欧洲专利局 - 数字的故事 by HLK

欧洲专利局 - 数字的故事

第 1 部分

Fig. 1 图1

Difference

每年新公布的申请/每年审结的申请

The number of European patent applications newly published in each year has increased greatly, if not always continuously, since the European Patent Office opened in 1978. The number of applications processed to a conclusion in each year (i.e. applications granted as patents, applications refused, withdrawn or deemed withdrawn) has also increased greatly, though again not entirely continuously. Generally, the number of applications newly published in a year has exceeded the number of applications processed to a conclusion in that year, with exceptions around 1994 and, much more markedly, since 2016. This is summarised in Fig. 1.

数量差

Applications newly published in year/ Applications processed to a conclusion in year

自1978年成立以来，欧洲专利局每年新公布的欧洲专利申请数量即使不是一直连续增长，也已经取得大幅增长。每年审结的申请（即授予专利的申请，以及驳回、撤回或视同撤回的申请）数量，尽管也不是一直增长，但同样已经取得大幅增长。通常来说，每年新公布的申请数量都比当年审结的申请数量要多，2016年以来更为显著，但1994 年除外。详见图1。

Part 1

Difference between: 下述申请之间的数量差：EP applications newly published in year 每年新公布的欧洲专利申请 Applications processed to a conclusion in year 每年审结的申请

欧洲历年新公布的专利申请数量表明，待欧洲专利局审批的欧洲专利申请的“存量”有所增加。申请审 2

The numbers of European patent applications newly published year by year provide an indication of additions to the “stock” of European patent applications www.hlk-ip.cn

积累的数量差 = 待审批申请的存量

pending at the EPO. That stock of pending applications is then reduced year by year when applications are processed to a conclusion, i.e. when patents are granted and when applications are refused, withdrawn or deemed withdrawn. The difference between the number of applications newly published in a year and the number of applications processed to a conclusion in the same year represents the net change in that year to the stock of pending applications. Over the years the cumulative difference then represents the stock of pending applications. This is illustrated in Fig. 2. Difference = change to stock of pending applications 数量差 = 待审批申请的存量变化

Cumulative difference = stock of pending applications

结时，即授予专利、驳回、撤回或视同撤回申请时，待审批申请的存量则会逐年减少。每年新公布的申请数量与当年审结的申请数量之差代表当年待审批申请存量的净变化。历年积累的数量差代表待审批申请的存量。见图2说明。

Fig. 2 图2

Difference between EP applications newly published in year and applications processed to a conclusion in year 每年新公布的欧洲专利申请数量与当年审结的申请数量之差 Cumulative difference = stock of pending applications 数量差 = 待审批申请的存量变化

如图所示，2015年以前，待审批申请的存量广泛增加，并于2015年年底达到峰值，即587,836项。此后，待审批申请的存量有所下降——近年来，专利授予量增加，成为审结申请总量逐年增加的主要驱动因素，并且自2016 年起已经超过每年新公布的欧洲专利申请的数量。2020年年底，待审批申请的存量达到457,220项。 3

As shown, the stock of pending applications generally grew until 2015, reaching a peak of 587,836 pending applications at the end of that year. Since then the stock has fallen - an increase in numbers of patents granted in recent years has been the primary driver of an increase in the total numbers of applications processed to a conclusion year by year, which since 2016 have exceeded the numbers of European patent applications newly published year by year. At the end of 2020 the stock of pending applications stood at 457,220. www.hlk-ip.cn

That stock of pending applications might still seem large but perhaps a useful way of viewing the stock is in terms of the number of years of work it might be expected to represent for the EPO. Of course, this depends on how quickly the EPO can process applications. In 2000, for example, 45,033 applications were processed to a conclusion (granted, refused, withdrawn or deemed withdrawn) and at the end of 2000 the stock of pending applications stood at 297,377. If the work of processing applications to a conclusion had continued at the same rate that stock of pending applications would then have been equivalent to over six years of work for the EPO. In 2020 four times as many applications – 194,235 - were processed to a conclusion and at the end of 2020 the stock of pending applications stood at 457,220. If processing of applications to a conclusion continued at the same rate that stock would now be equivalent to just over two years of work for the EPO. Fig. 3 shows how the stock of pending applications, in terms of “years of work”, has varied.

Years 年限

待审批申请的存量可能看起来仍然很大，但是还有一种可能有效的存量观察方法，也就是，从工作年限来看，存量可能代表欧洲专利局的工作年限。当然，这取决于欧洲专利局处理申请的速度。例如，2000 年审结45,033项申请（授予专利、驳回、撤回或视同撤回）；2000年年底，待审批申请的存量为297,377 项。按照这种审结速度，欧洲专利局需要六年多的时间才能处理完待审批申请的存量。2020年审结194,235项申请，是2000年的4 倍；2020年年底，待审批申请的存量为457,220项。按照这种审结速度，欧洲专利局只需要两年多时间就能处理完待审批申请的存量。图3 显示了以“工作年限”计算的待审批申请存量的变化情况。近几年，

Fig. 3 图3

Stock in “Years of Work” 以“工作年限”计算的存量

欧洲专利局在多份报告中公布了有关存量水平的信息，这些信息偶尔会不一致。“2020年质量报告”最新发布的信息显示，2020年年底的存量需要 11.7个月的工时可以处理完毕（相较 2015年年底存量需要约17个月的工时来说有所减少）。显然，欧洲专利局在评估存量时采用的依据不同于之前使用的简单“工作年限”。2020年的报告表明，欧洲专利局的长期目标 4

In various reports over recent years the EPO has published information – not always consistent information - about levels of stock. The most recently published information, in the “Quality Report 2020”, indicates that the stock at the end of 2020 was 11.7 months of available work (down from around 17 months at the end of 2015). Clearly the EPO estimates stock on a basis different to the simple “years of work” basis used above. The 2020 report indicates that the long term goal of the EPO is a stock of 11 months of available work. www.hlk-ip.cn

是确保存量能在11个月的工时内处理完毕。以“工作年限”计算的存量可以被用作从公布申请到申请审结期间的平均时滞指标，或者申请的“积压”。存量下降可代表时滞或“积压”有望减少。另一方面，为了确保高效处理申请所需的资源能够得到妥善维护和优化使用，可能需要维持一定的“存量”水平。

“欧洲专利局 – 数字的故事”第2部分详细介绍了每年审结的欧洲专利申请（即授予专利的申请，以及驳回、撤回或视同撤回的申请）。欧洲专利的获取变容易了吗? 自1978

The stock in terms of “years of work” might be seen as an indicator of an average time lag between publication and conclusion of processing of an application or as a “backlog” of applications. A decline in stock might be considered a welcome reduction of the time lag or “backlog”. On the other hand, some level of “stock” may be needed to ensure that resources needed to effectively process applications can be properly maintained and optimally employed. Part 2 of “The European Patent Office – The Story in Numbers” looks in more detail at European patent applications processed to a conclusion in each year (i.e. applications granted as patents, and applications refused, withdrawn or deemed withdrawn). Has it become easier to get a European patent?

第2部分

Part 2

年成立以来，欧洲专利局每年审结的欧洲专利申请（即授予专利的申请，以及驳回、撤回或视同撤回的申请）数量即使不是一直连续增长，也已经取得大幅增长。2019年审结超200,000项申请；自2015 年起，申请的处理量呈现出逐年快速增长的趋势。2020年，由于新

The number of European patent applications processed to a conclusion in each year (i.e. applications granted as patents, and applications refused, withdrawn or deemed withdrawn) has increased greatly, if not always continuously, since the EPO opened in 1978. In 2019 just over 200,000 applications were processed to a conclusion, with rapid growth in the year by year numbers of applications processed starting in 2015. The slight fall in 2020 may

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Fig. 1 图1

Applications refused 驳回的申请 Applications withdrawn 撤回的申请 Applications deemed withdrawn 视同撤回的申请 Patents granted 授予的专利 Total applications processed to a conclusion 审结申请总量

冠大流行，申请的处理量小幅下降。详见图1。从图2可以看出，自2015年起，由于专利授予量增加，审结申请数量逐年快速增长。2019年和2020年的专利授予量是2015年的两倍。约2015年到 2016年，驳回、撤回和视同撤回的申请总量逐年增加，但之后却持续下降。

well be attributed to problems arising due to the Covid 19 pandemic. This is summarised in Fig. 1. As can be appreciated from Fig. 2 the rapid growth from 2015 in year by year numbers of applications processed to a conclusion was due to growth in the numbers of patents granted. The numbers of grants in 2019 and 2020 were double the number of grants in 2015. Applications refused, withdrawn and deemed withdrawn year by year did together increase somewhat from 2015 to 2016 but then the numbers fell consistently.

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Fig. 2 图2

Applications refused 驳回的申请

Applications deemed withdrawn 视同撤回的申请

Applications withdrawn 撤回的申请

Patents granted 授予的专利

如本报告第1部分所述，到2015 年，欧洲专利局处理申请的速度差不多跟上了新申请的增长速度。近年来，主要由于专利授予量翻倍，每年处理的申请数量远超每年公布的新申请的数量。因此，待审批申请的“ 存量”或“积压”已经减少。如下表所示（下表信息来自欧洲专利局报告），从审查员人数和员工总数来看，虽然欧洲专利局的处理量增加，但其资源并未显著增加。

As noted in Part 1 of this report, up to 2015 the EPO’s processing of applications more or less kept up with increasing numbers of new applications. More recently the numbers of applications processed each year have significantly exceeded the numbers of new applications published each year, predominantly based on the doubling of the numbers of grants. The “stock” or “backlog” of pending applications has been reduced. The growth has been achieved without significant increase in EPO resources in terms of examiners and total staff, as indicated in the table below (information taken from EPO reports).

审查员

员工总数（包括审查员） 7

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很明显，2015年以来专利授予量之所以翻倍，必定是因为欧洲专利局变更了审查流程。欧洲专利局的确引入了一个新的绩效管理系统，该系统可以更加密切地监控时效性，专注清理极其陈旧文件，同时减少审查员在核心审查职责以外项目上花费的时间。生产力，即每年审结的申请数量，显著增加。提个有趣的问题，标准是否改变? 2015年之后授予的专利，如果放在2015 年之前，是否也能授予？如图3所示，2015年到2019年，专利授予量逐年增长，但未获成功申请的数量并未随之增长，这意味着申请的授予比例有所增加：2015 52%；2019 68% (2020 69%)。在此情况下，人们注意到，仅2000年之前的几年，授予率超过65%（图3中深绿色的部分），在此之前的授予率未知。另一方面，仅在2008年至2015 年的7年时间内，授予率低于 55%（图3中浅绿色的部分）。2008年，全球爆发金融危机，导致一些申请人减少了待审批专利申请的组合数量，因此，2009年和2010年，撤回和视同撤回的申请数量创历史新高。当然，对于授予率达到多少才“正确”，并无定论；每年的授予率都有所不同，但大都在55%到65%之间。还有一个

It seems plain that EPO procedures must have changed in order to facilitate a doubling in the number of patents granted since 2015. The EPO did introduce a new performance management system, closer monitoring of timeliness, a focus on clearing very old files, and a reduction in Examiner time spent on projects other than core examination duties. Productivity, i.e. the number of applications processed to a conclusion each year, has increased significantly. An interesting question is, have standards changed? Have patents been granted since 2015 which in earlier times would not have been granted? As shown in Fig. 3 the growth from 2015 to 2019 in the numbers of patents granted year by year, unaccompanied by growth in the numbers of applications suffering less favourable fates, means that a greater proportion of applications were granted: 2015 52%; 2019 68% (2020 69%). In this context it is noted that grant rates above 65% (darker green in Fig. 3), not unknown in the past, occurred only in years before 2000. On the other hand, grant rates less than 55% (lighter green in Fig. 3) occurred only in the seven years from 2008 to 2015, that being a period starting with the global financial crisis which led some applicants to reduce their portfolios of pending patent applications, bringing about record numbers of withdrawals and deemed withdrawals in 2009 and 2010. There is, of course, no “correct” grant rate and variation from year to year is to be expected, but grant rates between 55% and 65% might be seen as mainstream.

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Fig. 3 图3

Applications refused 驳回的申请

Applications deemed withdrawn 视同撤回的申请

Applications withdrawn 撤回的申请

Patents granted 授予的专利

可以考虑的参数是，授予专利的申请的百分比与驳回申请的百分比之间的关系。这个参数不需要考虑因申请人的作为（撤回）或不作为（由于未满足截止日期而视同撤回）而审结的申请。从上文图3可以看出，2015年，驳回申请和授予专利的申请之间的比率为3/52 = 0.058。2019年为4/68 = 0.059。由于该参数值的计算基础是欧洲专利局采取行动（授予专利或驳回申请）后终止的程序，因此几乎没有什么变化。

Another parameter that can be considered is the percentage of patents granted in relation to the percentage of applications refused. This ignores applications where processing is completed due to action (withdrawal) or inaction (deemed withdrawal due to failure to meet a deadline) of the applicant. From Fig. 3 above, for 2015 the ratio of refusals to grants is 3/52 = 0.058. For 2019 the ratio of refusals to grants is 4/68 = 0.059. The value of this parameter, based on proceedings brought to a close by an action of the EPO (grant or refusal), has thus barely changed.

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