficial for the research institutes of developing countries and helps

in identification of competitors and monitors key competitors in respective fields. Many

companies map their competitor‟s patent portfolio to help in identifying research trends

and gaps in research for developing new technologies. Few other benefits under this

category are identification of potential licensors, analysis of technical and legal

information of related patents, process for transfer of given technology before triggering

the negotiation, boosting the bargaining power of buyers, etc.

8.2.3 Technical level:

Patent analysis can also yield technical benefits for research institutes of developing

countries. Acquiring technical information from patents and prevention of duplication is

possible. In initial stages of product development, patents are a key source of

information regarding latest technologies, and may act as a source of ideas for new

innovations. This information may even inspire researchers with new ideas about new

applications of a technology in other industries. Patent analysis is essential in chemical

sciences as well as other disciplines to monitor the trends in respective area of subject.

8.3 Patent Statistical Resources:

There are few organizations which generate and circulate annual patent statistics.

Chemical Abstracts Service, Thomson Reuters, OECD, USPTO, EPO, WIPO, and

patent offices of every country publish patent statistical data and also global trends in

patent filings. These sources are useful for collecting patent information and developing

new strategies based on this data by analyzing and using indicators. Patent analysis is

very popular for deriving various trends. The other sources of collecting information on

patent filing data are patent databases like CA, DELPHION, USPTO, PCT/WIPO,

DWPI, etc. which cover patents as well as main source of information for patent

literature, which helps in collecting the patent data for analyzing various trends. These

databases provide access to search data and analyze or refine it as per the requirements

228

using access points. The patents in chemical sciences can be analyzed using the IPC

access point, and using this access point information about patent assignee, year,

language, major contributors can be isolated by applying indicators.

New concepts developed for patent analysis are covered under the area called

„Patinformatics‟, which is a process of measuring patenting activities for managerial or

research decisions. The application of Patinformatics is gaining momentum day by day

and softwares are also being developed to evaluate and analyze enormous patent

information.

8.4 Patinformatics:

Patinformatics has developed as an emerging technique, which analyses a set of patent

data to discover relationships and trends among them which would be difficult to

analyze when working with single patent document. Thus semantic patent search

technology has revolutionized in patent research. Trippe (2003) pointed out that the

field of patinformatics is used to indicate trends and developments and it deals with

science of analyzing patent information to be searched. Internet resources, patent

databases, data analyzing software and other analytical tools have developed more

opportunities in the area of patent search, analysis and other value added services. India

has become an attractive destination for patent related services because of availability of

technical human resource and cost effectiveness. This calls for appropriate human

resource development and upgrading skills of existing information professionals.

The analyzed patent data can be presented in visual representation using bar graphs,

polygonal line graphs, pie charts, radar charts and in other charts/graphs formats, which

are also called Patent Maps. The various tools useful for generation of patent maps are

Vantage Point, Aureka ThemeScape, Crystal Xelcious, STN AnaVist, etc. There is an

integration of latent semantic analysis / advanced linguistics patent search technology,

portfolio management software, online patent analytics, international patent database

and information used in a Decision Support System (DSS).

229

8.4.1 Patinformatics Applications:

Patent information has different aspects other than technological or legal information.

Some of the practical applications of patent information for decision making include:

Managing and monitoring Research and Development (R&D),

A Tool for creative thinking,

Competitor monitoring,

Technology assessment,

New Venture Evaluation,

Input for licensing strategy,

Supporting to Mergers and Acquisitions (M&A)

Human Resource Management (HRM).

In today's complex knowledge-driven economy, effective use of patent information for

developing and introducing a new product may determine the success or failure of the

product and, in turn, the success or failure of the company itself. Hence patent analytics

are used to avoid many problems in R & D for making research decisions and policies.

8.5 Types of Analysis:

Generally the following types of analysis are useful for researchers in building their

concepts according to their needs. (Bailey Wood,

http://www.infonortics.com/chemical/ch03/slides/derwent.pdf (Accessed on 12 Feb

2010))

Innovation trends

Technology trends

Competitors analysis

Assignee / Inventor trends or key players

Geographical trends

230

Research trends

Emerging technology trends

The other factors considered while analyzing patents are citation tree (citing patents,

backward and forward), finding the benchmark patents etc.

8.5.1 Key Analysis Techniques:

There are six different indicators used to assess the inventiveness of an organization

(Thomson Reuters. http://science.thomsonreuters.com/press/pdf/innovationresearch.pdf)

Volume of patents (for ranking according to volume of patent contribution)

Impact of patents (later published inventions which cite earlier work i.e. citation

count)

Efficiency and effectiveness of research (worldwide trends in patent filings)

Productivity of research (number of patents in force and practice)

Domestic focus (number of national patents and ratio to total number of patents)

International scope (considering number of different countries in which

inventions have been filed)

Patent analysis which is used to measure innovation is also used by academia,

industries, and policy decision makers.

8.5.2 Benefits of Patent Analysis:

Patent analysis is very useful to entities that are in the process of patent development or

patent filing activity. The major benefits of analyzing patent literature are;

Reduction in cost of production of the substance

Minimized risk factor.

Improved productivity of an organization

Increase in revenue (due to licensing of products in the market)

Valuation and performance measure of an organization

231

Breitzman (2002, 2007) has indicated that patent analysis is used for several aspects

however it is not effective in all industries but few industries like telecommunication,

information technology, pharmaceuticals, biotechnology, chemicals, automotive etc are

benefited by analysis. Chemical industries and chemical sciences are leading in patent

filings and it is a good practice to analyze patent literature in this area to understand the

developments in it.

In this research study it was decided to use following indicators and data from various

patent databases, information resources and statistical information published by few

organizations like OECD, CAS, etc. has been analyzed.

1) Global patent growth (for analyzing top patent filing countries)

2) Contribution of top patent filing countries ( Counting patent filings and ranking

them by comparison/contribution)

3) Country comparison and finding top 10 countries

4) Analyzing patent growth in chemical sciences (analysis of only chemical

sciences contribution)

5) Country comparison and analyzing top 10 countries in filing patents in chemical

sciences

6) Comparison of patent assignees and their contribution (analyzing assignee

contribution and progress in the patent filing)

7) Analysis of area contribution by the assignee (analyzing trends in the discipline).

Accordingly the emphasis was focused in activities of patents related to patent growth,

country comparison, assignee contribution and comparison, university filing

comparison, chemical science contribution, trends mapping etc which has been

collected, analyzed and presented in this study. This study leads to some key findings

and based on these findings, analytical trends are developed. Using patent indicators,

few strategies and activities are considered for future development in chemical sciences.

This analytical study is also useful for capacity building of innovators in bringing out

new inventive concepts.

232

8.6 Patents: A Tool for S & T Indicators:

Griliches (1990) has indicated that patent statistics help in solving problems related to

technological developments in the area of research and supports indicative economic

growth, rate of technological change, competitive firms, and countries. Patent statistics

provide a measure of innovation output, as they reflect the inventive performance of

countries, regions, technologies, firms etc. Patent literature serves as an indicator to

measure the output of R & D, its productivity, structure and development of a specific

technology or industry.

8.6.1 Patent indicators:

Patent indicators are used to map aspects of innovative performance and technological

progress of countries, regions, or certain specific domains and technology fields. The

use of patent statistics for monitoring developments in the field of S & T has been

expanding rapidly in recent years. Patent indicators are regularly published in various

analytical reports or studies especially „OECD Compendium of Patent Statistics and

WIPO statistical Summary‟. Patent based indicators are now more frequently used

because of the close relationship between patents and innovative output. However, there

is no standard output method of calculating indicators from patent data but following

indicators can be used to establish few facts.

County wise patent filings

Assignee indicators

Technological or subject indicators

Resident and non-resident patent filings indicators

University / institute patent filing indicators

Language wise International patent filings

These can also be summarized in following groups

1) Geographical Distribution Indicator: These cover patent counts by priority

filing, counts by inventor‟s country of residence and counts by applicant‟s

country of residence etc.

233

2) Reference dates: These are related to countries by applications filed and

countries by patents granted, family patents, etc during specific period.

3) Technological Area: This is also an important indicator to find trends in area of

technology as well as to find emerging trends and obsolete technologies in R &

D.

4) Patent filings at Patent offices and countries (provides an overview of patenting

activity across the world).

Among few available indicators of technological output, (OECD, 2007) patent counts

can be made of different types, within each type, some selectivity may or may not be

exercised. For instance, one can count all applications in one country, or only patents

granted. A patent can be attributed to the applicant (the patentee at the date of

application) or the inventor or the country where it has been filed first (priority). These

indicators are more useful and they help in analyzing growth in patents, country patent

filings, assignee comparison, inventor comparison, university patent comparison,

technological area filing comparison which helps in determining new emerging areas.

8.6.2 Advantages of Patent indicators:

There are many advantages for using indicators in S & T developments as pointed out

by OECD (2007). Patent indicators help in deriving trends; however the major

advantages are,

They have a close link to inventors

They cover broad range of technologies

Rich source of scientific and technical information

Patent data is readily available from patent offices for analysis

However, few drawbacks are also reported in using patents indicators like, many patents

have no industrial applications or substantial value, many inventions are not patented,

the value of patent differs across countries and industries, and differences in patent

234

regulations and laws etc. But patent indicators are generally used for fixing trends.

Patent indicators can also be used in combination with other science and technology

indicators to prepare various policies, measure of innovative output, performances of

the countries and assignees.

Patent analysis and application of indicators brings out emerging technologies and

overall growth of patents. The analysis of data based on regional contribution of patent

filings brought to the notice that European Community, Japan and United States are the

leading regions (called as Triadic Patent Families) and share about 28.4%, 28.8% and

31% respectively during the year 2005 (OCED 2007). Though the patenting activity is

gaining global importance, patent activity is concentrated among few countries. US,

Japan, Germany, Korea, France, Netherland and UK together accounted for 86% of

total OECD Triadic Patent families during 2005. US contributes more in this area but

since 1995, China and Korea are rapidly growing. In this study indicators were used to

analyze patent literature from patent databases and statistical information resources. A

detailed study is reported in the following paragraphs.

Albert (1998 & 1999) is of the opinion that patent-based indicators are extremely useful

for comparing and monitoring trends in technology output of different countries.

However, one has to follow some methodological rules in constructing them if we are to

avoid certain statistical biases. The proposals on patent families, priority years and

country of invention outlined in this article are a step in that direction.

8.7 Patent Analysis

CAS, USPTO, WIPO, Thomson Reuters, EPO, OECD, JPO etc. are the major patent

data resources which are compilers and statistical information analyzers. Hence, these

resources have been used to compile and analyze the data using different patent

indicators. The data presented below is categorized as per the indicator applied for data

analysis.

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8.7.1 Patent Filing Developments: Growth Indicator

This indicator is generally applied to find the contribution made by every country in

filing patents and their annual growth tracking. This indicates development in the global

patent filing. Based on the data conceptual finding could be tracked. For this purpose

the annual growth of patents reported in various information sources have been

analyzed. Few databases and patent offices have been reviewed for this purpose. The

patent filing data at USPTO from 1977 to 2009 is analyzed and grouped in the

following table.

A) United States Patents and Trademarks Office (USPTO)

Table 8.1 USPTO Filings (1977 to 2009)

Patent Filing Years

Total Applications

filed

1977 108377

1978 108648

1979 108209

1980 112379

1981 113966

1982 117987

1983 112040

1984 120276

1985 126788

1986 132665

1987 139455

1988 151491

1989 165748

1990 176264

1991 177830

1992 186507

1993 188739

1994 206090

1995 228238

1996 211013

1997 232424

1998 260889

236

Patent Filing Years

Total Applications

filed

1999 288811

2000 315015

2001 345732

2002 356493

2003 366043

2004 382139

2005 417508

2006 452633

2007 484955

2008 485312

2009 482871

(Source: www.uspto.gov/web/offices/ac/ido/oeip/taf/us stat.pdf)

Fig. 8.1 USPTO Filings (1977 to 2009)

This data indicates constant growth in patent filings at USPTO.

B) World Intellectual Property Organization (WIPO):

The data compiled for the period from 1985 to 2007 for patent application filings along

with residential and non residential patent filings are reported in the following table.

237

Table 8.2 WIPO Patent Applications filing from 1985 to 2007

Year

Total

Patent

Applications

Total resident

Patent

Applications

Non-

Resident

Applications

1985 926008 641513 284495

1986 950983 663158 287825

1987 997195 700429 296766

1988 1013500 701257 312243

1989 1017650 692261 325389

1990 1006044 676951 329093

1991 895680 588567 307113

1992 951860 623023 328837

1993 951586 638130 313456

1994 948316 627,021 321295

1995 1052677 678186 374491

1996 1090926 680043 410883

1997 1156104 704142 451962

1998 1205571 718613 486958

1999 1274081 751044 523037

2000 1383557 830703 552854

2001 1460536 847157 613379

2002 1448420 839803 608617

2003 1491494 870200 621294

2004 1570970 908370 662600

2005 1701179 975673 725506

2006 1788788 1006293 782495

2007 1854416 1051563 802853

(Source: http://www.wipo.int/ipstats/en/statistics/patents/)

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Fig. 8.2 WIPO Patent Applications filing from 1985 to 2007

The data from above table indicates that the applications filed at international level are

also increasing and the developments indicate upward growth in patent filing. It is also

reported that the trends of non-resident patent applicant filings are also increasing than

the residents.

C) Triadic Patent Filing Developments:

Among the various studies dealing with analysis of patent growth, the triadic patent

filing data extracted from WIPO (WIPO

(http://www.oecd.org/dataoecd/5/19/37569377.pdf) has reported the development of

patents in triadic patent countries. The number of triadic patent families and sets of

patents taken at European Patent Office (EPO), Japan Patent Office (JPO) and US

Patent and Trademark Office (USPTO), have increased (almost doubled) since the mid-

1980s. Triadic patent families grew at an average rate of 5.8% per year from 1995 and

2000, but the beginning of 21st century was marked by a slowdown, with an average

growth rate of 3% per year till 2005 and has again showed a rising trend after 2005.

239

D) OECD and Asian region Patent Filings:

OECD estimated that the number of patents filed in 2005 were about 52,000. Similar

trends were observed from the mid-1990s at the country level, the European Union,

Japan and the United States altogether account for 88% of triadic patent families, with

respective shares of 28%, 29% and 31%. However, OECD countries show contrasting

trends whereas most countries have followed a relatively steady growth rate since 1995.

Spectacular growth has occurred in Asian countries. Germany still ranks third and

Europe‟s strongest inventive performer as measured by patent families. Korea reached

fourth position in 2005, just ahead of France and the United Kingdom, having gained

eight relative positions compared to its 1995 ranking. This upsurge is also observed in

China and India, with respective average growth of 33% and 26% per year from 1995

and 2005. China entered the top 15 patenting countries in 2005. However, the trends

indicated an upward growth 2005 onwards.

E) Chemical Abstracts Service (CAS) / Chemical Abstracts(CA):

The CAS data published in terms of patent filing also reported upward trends and in

comparison with the journal articles and patents filings, it is reported that the patent

abstracts covered in the CA file has indicated patent growth since 1977. The growth of

patents reported in year 2006 as compared to 1977 was around 51.27%. This is the

indication of overall growth at a global level in the technological area of chemical

sciences.

8.7.2 Comparison among Counties: Geographical Indicator

The comparison among countries using patent filing count is prominent way to identify

top patent filing countries globally. This is useful for monitoring research oriented

countries in the world and possible technology users. The data extracted using different

resources are detailed below.

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A) WIPO / PCT Data:

WIPO is a major organization in development monitoring organizations. The trends in

patent filings analyzed for the period 2003 to 2006 is reported below.

Table 8.3 PCT International Applications filed among top countries

Country / Year 2003 2004 2005 2006

2006

Percentage

2006

Percentage

growth

United States 41030 43351 46810 51197 34.24 9.4

Japan 17414 20264 24869 27013 18.1 8.7

Germany 14662 15214 15984 16732 11.2 4.7

France 5171 5184 5748 6244 4.2 8.6

Korea 2949 3558 4688 5943 4 26.8

United Kingdom 5206 5027 5084 5092 3.4 0.2

Netherlands 4479 4284 4500 4539 3 0.9

China 1295 1706 2503 3950 2.6 57.8

Switzerland 2861 2898 3291 3594 2.4 9.2

Canada 2271 2104 2318 2571 1.7 10.9

Australia 1680 1837 1996 2001 1.3 0.3

Eeuropean

Patent

Office 43275 44066 47360 50090 33.5 5.8

All Others 5287 5743 6189 6757 4.5 9.2

(Source: WIPO Statistics 2007: PCT Statistical Indicators Report December 2007)

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Fig. 8.3 PCT International Applications filed among top countries (2003 to 2006)

Fig. 8.4 PCT International Applications filed among top countries (2006 Percentage and

Percentage growth)

The data indicates that trends in patent filings are increasing and all the leading

countries have indicated upward trends in patent filings. Though the growth in filing is

noticed, it is uneven as compared to previous year in 2004 where the growth was 6.4%,

242

in 2005 it was 11.5%, in 2006, 9.4% and in 2007 it was estimated to 4.4%. (WIPO,

2007).

Developing countries are filing patents on a large scale over the years. Therefore, an

effort was made to study the patent filings in developing countries like Korea, China,

India, Singapore, etc. The following table reviews the growth in patent filing reported

by PCT/WIPO in developing countries from 2003 to 2006.

Table 8.4 PCT International Applications among Developing Countries (2003 to 2006)

Country /

Year 2003 2004 2005 2006

2006

Percentage

2006

Percentage

growth

Korea 2949 3558 4688 5943 4 26.8

China 1295 1706 2503 3950 2.6 57.8

India 764 724 679 831 0.6 22.4

Singapore 282 431 443 476 0.3 7.4

South Africa 357 411 358 424 0.3 18.4

Brazil 219 278 271 333 0.2 22.9

Mexico 131 118 141 168 0.1 19.1

(Source: WIPO Statistics 2007: PCT Statistical Indicators Report December 2007)

Fig. 8.5 PCT International Applications among Developing Countries (2003 to 2006)

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Fig. 8.6 PCT International Applications among Developing Countries (2006 Percentage

and Percentage Growth)

From the data it is apparent that the trend in developing countries for filing of

international patents is also rising and although Korea and China are covered in the

developing countries, their share is much higher than the developed countries. India

holds third position among the developing countries and in future can progress and can

be listed among the top patent filing countries of the world because the growth from

2005 in Indian patent filing is excellent.

The PCT data extracted from the WIPO database is tabulated below. The data indicates

top 15 countries as per the reported patent filings and data is covered from 2004 to 2007

and the estimated data for the year 2008 is considered. This is generalized patent filing

data among top 15 countries.

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Table 8.5 PCT International Applications top 15 countries.

Country 2004 2005 2006 2007

2008

estimate

2008

percent

growth

USA 43351 46810 50941 54086 53521 0.327

Japan 20264 24869 27033 27744 28744 0.175

Germany 15214 15984 16732 17818 18428 0.113

Republic of

Korea 3558 4688 5944 7061 7908 0.048

France 5184 5748 6242 6568 6867 0.042

China 1706 2503 3951 5441 6089 0.037

United Kingdom 5027 5084 5090 5539 5517 0.034

Netherlands 4284 4500 4529 4355 4349 0.027

Sweden 2851 2883 3316 3657 4114 0.025

Switzerland 2898 3291 3577 3778 3832 0.023

Canada 2104 2318 2566 2847 2966 0.018

Italy 2189 2349 2716 2946 2939 0.018

Finland 1672 1893 1845 1995 2119 0.013

Australia 1837 1996 2001 2053 2028 0.012

Israel 1227 1454 1589 1746 1882 0.011

All Others 9245 10326 11084 12252 12497 0.076

Total 122610 136688 149156 159886 163800

(Source: WIPO patent database.)

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Fig. 8.7 PCT International Applications top 15 countries (2004 to 2008)

Fig. 8.8 PCT International Applications top 15 countries (2008 Percentage growth)

246

The analysis indicates growth of patents in various countries. USA, Japan, Germany,

Korea, France, China are leading nations in filing patents.

The information posted on the site http://international trade.suit101.com provided the

analysis of the 15 prominent countries during 2004 and 2005 based on national and

international filings at PCT.

Table 8.6 Top 15 countries patent filing at PCT in 2004

Serial no. Country Application filling

1 Japan 2884

2 South Korea 2189

3 USA 645

4 Germany 587

5 Australia 479

6 New Zealand 402

7 Finland 385

8 Denmark 347

9 Norway 335

10 UK 320

11 Sweden 308

12 Austria 275

13 France 227

14 Israel 227

15 Switzerland 217

(Source: http://international trade.suit101)

247

Table 8.7 Top 15 countries‟ contribution in patent filing in 2005

Serial No. Country No of patent filling

1 USA 46,115

2 Japan 28,829

3 Germany 16,002

4 France 5,736

5 UK 5,103

6 South Korea 4,686

7 Netherlands 4,530

8 Switzerland 3,264

9 Sweden 2,858

10 China 2,501

11 Italy 2,232

12 Canada 2,322

13 Australia 1,999

14 Finland 1,890

15 Israel 1,456

(Source: http://international trade.suit101)

This analysis indicates that the top patent filing countries at global level are US, JP, KR,

CN, DE, FR,GB, NL, CA etc.

Thomson Reuters (2007) reviewed patent activity in 2007 and analyzed the trends from

world‟s G 8 Countries (Canada, France, Germany, Italy, Japan, Russia, UK, USA,

China and South Korea). The analysis indicates that the patent activity has increased

over the last 5 years. It has increased by 21%, between 2003 and 2006. Japan, China

and US are the top patent filing countries among the G 8 countries. The academic

innovations have highest ratio in China, Japan and US (25% of total patenting activity)

B) USPTO:

Using patent analysis and trends developed by USPTO „patent filing granted to the

different patent offices by USPTO‟, the data has been extracted and analyzed for the

period from 1963 to 1994 and from 1995 to 2008. The data is reported in the following

table.

248

Table 8.8 USPTO Patents: Year wise patent distributed. (1963 to 2008)

249

Fig. 8.9 USPTO Patents: Year wise patent distributed. (1963 to 2008)

This data analysis clearly point out the growth in patent literature and is treated as a

valuable source of information. From the data it is also reported that major patent filing

countries as per the USPTO data which rank at leading positions are : US, Japan,

Germany, UK, France, Canada, Korea, Italy, Netherlands, Australia, USSR, China,

India etc and there is an upward trend in patent filing in these countries. The data has

also been useful in selecting the top patent filing countries for this research study.

8.7.3 Technology Monitoring: Technology Trend Indicator

This is an essential analysis for finding trends in particular subject area or technology.

The leading subject area and new emerging areas could be predicted due to this

250

analysis. The data collected from various resources are presented below. As a specific

subject in study, the field of chemical sciences has been selected for technology

monitoring purposes. The patent statistical data resources like Thomson Reuters,

USPTO, CAS, WIPO, etc. and chemical patent filings from the patent databases like

CA, Delphion, INPADOC, USPTO etc are studied properly and the collected data is

listed in tabular form. This data is used for the analysis of patenting trends and

predicting the activity in chemical sciences.

A) Chemical Abstracts Service (CAS) / Chemical Abstracts (CA):

The best source of finding global patent filing information in chemical science is

„Chemical Abstracts‟. The patent data compilation is published in CAS data summary

published by ACS/CAS every year. The data is based on abstracts included in the CA

database and grouped into periodical articles, patent literature and books. The

development per year is recorded to find the trends in chemical sciences. The data is

grouped into five year compilation for proper analysis. The trends are set up by

analyzing the data in chemical sciences.

The statistical compilation of the abstracts covered in Chemical Abstracts for major

resources like periodical articles, patents and books along with their percentage

contributions is detailed in the following table. This data is compiled from technical

summary published by CAS, USA in 2007. This data covers from its inception of

service i.e. for the period from 1907 to 2007. The detailed comparative chart is given in

Appendix 2.

251

Table 8.9 Patent filings in Chemical Sciences 1907-2007

Period Total abstracts Papers/Articles % Patents % Books %

1907-1911(v1-5) 81,702 59,761 73.15 20,085 24.58 1,856 2.27

1912-1916(6-10) 1,10,028 73,952 67.21 33,209 30.18 2,867 2.61

1917-1921(11-15) 84,843 59,991 70.71 21,192 24.98 3,660 4.31

1922-1926(16-20) 1,33,391 1,02,154 76.59 26,549 19.9 4,688 3.51

1927-1931(21-25) 2,28,793 1,47,331 64.38 75,825 33.14 5,687 2.48

1932-1936(26-30) 3,15,169 1,96,433 62.33 1,10,630 35.1 8,106 2.57

1937-1941(31-35) 3,06,545 2,12,075 69.08 87,225 28.4 7,745 2.52

1942-1946(36-40) 2,06,265 1,44,209 69.92 55,468 26.89 6,588 3.19

1947-1951(41-45) 2,58,856 2,05,093 79.23 46,797 18.08 6,966 2.69

1952-1956(46-50) 4,04,571 3,37,971 83.52 57,450 14.22 9,150 2.26

1957-1961(51-55) 6,29,799 5,01,442 79.62 1,19,326 18.95 8,931 1.43

1962-1966(56-65) 9,48,134 7,90,158 83.34 1,43,385 15.12 14,591 1.54

1967-1971(66-75) 13,13,005 11.04,092 84.09 1,94,390 14.8 14,523 1.11

1972-1976(76-85) 17,72,194 14,57,546 82.25 2,93,945 16.59 20,703 1.16

1977-1981(86-95) 22,01,692 18,63,340 84.63 3,04,700 13.84 33,652 1.53

1982-1986(96-105) 23,02,471 18,97,570 82.41 3,78,469 16.44 26,432 1.15

1987-1991(106-115) 24,82,482 20,21,894 81.45 24,40,721 17.75 19,867 0.8

1992-1996(116-125) 31,30,955 25,63,553 81.88 5,48,038 17.5 19,364 0.62

1997-2001(126-135) 35,99,227 29,15,780 81.01 6,60,179 18.34 23,268 0.65

2002-2006(136-145) 44,80,761 34,64,481 77.12 9,98,717 22.27 27,563 0.61

2007(146-147) 10,86,941 8,16,778 75.14 2,65,637 24.44 4,526 0.42

(Source: CAS Technical Summary 2007)

The analysis of the data presented in the table indicates that, there is a growing trend of

patent filings in chemical sciences. The periodical articles are contributing heavily and

it is followed by patent literature. However the other publications usage especially

252

books are decreasing year by year as compared to periodical articles and patent

literature. It is clear that trends in the patent filing are growing and also gaining

importance since 1977 and since 2007 the growth is increasing by 25% approximately.

The growth of patents reported in the year 2006 as compared to 1997 was around

51.27%.

B) International Patent Documentation Center ( INPADOC):

INPADOC (EPIDOS) is a patent database developed by INPADOC and now managed

by the European Patent Office and known as EPIDOS. This patent database is very

useful and covers the global patent information in all the subject disciplines. However

using the IPC code viz. C= Chemical Sciences and C07 = Organic Chemistry,

subjective patent data can be isolated from this database. Using these criteria the

database has been searched and the data is presented in the following table for the

period from 2005 to 2008.

253

Table 8.10 Chemical Patents filing (1964 to 2007)

Country / Year 1964-1976 1977-1986 1987-1996 1997-2007

All

( Complete

Knowledge)

4268485 8420041 11504565 19486806

All ( Chemistry) 1056996 1879649 2215849 3545836

All

Organic Chemistry(

US,EP,

WO,JP,DE,INPADOC)

422077 660885 752574 1244075

INPADOC 302371 477633 423689 683604

US 60357 56928 71874 114027

European 0 10655 29639 44487

Japanese 41733 113158 148242 163735

WIPO 0 2511 33194 159710

German 17616 31981 45986 78512

ARIPO (AP) 1 20 621 4746

EAPO (EA) 0 18 6746

OAPI 492 665 632 2621

AT 12409 18094 18170 31121

AU 8017 23803 51681 98818

BE 31234 12236 1033 577

CA 6069 21327 38235 71754

CH 22249 13220 1503 247

CN 0 550 14688 98653

CS/CZ 3432 11589 10414 11739

DK 9749 25418 22945 16222

ES 11948 54042 21956 29033

FI 3618 15747 24080 5067

FR 50282 41468 13353 10458

GB 35736 40368 11145 9680

HU 3007 8067 22333 27873

IN 631 1400 1696 2030

IT 3366 13614 6867 3139

KR 0 5618 11827 28078

NL 34342 16891 4512 2955

NZ 0 4339 9212 11671

PL 2571 12606 8289 14952

RO 1158 4730 1387 1043

RU / SU 8427 15206 10041 16554

ZA 6859 12984 14318 11888

(Source: INPADOC Patent database search (IPC)

254

Fig. 8.10 Chemical Patents filing (1964 to 2007)

255

The analysis of data from the above table points out the constant level of growth in

chemical patents during the period from 1964 to 2007. The country wise development

in relation with patent filings 1997 to 2007, were ranked and the ranking of countries

are Japan (JP), 1,63,735; World patent applications (WIPO/PCT) 1,59,710 ; USA (US)

1,14,027; Australia (AU) 98,818; China (CN), 98,653;Germany (DE) 78,512; Canada

(CA) 71,754; European countries (EP) 44,487; Spain (ES) 29,033; Korea (KR) 28,078 ;

Hungary (HU) 27,873; Russia (RU) 16,554; France (FR) 10458; New Zealand (NZ)

11,671; United Kingdom (GB) 9680 etc. These are the prominent countries contributing

to chemical sciences. Since the ranking of countries is based on patents filings, the

ranking of countries varies every year. However these courtiers are maintaining

constant growth. Hence, based on this data the top ten patent filing countries have been

isolated and selected for research study. The data has been searched form the

INPADOC (using Delphion) database, this is a general commercial database and hence

all the chemical patents might not be covered in this patent database. However the trend

reported in this table varies as per the coverage of the database.

C) USPTO:

Statistical data which is related to patent filings in chemical sciences has been extracted

from USPTO (1977- 2006). The country wise filings of the chemical patents among

various countries are detailed in the following table.

256

Table 8.11 Patents granted by USPTO for prominent countries from 1977 to 2006

(Source: USPTO patent statistics 2007. www.uspto.gov/web/offices/ac/ido/oeip/taf/us

stat.pdf)

From the data it is understood that in area of chemical sciences, USA (US) 34061;

Japan (JP) 6302; Germany (DE) 2462; Korea (KR) 1185, France (FR) 950; Great

Britain UK (GB) 889; Canada (CA) 715; India (IN) 231 are the leading countries as per

the USPTO database. Although the countries‟ contribution is different, ranking of

countries is almost same in all the databases considered in this study.

257

D) WIPO

Total numbers of patent applications in chemical sciences (covering all broad subject

areas) reported by WIPO (2008 & 2009) for the period from 2001 to 2006 are analyzed

below using the WIPO Statistical review 2009.

Table 8.12 Patent filings by field of technology, 2001-2006

Chemical Sciences 2001 2002 2003 2004 2005 2006 %

Organic fine

chemistry 64,170 64,026 59,622 59,835 63,317 63,981

-

0.80%

Biotechnology 45,573 47,576 44,632 41,993 40,861 43,047

-

3.80%

Pharmaceuticals 69,355 69,160 66,050 68,650 74,254 83,521 3.10%

Macromolecular

chemistry,

polymers 41,842 38,615 36,656 36,108 38,137 37,086

-

1.30%

Food chemistry 21,296 23,535 24,850 23,110 24,653 25,610 1.70%

Basic materials

chemistry 51,058 48,418 46,106 45,508 48,040 49,441

-

0.40%

Materials,

metallurgy 39,882 37,451 36,813 35,579 37,705 38,988 0.20%

Surface

technology,

coating 41,086 39,478 39,894 41,208 42,437 41,491 1.70%

Micro-structural

and nano-

technology 3,425 2,770 2,994 2,967 3,357 3,332 5.20%

Chemical

engineering 51,319 48,148 46,306 44,906 44,845 44,580

-

2.30%

Environmental

technology 29,889 28,718 28,636 28,365 28,650 27,903

-

0.50%

(Source: WIPO (2009)

http://www.wipo.int/export/sites/www/ipstats/en/statistics/patents/pdf/wipo_pub_941.p

df))

258

Fig. 8.11 Patent filings by field of technology, 2001-2006

From the comparison of data it is observed that among the chemical sciences, trends are

clearly set and growth in discipline. The emerging trends are reported in the field of

nano technology, environmental technology, pharmaceuticals and drugs in which the

growth is prominent. However every year the trends are shifting and the contribution of

the patents is also varying.

The compilation of data from PCT applications from 2003 to 2006 is narrated in the

following table. The table represents the development of PCT International

Applications filed as per the IPC code which represents technology trends in S & T.

259

Table 8.13 IPC Code Application filing at PCT during 2003 to 2006 (Technical Field

Filing)

IPC Code

Application

filings 2003 2004 2005 2006

2006

Percentage

2007

filings

(Predicted)

2007

Percent

age

A61K 9923 9420 11124 13750 9.9 13901 9.3

G06F 5403 5343 7372 8525 6.1 9499 6.3

H04L 5332 4857 5268 5974 4.3 7068 4.7

H01L 3851 3947 4624 5928 4.3 6400 4.3

G01N 4980 4553 5127 5302 3.8 5334 3.6

C07D 4012 4284 4615 5063 3.6 4917 3.3

A61B 3168 3414 3766 4454 3.2 4596 3.1

C12N 3636 3252 3420 3670 2.6 3561 2.4

H04N 2867 2598 3076 3507 2.5 3938 2.6

C07K 3972 3212 2742 2487 1.8 2460 1.6

(Source: WIPO Statistics 2007: PCT Statistical Indicators Report December 2007)

IPC Codes used in table 8.13:

A61K Preparations for the medical , Dental or Toilet Purpose

G06F Electric Digital Data Processing

H04L Transmission of Digital Information

H01L Semiconductor Devices, Electric, Solid state devices

G01N Analysis Materials by determining chemical or physical properties

C07D Heterocyclic compounds

A61B Diagnosis, Surgery, Identification

C12N Microorganizms or Enzymes

H04N Pictorial Communication e.g. Television

C07K Peptides

260

Fig. 8.12 IPC Code Application filing at PCT during 2003 to 2006 (Technical

Field Filing)

The analysis of WIPO data as per the PCT filings indicates top ten technical fields as

per the application filings during the period from 2003 to 2006. The above table

illustrates the top technical subject fields. In this organic chemistry, peptides,

microorganisms and enzymes are in leading positions along with other technological

areas. This indicates that chemical sciences are prominent in R & D.

The analysis of language wise distribution of applications filed at PCT is detailed in the

following table.

261

Table 8.14 Language wise coverage of PCT applications 2003 to 2006

Language

wise

Application

filings 2003 2004 2005 2006

2006

Percentage

2007

filings

(Predicted)

2007

Percentage

English 73471 77842 84650 91597 61.3 91883 59.6

Japanese 15866 18263 22150 24292 16.2 25303 16.4

German 14487 14603 15867 16730 11.2 17724 11.5

French 4529 4504 4867 6168 3.5 4759 3.1

Korean 1750 2093 2668 3540 2.4 4592 3

Chinese 1036 1428 2232 3476 2.3 4818 3.1

Spanish 850 844 1070 1165 0.8 1183 0.8

Italian 581 632 707 1021 0.7 1350 0.9

Russian 601 582 689 750 0.5 642 0.4

Dutch 513 501 485 501 0.3 483 0.3

Swedish 706 640 547 439 0.3 483 0.3

Finnish 404 354 429 415 0.3 505 0.3

Norwegian 187 143 175 172 0.1 181 0.1

Danish 134 126 111 138 0.1 121 0.1

(Source: WIPO Statistics 2007: PCT Statistical Indicators Report December 2007)

Fig. 8.13 Language wise coverage of PCT applications 2003 to 2006

262

From the above statistics, though the English Language is contributing 60%, other

languages also need to be considered. The trend indicates that the Japanese, German,

French, Korean and Chinese are more used. The remaining languages Hungarian,

Czech, Portuguese are also contributing to PCT.

8.7.4 Ranking of Patent Filing Countries and Identifying Major Players:

There are many information resources available, which provide the listing of Top patent

filing countries based on statistical information. Short (2005), in the business issue of

Chemical Engineering News, recorded the top 50 Global Chemical Industries in the

year 2005. This data is based on chemical production, business and marketing

strategies. The listing of the 50 global chemical industries ranked is given below.

1) Dow Chemical US 2) BASF Germany 3 ) Du Pont US 4 ) Royal Dutch 5) Shell U.K.

6) Exxon Mobile US 7) Total France 8 ) Bayer Germany 9) China Petroleum &

Chemical , China 10) Mitsubishi Chemical Japan 11) SABIC Saudi Arabia 12)

Degussa Germany 13) Formosa Plastics Group Taiwan 14) Akzo Nobel Netherlands

15) Huntsman Corp. U.S. 16) Mitsui Chemicals Japan 17) Air Liquide France18)

ICI U.K. 19) Sumitomo Chemical Japan 20) Toray Industries Japan 21) DSM

Netherlands 22) Equistar Chemicals 23) Dainippon Ink & Chemicals Japan 24)

Chevron Phillips US 25) Shin–Etsu Japan 26) General Electric US 27) Lanxessh

Germany 28) PPG Industries U.S. 29) Asahi Kasei, Japan 30) BOC England 31) Air

Products U.S 32) Ineos Groupi U.K 33) Clariant Switzerland 34) ENI Italy 35)

Praxair U.S.36) Eastman Chemical U.S. 37) Reliance Industries India 38) Rhodia ,

France 39) Sasol, South Africa 40) Solvay Belgium 41) Rohm and Haas U.S. 42)Yara

Norway 43) LG Chemk South Korea 44) Syngenta Switzerland 45) Lyondell

Chemical U.S. 46) Borealis Denmark 47) Ciba Specialty Chemical Switzerland 48)

Teijin Japan 49) Nova Chemicals Canada 50) Celanese US

It is found that US, Germany, UK, France, China, Japan, Netherlands are the leading

countries and major players are also reported above. These may change every year as it

263

depends upon the patent filing data which is fluctuating year by year. Hence trend

during a particular year is considered for finding the top countries and assignees.

The major patent filing countries and assignees as per the PCT WIPO data are listed

below. This is extracted from the WIPO statistical analysis during the year 2008.

Table 8.15 PCT Applicants in 2008

2008

Ranking Applicant's Name

Country

of Origin

PCT

applications

published in

2008

Increased

over 2007

1 HUAWEI TECHNOLOGIES CO., LTD. CN 1737 372

2 PANASONIC CORPORATION JP 1729 -371

3 KONINKLIJKE PHILIPS ELECTRONICS N.V. NL 1551 -490

4 TOYOTA JIDOSHA KABUSHIKI KAISHA JP 1364 366

5 ROBERT BOSCH GMBH DE 1273 127

6 SIEMENS AKTIENGESELLSCHAFT DE 1089 -555

7 NOKIA CORPORATION FI 1005 180

8 LG ELECTRONICS INC. KR 992 273

9 TELEFONAKTIEBOLAGET LM ERICSSON (PUBL) SE 984 387

10 FUJITSU LIMITED JP 983 275

11 QUALCOMM INCORPORATED US 907 -67

12 NEC CORPORATION JP 825 199

13 SHARP KABUSHIKI KAISHA JP 814 112

14 MICROSOFT CORPORATION US 805 -40

15 MOTOROLA, INC. US 778 -46

16 BASF SE DE 721 -101

17 INTERNATIONAL BUSINESS MACHINES CORPORATION US 664 58

18 3M INNOVATIVE PROPERTIES COMPANY US 663 -106

19 SAMSUNG ELECTRONICS CO., LTD. KR 639 41

264

2008

Ranking Applicant's Name

Country

of Origin

PCT

applications

published in

2008

Increased

over 2007

20 E.I. DUPONT DE NEMOURS AND COMPANY US 517 13

21 MITSUBISHI ELECTRIC CORPORATION JP 503 -12

22 PIONEER CORPORATION JP 497 -114

23 HEWLETT-PACKARD DEVELOPMENT COMPANY, L.P. US 493 88

24 CONTINENTAL AKTIENGESELLSCHAFT DE 485 435

25 THOMSON LICENSING FR 461 45

26

ELECTRONICS AND TELECOMMUNICATIONS

RESEARCH INSTITUTE KR 443 155

27 THE PROCTER & GAMBLE COMPANY US 412 -163

28 NXP B.V. NL 407 166

29 SONY ERICSSON MOBILE COMMUNICATIONS AB SE 402 42

30 BSH BOSCH UND SIEMENS HAUSGERÄTE GMBH DE 393 -5

31 INTEL CORPORATION US 377 -246

32 INA-SCHAEFFLER KG DE 374 143

33 DAIKIN INDUSTRIES, LTD. JP 367 88

34 THE REGENTS OF THE UNIVERSITY OF CALIFORNIA US 343 -21

35 HONEYWELL INTERNATIONAL INC. US 339 -181

36 RENAULT S.A.S. FR 335 101

37 KYOCERA CORPORATION JP 332 101

38 ZTE CORPORATION CN 329 94

39 GENERAL ELECTRIC COMPANY US 326 -112

40 TEXAS INSTRUMENTS INCORPORATED US 308 96

41 SONY CORPORATION JP 307 72

42 EASTMAN KODAK COMPANY US 299 -31

43 BAKER HUGHES INCORPORATED US 295 128

265

2008

Ranking Applicant's Name

Country

of Origin

PCT

applications

published in

2008

Increased

over 2007

43 NOVARTIS AG CH 295 -47

45 APPLE COMPUTER, INC. US 289 205

46

FRAUNHOFER-GESELLSCHAFT ZUR

FÖRDERUNG DER ANGEWANDTEN FORSCHUNG E.V. DE 287 58

47 DOW GLOBAL TECHNOLOGIES INC. US 285 130

48 NIKON CORPORATION JP 284 40

49 THE BOEING COMPANY US 281 100

50 CANON KABUSHIKI KAISHA JP 280 15

(Source: PCT/WIPO Database)

The countries contributing patents through PCT/ WIPO are almost same but the players

taking part are changed. This indicates the developments in the patent filing countries

and patent assignees. The data from PCT has less coverage of chemical subject. But in

other areas the same countries are taking part in the patent filings like CN, JP, US, NL,

DE, KR and FR.

IFI prepared a list of top 35 major patent assignees based on patent application filings

during the year 2008.

266

Table 8.16 Top 35 major patent assignees based on the patent application filings during

the year 2008. (Source: www.ificlaims.com)

Rank Company Name

2008

Patents

1

INTERNATIONAL BUSINESS

MACHINES CORP 4186

2 SAMSUNG ELECTRONICS CO LTD KR 3515

3 CANON K K JP 2114

4 MICROSOFT CORP 2030

5 INTEL CORP 1776

6

MATSUSHITA ELECTRIC INDUSTRIAL CO

LTD JP 1745

7 TOSHIBA CORP JP 1609

8 FUJITSU LTD JP 1494

9 SONY CORP JP 1485

10

HEWLETT-PACKARD DEVELOPMENT CO

L P 1424

11 HITACHI LTD JP 1313

12 MICRON TECHNOLOGY INC 1250

13 SEIKO EPSON CORP JP 1229

14 GENERAL ELECTRIC CO 912

15 FUJIFILM CORP JP 869

16 RICOH CO LTD JP 857

17 INFINEON TECHNOLOGIES AG DE 814

18 LG ELECTRONICS INC KR 805

19 TEXAS INSTRUMENTS INC 757

20 HONDA MOTOR CO LTD JP 747

21 SIEMENS AG DE 724

22

HON HAI PRECISION INDUSTRY CO LTD

TW 719

23 DENSO CORP JP 708

24 CISCO TECHNOLOGY INC 704

25 BROADCOM CORP 643

26 HONEYWELL INTERNATIONAL INC 619

27 NOKIA AB OY FI 608

SILVERBROOK RESEARCH PTY LTD AU 608

29 SHARP K K JP 603

30 NEC CORP JP 547

31 BROADCOM CORPXEROX CORP 529

32 LG PHILIPS LCD CO LTD KR 2 524

33 RENESAS TECHNOLOGY CORP JP 513

34 SUN MICROSYSTEMS INC 509

35

KONINKLIJKE PHILIPS ELECTRONICS N V

NL 497

267

ICIS (www.icis.com) listed top global chemical companies, viz. BASF, Sow,

Exxonmobil, Shell, Lyondellbassel, Sabic, Sinopec, Mitsubishi Chemicals and Dupont.

The Wikipedia ( ww.en.wilipediaorg/wiki/) also listed major patent filing companies

which include Akzonobel, Sumitomo Chemicals, Mitsubishi Chemicals, Bayer, Asahi

Kasei, etc.

From the above data the countries have been compiled based on patent filing data and

ten countries have been selected for analysis purpose in the present research study.

These include „Japan, USA, Germany, UK, France, Korea, Canada, India, Netherlands,

China, Australia, and Russia‟.

Among these prominent selected patent filing countries in chemical sciences, the major

companies i.e. „patent assignees‟ were compiled based on the patent filing counts and

are listed below.

A) Major Chemical Industries (Patent Assignees).

USA: Dow chemical , Exxon Mobil, DuPont, Lyondell Chemical, Rohm and Hass,

Eastman Chemicals, GE PPG Industries, Lubrizol, Portia LLC,

Germany: BASF, Bayer, Degussa, Henkel KGAA, Wacker Chemie, Altana AG,

Gruenthal GMBH.

UK: Shell, BP Chemicals, Imperial Chemical Industries (ICI), BOC, Johnson Matthey,

PLC

France: Total, Rhodia Chemie, L‟oreal SA, Arkema France, Ciphalon , Nicox SA

China: China Petroleum and Chemical, Nanjing Zongshi Chemicals Co.,

Tianjin Dek Chemical Co Ltd, Avexa Ltd.

Japan: Mitsubishi Chemical Corp, Mitsui Chemicals, Sumitomo Chemical Co. Ltd,

Dainippon Ink and Chemicals, Shin Etsu Chemical, Asahi Kasei Chemicals, Teijin,

Toray industries, Nissan Chemical Industries ltd., Nippon Chemical industry, UBE

Industries, Showa Denko, Kao Corporation, Japan Synthetic rubber, Idemitsu Kosan,

268

Daiichi Sankyo, Toyama Chemical Company, Ihara Chemical company, Fujitsu

Limited

Netherland: Akzo Nobel, DSM, Furanix Technologies, Crucell Holland B V, Plus

Chemicals B V, Synthon BVAlbemarle Netherlands, Unilever, Keygene N V

India: Relience Industries, BIOCON Ltd. Hindustan Unilever, Advinus, Reddy‟s

laboratories, Vinati Organics, , Hylan India Pvt. ltd, Atul Ltd., BASF India, Gharda

Chemicals, Jubilant Organosys, Tata Chemicals, United Phosphorus, Pidilite, Aditya

Birla Chemicals, Alkyl Amines , Arvinda Chemicals, Ciba India Ltd, Deepak Nitrite,

Godrej, Hikal Ltd, HOCL, L G Polymers, Jay Chemicals, Clariant Chemicals

Switzerland: Clariant(BASF), Syngenta, Ciba Specialities, Lonza Group ltd, ,

Canada: Nova Chemical, Merck Frosst Canada, Canada Chemical Corporation,

Methylgene, Angiochem Inc. Neuraxon Inc.

Korea South: LG Chem, National Plastic, Ace Chemical, Hanwha Chemical, KCC

Chemical, Namhae Chemical Corporation, Seohan Chemical, Soogang Chemical, Tas

Chemicals, Amorepacific Corp, Cheil Industries Inc., Hyosung Corporation, Anigen Co

ltd, SK Chemicals, Panagene Inc

Austarlia: Alchemia Ltd, Avexa ltd, Hexima Ltd, CSL Ltd, Vegenics Ltd.

B) Pharmaceutical Companies

USA: Pfizer (Wyeth), Johnson and Johnson, Abbott, Merck & co, Bristol Meyers, Eli

Lilly and Co, Amgen, Genentech, Baxter, P and G, Allergan, Biogen Idec, Mylan, 3M

Pharmaceuticals, AstraZeneca, Cephalon, Amylin Pharmaceuticals, Barr

Pharmaceuticals, Bausch and Lomb, Celgene Corp., Vertex Pharmaceuticals, Exxon

Mobil, King Pharmaceuticals, Watson Pharma, Forest Laboratories,

Germany: Boehringer, Merck KGaA, Bayer, Schwarz Pharma AG,

UK: Glaxo Smith Kline, AstraZeneca, Genix Pharma,

269

France: Sanofi Aventis, Beaufour Ispen International, Aventis Pharma SA

China: SINOPHARM,

Japan: Takeda Pharmaceuticals, Daiichi Sankyo, Chugai Pharma, Taiho Pharma,

Astellas Pharma, Eisai, Mitsubishi Pharma, Dainippon Sumitomo Pharma, Shionogi,

Kissei Pharmaceutical Co ltd,

Netherlands: Akzo nobel,

Switzerland: Hoffman La Roche, Novartis, Actelion Pharmaceuticals Ltd,

India: Ajanta Pharma, Cenataur Pharmaceuticals, Cipla, Reddy‟s lab, Lupin, Macleods

Pharmaceuticals, Meyer Organics, Orchid Pharma, Ranbaxy, Torrent Pharma, Wings

Pharma, Zydus Cadila Healthcare, Watson Pharma ltd, Aurobindo Pharma Ltd, Dabur

Pharma Ltd, Hetero drugs, Cipla limited, Ranbaxy, Orchid Research Lab, BICON Ltd,

Cadila Health care, Lupin Ltd, Glenmark, Alembic, US Vitamins, Unichem

Laboratories, Wockhardt Research Center, Ajanta Chemicals

C) Indian Chemical Companies:

Ranbaxy, Dr Reddy‟s lab, Cipla, Sun Pharma industries, Lupin Labs, Aurobindo

Pharma, Cadila Healthcare, IPCA Laboratories, Aventis Pharma, Glaxo Smith Kline

Pharma.

D) Universities:

USA: University of California, University of Texas, Massachusetts Institute of

technology, Stanford University, University of Michigan, Yale university, Columbia

University, University of Pennsylvania, North Carolina University State, Duke

University, John Hopkins University, Harvard University, Ohio State University,

University of Colorado

Germany: Universitat Wurzburg, Phillips Universitat, Universitat Heidelberg,

Universitat Berlin, Universitat Zukoln

270

UK: Kings College London, Queen‟s University of Belfast, Univ of Shefield, The

notingham Univ, Univ Edinberg, Univ of Manchester, Univ of York, Univ Durham,

Univ of Kent

France: Center National de la Recherche Scientifique, Univ de la Mediterranee, Univ

Rennes, Uninivsite Joseph Paurier, Univ de la Rouen, Univ Louis Pasteur, Unniv de

Nantes, Institut Curie, Univ Paris

China: Shanghai Jiatong Univ, Institute of pharmacology and toxicology, East China

Univ of Sci and Tech, Peking Univ

Japan: University of Tokyo, Japan Science and Technology Agency, Kyoto University,

Keio University, Nagoya University, Osaka University, Chiba University, Hokkaido

university, Nihon University, Kogoshima University Universitst Munster,

Netherlands: Univ Van Amsterdam, Fudan Univ, Leiden Univ, Wageningen Univ

India: University of Delhi , IIT‟s, Nirma University, University of Punjab, Mumbai

University, University of Pune (few more covered in table 8.18). Along with

universities, IISc Bangalore, IITs, and CSIR (leading organizations in educational

sector) are also considered.

Korea: Korea Research Inst of Chemical Technology, Seoul National University

Industry foundation, Ewha Univ, Sogang Univ, Korea Univ Industry

Canada: National Research Council Canada, University of Alberta, Mcgill Univ,

Queen‟s University at Kingston, Univ of Manitoba, Univ of Western Ontario

Australia: Univ of Sydney, Univ of Queen‟s, Monash Univ, Australian National Univ,

Univ Melbourne, Univ of Wollongong.

8.7.5 Comparison of major assignees (companies).

USPTO has analyzed the global top assignees in the area of chemical sciences giving

the details of applications filed and patents granted which reflect the development of

271

companies from major countries selected for research study. The detailed table has been

given in Appendix 4.

The contribution of various companies has been analyzed using the CA database and

the statistical data has been compiled to track the major innovative assignees of each

country. The contribution in terms of patented and non-patented literature is also

assessed in the study. Chemical Abstracts is used as a source through which data is

evaluated for the period from 1997 to 2007. The data is presented in the table attached

as Appendix 5. Since it is difficult to cover all the industries, randomly selected

companies are evaluated to analyze the progress during the years 2008 and 2009 and

have been reported in the following table.

Table 8.17 Progress of Selected Companies in 2008 and 2009

Assignee Country 2008 2009

Ciba CH 141 93

Hoffman la Roche CH 349 358

Novartis CH 320 238

Synjenta CH 272 181

China Petroleum CN 1419 197

BASF DE 1071 1085

Bayer DE 819 1015

Henkel KGaA DE 472 576

Waker DE 183 188

Boehringer DE 200 211

L‟ oreal FR 456 555

Aurobindo IN 32 22

Cipla IN 30 31

CSIR IN 456 368

Dr Reddy's IN 59 65

Ranbaxi IN 86 95

272

Assignee Country 2008 2009

Torrent IN 20 18

Asahi kasei JP 711 677

Dai Nippon (DIC) JP 926 1226

Idemitsu Kosan JP 426 427

Kao JP 792 1103

Mitsubishi Chemicals JP 533 476

Nissan JP 1063 1008

Showa Denko JP 365 407

Sumitomo Chemicals JP 944 1165

Teijin JP 577 580

Toray JP 1314 1326

Cheil Industries KR 284 390

Hyosung KR 183 131

L G Chem KR 1001 774

Akzo Nobel NL 110 93

DSM NL 321 293

Unilever NL 249 254

Shell UK 331 345

Astra Zeneca UK 256 210

Glaxo UK 272 266

Dow Chemicals US 5 3

Dupont US 900 1021

Eastman Chemicals US 87 101

Exxon Mobil US 317 354

GE US 1631 1632

Rohm and Hass US 128 85

Abbot US 401 465

Allergan US 101 147

273

Assignee Country 2008 2009

Bristol Myers US 169 151

Merck US 370 414

Pfizer US 143 81

P & G US 449 420

Wyeth US 204 141

(Source : CA Database)

Fig. 8.14 Progress of Selected Companies in 2008 and 2009.

The analysis of major assignees from top patent filing countries which contribute

maximum in patent filings is given above. These assignees are analyzed further for

contribution in particular area of chemical sciences. It is not possible to analyze the area

of contribution for each assignee independently and hence, few assignees are randomly

selected based on the progress of patent filings during the period from 1997 to 2007 and

2008 to 2009.

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It is noticed that among selected countries and companies, Hoffman la Roche, Novartis,

China petroleum, BASF, Bayer, Henkel, L‟Oreal, Cipla, Dr Reddy‟s, Torrent, Dai

Nippon, Kao, Sumitomo Chemicals, Cheil Industries, Akzo Noble, Shell, DuPont, GE,

Abbott, P and G are at leading positions. Their contribution in the field of chemical

sciences is noticeable.

BASF (DE) has filed patents in the area of Coating materials (158), Polymers and

plastics, Polyurethanes (114), Polyesters (80), and Fungicides (69),filed for preparation,

uses etc. Similarly Bayer (DE), DuPont (US), Asahi Kasei (JP), Hyosung (KR), have

similar areas of development and they are the competitors in the same areas.

China Petroleum (CN), Shell (GB) contribute in the area Petroleum refining, Fuels,

Lubricant oils, Catalyst etc. whereas Henkel (DE), Kao (JP), have the common areas

like surfactants, dyes, polyesters, polyurethanes, perfumes and cosmetics etc. Astra

Zeneca (GB), Boehringer (DE) are filing patents in pharmaceuticals and drugs, drug

delivery agents, pharmaceutical granules, analgesic etc.

In Indian context, Ranbaxy, Lupin, Cipla, Tata Chemicals, Dr. Reddy‟s, Torrent, etc are

progressive in patent filing and the area covered by them is related to drug delivery

systems, pharmaceutical products, drugs, pharmaceutical granules, etc. which are useful

as cure for various diseases.

8.7.6 Comparison of Major Global Universities including Indian Universities.

A comparison of the contribution of various global universities including Indian

universities with respect to patent filing has been analyzed using CA database and

statistical data has been compiled to track progressive universities of each country.

Chemical Abstracts is the main source through which the development in chemical

sciences is covered.

University Filings Comparison Indian V/S Global:

It was also felt necessary to review the developments of patent filing activity in

university sector. Hence a review of patent filing was conducted using the chemical

275

abstract as a tool, which is the more comprehensive and preferred database in the area

of chemical sciences. The detailed data collected is presented in following tables.

Indian and Foreign University Patent Filing Comparison (2005 to 2010 July):

The detailed data collected from Chemical Abstracts database using SciFinder is

presented in the following tables.

Table 8.18 Indian University Patent filings from 2005 to 2010

University

Total Publica

tions Pate nts

Up to 2005 2005 2006 2007 2008 2009 2010 Country

Mumbai + Bombay University

2971+ 3971 9+2 2 1 1 7

IN=7 US=2

Pune+ poona University

3750 +2129 9

2 (2002) 1 3 2 1

IN=5 US=1 WO=3

Shivaji University 2530 1

1 (1990) IN=1

Delhi University 21637 60

29 2000 5 3 3 8 9 3

IN=36 WO=18 US=4 GB=1 EP=1

Jadavpur University 8334 20

15 (1955) 2 1 1

IN=17 GB=1 FR=1

Madras University 9510 10 1 1 8

IN=9 WO=1

G B Pant University 1425 19

2 (2001) 3 1 8 4 IN=19

Hamdarad University 981 11

1 (2003) 7 1 1 1 IN=11

Amity University 105 19 1 1 2 15

IN=18 GB=1

Banaras Hindu University 17067 12

2 (1978) 2 2 3 1 2

IN=10 US=1 WO=1

North Maharashtra University 476 9

1 (2004) 3 2 2 2 1 IN=9

Punjabi University 1825 7 1 1 3 1 1 IN=7

276

University

Total Publica

tions Pate nts

Up to 2005 2005 2006 2007 2008 2009 2010 Country

Calcutta University 17000 10

24 (

1940) 2 4

IN=8 WO=1 GB=1

Annamali University 5080 6 2 2 1 1

IN=5 WO=1

Bharati Vidhyapeeth University 1342 4 3 1 IN=4

Jawaharlal Nehru University 3295 6

1 (2004) 1 1 1 1 1

IN=3 WO=2 US=1

Saurashtra University 1683 4

2 (2004) 1 1 IN=4

Cochin University 5701 5 2 3 IN=5

Goa University 437 4 2 1 1 IN=4

Osmania University 5712 3

3 (1998-

99) IN=3

Panjab University 8621 4 3 1

IN=2 WO=2

Punjab University 10028 12

1 (1996) 2 2 3 4

IN=9 WO=1 US=2

Hyderabad University 11281 9

3 (1998) 2 1 3

IN=4 US=1 WO=3 FR=1

Anna University 4370 7 1 1 1 3 1

IN=4 WO=3

Bhavnagar University 647 2 2 IN=2

Orissa University 851 2 2 IN=2

Allahabad University 7373 3

1 (2002) 1 1

IN=2 WO=1

Babasaheb Ambedkar Marathwada + Marathwada University

459+ 1985 2 2 IN=2

Kakatiya University 1924 2 1 1 WO=2

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University

Total Publica

tions Pate nts

Up to 2005 2005 2006 2007 2008 2009 2010 Country

Karnataka University 1272 2 2 IN=2

Kerala University 3372 4

1 (1974) 1 1 1

IN=3 WO=1

Mysore University 3363 3

1 (2004) 2

IN=1 WO=2

Rajasthan University 7325 1

1 (1978) IN=1

Indian Institute of Technology 33378 422 92 53 63 58 40 65 51

IN=389 JP=1 IL=1 US=9 WO=22

I I Sc 24823 149 61 10 23 18 13 16 8

IN= US=11 WO=29 EP=1 Fr=1 NL=1 GB=1 DE=1

CSIR 9044 6961 4465 470 488 604 456 368 105

(Source : Chemical Abstarcts Database using scifinder)

Table 8.19 Global University patent filing data 2005 to 2010

University Country

Total

Publicat

ions

Pate

nts 2005 2006 2007 2008 2009

2010

July

California

University US 649095 7932 437 570 517 572 547 349

Tokyo

University JP 313725 2543 169 377 491 455 428 292

Texax

University US 317527 3017 188 183 168 243 239 172

Masachusets

University US 75542 698 67 47 48 55 69 34

Yale

University US 95822 699 43 39 34 58 44 18

North

Carolina

University US 139885 1249 79 79 73 75 81 53

Harvard Univ US 49386 1261 61 71 91 119 121 78

278

University Country

Total

Publicat

ions

Pate

nts 2005 2006 2007 2008 2009

2010

July

Ohio State

University US 79024 655 40 47 48 46 57 29

Wurzburg

University DE 33575 81 15 8 11 6 20 10

Heidelberg

University DE 54933 114 11 10 5 15 16 2

Manchester

University GB 56830 283 16 9 9 14 16 10

York

University GB 334133 2631 196 192 207 200 224 120

Kent

University GB 17408 129 8 9 14 14 17 8

Durham

University GB 92262 57 1 13 7 8 3 3

Belfast

University GB 20453 116 13 9 14 16 18 3

Paris

University FR 124719 407 30 26 34 55 69 36

Louis Pastuer

University FR 17559 161 12 17 7 16 14 10

Reness

University FR 11139 84 11 6 5 8 20 6

Shanghai

University CN 149842 7757 936 950 1042 1314 1384 1081

East China

University CN 24782 2527 338 333 273 461 487 384

Peking

University CN 48056 1550 134 169 148 223 353 246

Magill

University CA 65034 437 23 26 94 33 22 10

Koto

University JP 139541 1161 111 268 212 195 150 92

Keio

University JP 31856 662 71 76 87 78 106 53

Nagoya

University JP 87639 790 41 129 154 122 99 76

Osaka

University JP 131368 1471 34 191 335 313 180 134

Chiba

University JP 30040 390 23 66 94 79 64 49

HokkaidoUni JP 72129 783 19 178 154 155 137 96

279

University Country

Total

Publicat

ions

Pate

nts 2005 2006 2007 2008 2009

2010

July

Nihon

University JP 23200 715 91 81 86 67 83 52

Berlin Univ DE 96343 682 17 21 27 44 54 18

Amsterdam

University NL 43959 197 6 13 10 10 15 7

Fudan

University NL 34989 2807 371 270 297 419 286 265

Wageningen

University NL 19919 53 4 3 5 10 14 5

Ewha

University KR 5629 182 5 17 27 45 53 31

Korea

Uiversity KR 314132

1249

1 626 829 1798 2399 3440 2424

Alberta

University CA 67292 321 14 19 21 42 27 15

Manitoba

University CA 26861 166 7 16 20 19 14 3

Ontario

University CA 106573 134 7 12 10 20 14 13

Sydney

University AU 66721 314 16 9 17 23 33 11

Monash

University AU 28125 219 22 14 14 11 10 9

Melbourne

University AU 52422 260 6 10 7 8 16 18

( Source : Chemical Abstarcts Database Using Scifinder)

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Fig. 8.15 Global University patent filing data 2005 to 2010

Random selection of universities both at Indian Universities and global universities has

been made to compare the patent filing pattern among these universities. The

observation of data presented in the above tables reveals that Indian universities are

lagging behind in filing and obtaining the patents both at national and international

281

level. The reasons are obvious. The encouragement in the form of funding and

infrastructure developments for innovative research and extended support to patent

filings has hardly made any impact on researcher in the Indian universities. It is worth

noting that the universities selected at global level are very competitive and exceeding

in obtaining patents on innovative research programs. This study substantially presents

the present state of art in the innovation particularly in Indian universities. It is the right

time for concerned authorities to initiate and inspire Indian research community to go

for innovative activities on a larger scale. However, initiation of patent filing in some

universities has been reported but public funded research institutes, organizations like

CSIR, IISc and IITs are major players in filing patents in India. The contribution of

these organizations and universities is more prominent in filing patents in India but very

few patents are also now being filed at global level.

8.8 Significant Findings and Trends from the study:

1) It is observed that US, JP, CN and Korea are the leading countries according to

the number of patents filed. The technological background of these countries is

also marching ahead.

2) Advanced materials, Information Technology, health, chemical, pharmaceutical,

drugs and automotive areas are at leading positions and its growth has been

increased by 100 to 300% over years. Korea, China, Japan and USA are fast

growing countries in the world.

3) The trends in worldwide patent filings: The total number of patent applications

filed around the world has increased steadily, particularly since 1995. There has

been a continuous increase in the number of filings by patent applicants in their

country of residence, but most of the increase in total patent filings is accounted

for non-resident patent filings. The distribution of patent filings worldwide is

very uneven. A small number of countries account for the majority of patent

filings both by residents and non-residents.

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4) Patent offices of Japan and United States of America receive the largest amount

of patent applications followed by North East Asian emerging States, namely

China and the Republic of Korea and large industrialized European States. The

distribution of patent filings by office has changed in recent years, particularly

as China and the Republic of Korea are becoming major industrial economies

and their use of patent system is expanding.

5) Evaluation of worldwide patent filings: Until 1960, growth in worldwide patent

activities was very modest with an average annual growth rate of 1.99% (from

1883 to 1959). During this period, patenting activity was concentrated in four

countries the United States of America, Germany, the United Kingdom and

France. From 1960, usage of patent system accelerated due to emergence of

users from new states or regions. Filings of patent applications in Japan and

inventor's certificates in the Soviet Union increased noticeably during this

period. Since 1980, the patent offices of the United States of America followed

by the European Patent Office, the Republic of Korea and China have all

experienced significant growth rates in filings. From the patent offices listed

above, the average annual growth rate from 1960 to 2005 was 3.35%. From

2005 onwards patents filing have grown all over the world.

6) The patent offices of Japan and United States of America are the largest

recipients of patent filings followed by China, the Republic of Korea and the

European Patent Office. These five patent offices account for 77% of all patents

filed in 2005, which represents an increase of 2% over 2004 (75%).With an

increase of almost 33% over 2004, the patent office of China became the third

largest recipient of patent filings (up one place) in 2005.

7) OECD Report 2007 pointed out that more than 80% of all PCT applications

were owned by companies / industries and the remaining 20% owned by Govt.,

Universities, NGO‟s, industries, individuals etc. This strategy remained steady

except for the growth in Chinese patent which was 22% in 1996 to 1998 which

rose to nearly 50% in 2007. The proportion of patents owned by universities has

slightly increased since 1990 in Japan, European countries especially France,

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Germany, and Italy. In India 23% of patent applications originate from Govt.

institutions. The university share is poor.

8) Since 1907 CAs has analyzed and indexed patent documents to identify new and

novel developments in chemical sciences for the benefits of scientists. In the last

50 years and especially since mid 1970‟s, patenting activity has shown

increasing trend gradually but 1995 onwards the growth is noteworthy. USPTO,

JPO, WIPO, EPO, GPO (Germany), INPI (French), UKPO are the leading

patent offices in filing patent applications.

From the various analytical studies and contributions in patents, new emerging

technologies in S & T area are listed below.

9) A) Nanotechnology, Nano Materials, since 1990 onwards gained

momentum and since 2000 onwards more patents in this field have been

filed everywhere. However the share of PCT contribution of patents in this

area was more visible in countries like US( 40%), EP(28%), Japan(19%),

Germany(10%), UK and France(4%). The other courtiers Korea,

Netherlands, Canada, Italy, Australia, China, have also contributed. Indian

contribution was only 0.2% in 2004 in this area.

B) Biotechnology is also a growing area and the share of countries as per

PCT data is China (50%), New Zealand (48%)India (41%), China(26%),

Korea (24%). These countries are leading in patent filing in this area. India

was performing very well in this area since 2004.

C) Nuclear energy, wind energy and technology, fuel cells, environmental

technologies, space technology, etc. were the leading areas since 2004.

D) The share of public institutions (Government laboratories and

institutions) in patent filing as per the OECD data indicated that during the

period from 1996 to 1998, contribution was just 9%. This was a rise as

compared to mid 1990‟s which was just 3.5%. The major contributing

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universities in the countries were Australia, China, USA, and UK. Thus

higher education sector initiates contributing to 6%-8%.

10) Patent filings by Institutional Sector: In 2005, 82% of PCT patent filings came

from companies. The share of Public Institutes (Govt. Laboratories, Universities

etc) is 18% as compared to industries; however, university patent filings are not

reflected properly. India (23%) and Singapore (24.2%) reported highest share of

patents owned by Govt. agencies.

11) Patent filing trends reported at the Dolcera Blog pointed out global patent filing

trends and according to the data available on this blog, in 2006 total number of

applications filed across the world were 17, 64,633 and the growth was 4.9 % in

comparison with 2005 (16,81,596). This indicates 91% increase in patent filing

from 1985 to 2006. The countries like China, USA, Netherlands, Czechoslovak

and Korea contributed more to patents, whereas Japan, Russia, Germany France,

and UK indicated less contribution in relation to the earlier patent filings.

(Patent filing trends around the globe. http://www.infringementupdates.com).

However, Japan has improved in patent filings since 2005.

In case of Indian patent filing data, the trends clearly point towards the upward trends of

growth. Ramanna (2002) pointed out that after 1995; the number of patent applications

filed in IPO has increased to almost 150% in 1998. From 1970 to 1995, patent

application in India was steady averaging 3500 patent filings per year. But in 2008 its

growth is raised to 35000.

The WIPO Report on Patent Trends (www.mail.kein.org/pipermail/incom 1/2006 oct/

and http://www.wipo.int/ipstats/en/ statistics/patents/) records useful information based

on patent filing data for deriving the major patent filing countries of the world. The

following are few trends reported by WIPO till 2005.

1) Five Patent offices USPTO (USA), JAPIO (Japan), EPO, Korea, and China

account for 75% of all the patents filed and 74% of patents granted worldwide.

285

2) In 2004, 5.4 million patents were in force worldwide and out of them 81% were

granted to six countries (USA, Japan, UK, Germany, Korea and France).

3) In resident patent filing, Japan leads followed by USA, Korea, Germany, France

and Russia

4) Over a period of 20 years, China is 5th

largest patent office in world (by way of

patent application filed) and Republic of Korea is 4th

largest patent office in the

world.

5) The number of patent applications filed worldwide almost doubled between 1985

to 2004, rising from 8,84,400 to 15,99,000 with an average annual rate of

increase of 4.75% since 1995. This is in line with the average annual growth in

world gross domestic product (GDP) of approximately 5.6%.

6) Since 1995 there has been a continuous increase in the number of filings by

patent applicants in their country of residence, reflecting steady growth in

domestic inventive activity. The bulk of increase in total filings is accounted for

international patent applications. Large increases in foreign patents filings in

countries like Brazil, China, India, Korea, and Mexico reflect the

internationalization of markets and production. Companies seeking new export

markets or investing overseas are keen on protecting their inventions in these

key emerging economies.

WIPO, (WIPO, 2008) points out the following major conclusions based on the patent

statistics and its analysis 2005 onwards.

The total number of applications filed across the world in 2006 estimated to be

1.76 million, with 4.9% increase from previous year 2005.

The patent filings from China, Korea, US increased by 32.1%, 6.6% & 6.7%

respectively. Japan, US, Korea, Germany, China contribute to 76% of total

Patent filing in 2006.

In 2006, approximately more than 727000 patents were filed across the world.

Applicants from JP, US, Korea, Germany received 73% of total patent grants

286

world over. However from 2000 to 2006, the number of patents granted to

applicants from China, Korea grew by 26.5% & 23.2% per year, respectively.

There is an increase in the level of patenting activity in emerging countries. The

patent offices of India, Brazil, and Mexico received large number of filings in

2006.

WIPO has pointed out that there is an increase in patent filings at international

level. The non-resident filings share has increased from 35.7% to 43.6% in

2006.

Many inventions result in findings in multiple offices. About 24% of all patent

families are filed in 2 or more offices. 10% of patent families are filed in 4 or

more offices.

The number of international patent filings filed through PCT in 2007 is about

158400 representing a 5.9% increase from previous year.

WIPO has listed top 20 patent offices based on the filings during 2006,and they

are given rank wise as USA, Japan, China, Korea (Republic of), EPO, Germany,

Canada, Russian Federation, Australia, UK, India, Brazil, France, Hongkong &

China, Singapore, Israel, New Zealand, Thailand, and Norway

Based on the patent filing statistics in 2006, ranking of the countries that are

leading in the world are Japan (514047), US (390815), Korea (172709),

Germany (130806), China (128850), France, UK, Russia, Netherlands,

Switzerland, Canada, Sweden, Australia, Finland, India, Belgium, Spain, Israel,

Austria, and Denmark

The number of PCT applications from 2000 (93237) to 2006 (147500) has

increased by 7.9%. Korea & China contribution has increased by 26.6% &

56.5% from 2005-2006.

Trends in patent families from 1990 to 2005 increased by 3.6% per year

whereas it has increased to 4.9% by the end of 2006. However, in 2009,

estimated international filings maybe around 155900 (decreased in previous

year). (PCT, 2009).

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Over 35,000 patent applications have been filed at IPO from 2007 to 2008 and

overall 21% increase is noticed in Indian Patent filings compared to previous

year.

8.9 Emerging Areas in Chemical Sciences:

From the analytical study of global patent filings in chemical sciences it is noticed that

the data analysis is very useful in finding emerging subjects and disciplines. The data

evaluated has pointed out following new areas in which more progress has taken place

and filing of patents has increased. Many leading professionals have indicated the

trends and Kadam, (2007) and OECD (OECD, 2007) reported few emerging areas in

chemical sciences as reported below.

Fuels: Biofuels, Fossil Fuels etc

Light Emitting Diodes or Devices (LED) : Energy Conservation, Light Emitting

Organic Molecules, Electro Conducting Organic Molecules

Nuclear Energy

Environmental Science and Chemistry: Green Chemistry, Environmental Safety,

Wind, Geothermal and Solar Energy, Motor vehicle abatement technologies,

Biomass and Waste Technologies

Storage of Energy : Hydrogen Energy

Traditional Knowledge : Ayurvedic Formulations

Bioinformatics

Agricultural Biotechnology

Nanotechnology, Nanomaterials and Nano Particles Technology

Medicinal Chemistry : Anti Cancer, Anti Aids, Anti-aging Drugs, Drug Delivery

System, Nano Drug Delivery system

Biocatalysts

Genetic Engineering

Synthetic biology

Stem Cells

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Space Science

8.9.1 Focal Areas and Special Features of Major Countries:

ICT: (1990 onwards) Growth 8 to 10 %, Top Countries: USA, Japan, and

Germany and followed by them are China, Finland, Japan, Korea, and

Netherlands. Areas: Telecommunications, consumer electronics, computers,

office machinery etc.

Nanotechnology: (1990 onwards) Growth 24.2%, in 1994 to 2004, 12%.

Countries: USA highest and followed by European Countries, Japan, and

Germany. Areas: Electronics, Optoelectronics, medicine, biotechnology,

environment and Energy, nanomaterials.

Biotechnology: (1995 onwards) Growth 1995 to 2003 growth 5.8%, in 2004,

38.9%. Countries: Japan and Germany

Nuclear Energy: (1990 onwards) Growth 33.5%. Countries: Germany, France,

Japan, UK.

Fuel Cells: (1995 onwards) Growth: 1997 and 2004, 10%. Countries: USA main

contributor 1995 to 99 followed by Japan and Germany

Environmental Technologies: (1990 onwards), countries: Japan, Germany, USA,

UK, are the leading in this area.

Space: (1980 onwards) Growth: 1980 to 2005. Countries: USA, France,

Germany, Japan

Emerging Areas: As discussed above from the emerging areas two prominent areas,

Stem Cells and LED are considered for review. They are detailed in the following

sections.

8.9.2 Stem Cells

Stem cells are generally found in all the multi cellular organisms. They have

characteristics of regenerating themselves through mitotic cell division. The research in

stem cell has grown since 1960. In adult organisms, stem cells act as a repair system for

the body and maintain the normal turnover of regenerative organs, like blood, skin, or

289

intestinal tissues. Since 2000, this topic is developing at a faster pace and filing of

patents has also increased in this area. Patent filings from CA during the period from

1983 to 2007 in this field are as under.

Table 8.20 Patent Applications Filed from 1983 to 2008.

Year

Patent

applications

filed

1983 4

1984 2

1985 2

1986 4

1987 5

1988 7

1989 18

1990 22

1991 20

1992 23

1993 60

1994 81

1995 93

1996 142

1997 184

1998 232

1999 289

2000 333

2001 478

2002 733

2003 894

2004 863

2005 1090

2006 1157

2007 1305

2008 1469

(Source: CA database)

290

Fig. 8.16 Patent Applications Filed from 1983 to 2008.

During the period from 1983 to 2008; 9801 patents were filed in this area and the real

progress developed since 2000 onwards and during the period 2000 to 2007; 6853

patents were filed. The growth in 2007 is 291% as compared to 2000. It is also noticed

that the top patent filing countries in this area are USA (1014); China (102); Japan (75);

Germany (67), and Canada (66).

The analysis from the Delphion patent database for the Stem Cells during the period

1964 to 2009 is analyzed in the following table. The total patents retrieved from this

database are 18798 ( 1964 to 2009)

291

Table 8.21 Stem Cells: Delphion Patent Filing Data for the Period 1983 to 2007

Year

Patent

Fillings

1983 2

1985 2

1986 22

1987 26

1988 47

1989 74

1990 113

1991 60

1992 101

1993 165

1994 287

1995 214

1996 276

1997 378

1998 375

1999 503

2000 607

2001 1201

2002 1509

2003 1620

2004 1811

2005 1840

2006 2145

2007 2197

( Source : Delphion Patent Database)

Fig. 8.17 Stem Cells: Delphion Patent Filing Data for the Period 1983 to 2007

292

From this table it is noticed that prominent countries in this area are USA(5800),

Japan(1232), China(733), Korea(666), Germany(608), GB (385), Canada(374),

France(281), Australia(201), Netherlands(155), and India(82). It is also found that

among the assignees, major share is from the university filings. The major companies

are Genentech, Amgen and Takeda.

8.9.3 Light Emitting Diode (LED):

LED is also known as Light Emitting Polymer (LEP) and Organic Electro

Luminescence (OEL). The upcoming areas are High Emitting Organic Molecules, Light

Emitting Devices, and Electro conducting Organic Molecules

A review of patents filed in CA in the field of LED (1997-2009) is given below.

In this area there are total 22054 references covering all the forms of literature and

among these, 5339 are patents references (24% patent contribution). During 1997-2007

there were only 2769 patents files all over the world. Though the patent reporting

started during 1967, since 1976, sizable patent filings were reported and since 2000

onwards the development is prominent.

Table 8.22 LED Patent filings 1997 to 2009

Year Patent filings

1997 41

1998 69

1999 112

2000 141

2001 211

2002 211

2003 224

2004 324

2005 366

2006 565

2007 677

2008 742

2009 727

(Source : CA Database using scifinder)

Commercial enterprises, academic Institutes, R & D Organizations are monitoring

research. Patent publications in chemical sciences grew almost 500% due to shift in

policies. Few countries like China developed late in this area but their invention

293

applications rose to 1400%. Even in India from 1998 to 2008, around 300% growths in

patent filings have been reported. The role of information professionals is becoming

more complicated and along with searching the information, an analytical role is also

important to identify value in data collected as an analyst. However a new technique,

patinformatics, helps in analyzing the data. Bailey Wood

(http://www.infonortics.com/chemical/ch03/slides/derwent.pdf) rightly indicated that

patent analysis provides an overview of innovation and a method to track technological

developments by counting patents to identify technology trends, geographical trends

and assignee or company trends.

Chemical sciences trends have been given by Toussant (2002) who has reported an

annual increase in patent filing in the area of chemical sciences which is around 7% to

10%. The data has also revealed that more than 70,00,000 patents were filed in only

chemical sciences from 1907 to 2001. In the period from 2002 to 2006, the patents filed

were 998717 but only in the year 2007, 265637 patents were filed.

Patenting activity is an important yardstick for measuring innovation. In this chapter,

patent analysis has been made to find trends like global patent growth, top patent filing

countries, major patent assignees active in patent filing, growth in chemical sciences,

emerging technological areas, geographical patent distribution etc. Such analytical

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