PIUG 2021 - Wednesday

Patent Information Users Group, Inc.

Contents Finding the Right Balance – a Manager’s Perspective 2 Growing Transparency of Examination in the PCT National Phases 4 Improving Patent Analytics Using Machine Learning Technologies and Introducing ML4Patents.com 6 Patent Status Fields in CAplus and INPADOCDB/INPAFAMDB on STN 8 IFI CLAIMS Direct – The Platform for Data Integration and Product Innovation 10 Finding Needles in the Haystack: Identifying Valuable Assets Using Citation Analyses 12 Reviewing the Patent-Extracted Chemistry “Big Bang” in PubChem 14 Searching for Unconventional Prior Art Necessitates Unconventional Techniques 16 Plenary Sessions: WEDNESDAY

Unconventional Times Require Unconventional Search and Analysis Techniques

Monday, May 24 – Friday, May 28  Virtual Meeting 2021 ANNUAL CONFERENCE

Meeting Book prepared by BizInt Solutions Inc., a proud sponsor of the 2021 PIUG Annual Conference

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PIUG 2021  WEDNESDAY  Virtual Meeting

 W E D N E S D A Y M O R N I N G 8 : 0 0 A M – 12 : 2 5 P M

Finding the Right Balance – a Manager’s Perspective Fiona Graves (Pfizer) 9:30 – 10:15 am

 ABSTRACT Across the Biotech industry, organisations have been tasked with reducing operating costs in order to increase the proportion of finances invested in R&D. Information Scientists have not been immune from these changes and managers are challenged to find ways to continue to provide top-class searching services in a landscape of reduced head-count and increasing technology complexity. Managers must also maintain the engagement of colleagues and nurture their continued growth and development within organisations. This presentation will address some of the issues faced and encourage discussion around potential solutions.  BIOGRAPHY Fiona M. Graves Ph.D. is a senior manager at Pfizer. Fiona gained her Doctorate in Biochemistry from the University of Kent at Canterbury in 1998 and joined Pfizer as an Information Scientist in early 2002. Fiona has led the Biopatent search group at Pfizer since 2009 and is currently responsible for the performance and development of 4 colleagues.

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PIUG 2021  WEDNESDAY  Virtual Meeting

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Finding the Right Balance – a Manager’s Perspective  Fiona Graves (Pfizer)

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PIUG 2021  WEDNESDAY  Virtual Meeting

 W E D N E S D A Y M O R N I N G 8 : 0 0 A M – 12 : 2 5 P M

Growing Transparency of Examination in the PCT National Phases Lutz Mailänder (World Intellectual Property Organization) 10:15 – 10:50 am  ABSTRACT With its entry into various national phases, the examination of an International Application (PCT) commences in many of these national phases at almost the same time. Various national phase examination work products are established by and by, which complement the international phase work products. Public access to these work products has greatly improved during the recent years. More national registers permit public file inspection, and ‘one-stop-shop’ type portals like Global Dossier and WIPO-CASE facilitate the access to these work products. Tools like the Common Citation Document facilitate the comparison of work products. This increasing transparancy is beneficial not only for patent examiners who may easily utilize the foreign work products; it also enables third parties to monitor the status of national phase examination and compare outcomes. The presentation will compare, from a user perspective, the different resources for researching patent family relations, legal status of family members and the work products available for each family member, and demonstrate how they complement each other. Final results of national examination are sometimes quite different; this has implications for quality management of examination and initiatives like the Patent Prosecution Highway or cooperative examination.  BIOGRAPHIES Mr. Lutz Mailänder, national of Germany, is the Head of the Cooperation on Examination and Training Section in the PCT International Cooperation Division of WIPO. He manages WIPO’s International Cooperation for Examination (ICE) service that provides support for substantive patent examination to patent offices in developing countries, and coordinates WIPO activities related to the training of substantive patent examiners. He was previously the Head of the Patent Information Section, where he coordinated WIPO’s patent information services for developing countries and WIPO activities related to patent analytics and legal status; prior to this he was the Head of the International Patent Classification (IPC) Section, where he managed the revision of the IPC. Before joining WIPO, he worked for almost ten years as a patent examiner at the German Intellectual Property Office (DPMA) in the field of physics, and spent almost two years as a visiting scientist at Cornell University, New York. He holds a PhD in solid state physics from the Ludwig-Maximilians Universität, Munich, and a certificate in Management of International Organizations of the University of Geneva (IOMBA).

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PIUG 2021  WEDNESDAY  Virtual Meeting

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Growing Transparency of Examination in the PCT National Phases  Lutz Mailänder (World Intellectual Property Organization)

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PIUG 2021  WEDNESDAY  Virtual Meeting

 W E D N E S D A Y M O R N I N G 8 : 0 0 A M – 12 : 2 5 P M

Improving Patent Analytics Using Machine Learning Technologies and Introducing ML4Patents.com Tony Trippe (Patinformatics, LLC / ML4Patents.com) 11:10 – 11:45 am

 ABSTRACT The use of patent analytics has increased exponentially over the past ten years. At the same time new tools, methods and systems have begun to emerge that seek to make the analysis of patent data easier to accomplish. Included in these new developments are a significant number of machine learning systems that have begun coming to market. As these changes continue to occur, it would be useful to review a list of the tasks associated with patent analytics and think about the types of tools, systems, or methods that a patent analyst would like to have at their disposal. Starting with a general overview of patent analytics, and with a focus on patent landscape reports, case studies and perspectives will be provided on why this work is so highly valued. The presentation will conclude with a prioritized list of suggestions for how patent analytics and patent landscape creation could be aided by the further development and implementation of semantic technologies. There will also be a tour of a new website ML4Patents.com devoted to aggregating content associated with the development of this area.  BIOGRAPHY Anthony (Tony) Trippe is Managing Director of Patinformatics, LLC. Patinformatics is an advisory firm specializing in patent analytics and landscaping to support decision making for technology based businesses. In addition to operating Patinformatics, Mr. Trippe is also an Adjunct Professor of IP Management and Markets at Illinois Institute of Technology teaching a course on patent analysis, and landscapes for strategic decision making. Tony is an influential thought leader in the patent analysis space, recently wrote the Guidelines for the Preparation of Patent Landscape Reports for the World Intellectual Property Organization, has been named one of the Top 300 IP Strategists by IAM Magazine, and is the developer of the new website ML4Patents.com, the industry’s online resource for the use of machine learning and artificial intelligence in the field of Intellectual Property.

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PIUG 2021  WEDNESDAY  Virtual Meeting

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Improving Patent Analytics Using Machine Learning Technologies and Introducing ML4Patents.com  Tony Trippe (Patinformatics, LLC / ML4Patents.com)

STNext®

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cas.org

STN ® Events at PIUG Plenary Talk Patent Status Fields in CAplus and INPADOCDB/INPAFAMDB on STN by Paul Peters and Jim Brown Wednesday, May 26 11:45 am - 12:15 pm EDT Virtual Booth Hours Tuesday, May 25 12:45 - 1:45pm EDT Wednesday, May 26

Jim Brown Sr. Account Manager FIZ Karlsruhe

Bill Fotoples Sr. Solutions Marketing Manager, CAS

Darryl French Customer Success Specialist CAS

12:45 - 1:15pm EDT Thursday, May 27 12:30 - 1pm EDT STN Patent Forum Friday, May 28 9:00 am – 12:00 pm EDT

Paul Peters Director, Customer Success Specialists CAS

Sarah Stokes Regional Sales Manager FIZ Karlsruhe

About STN Intellectual property professionals and patent examiners worldwide rely on STN for their scientific, technical and IP information needs. With access to the world’s scientific information on one integrated platform, including authoritative chemistry and patent content from CAS and Derwent World Patents Index ® , STN offers a unique content collection, unparalleled search power and precision, and proven reliability to reduce your risk of missing critical information and help you protect valuable intellectual property. Our newest platform, STNext, elevates the classic STN search experience, by offering a new, more intuitive interface, focused on efficiency, with enhanced security and lower administrative overhead. STN is operated jointly by CAS and FIZ Karlsruhe worldwide. fiz-karlsruhe.de helpdesk@fiz-kralsruhe.de cas.org help@cas.org

John Zabilski Sr. Customer Success Specialist CAS

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PIUG 2021  WEDNESDAY  Virtual Meeting

 W E D N E S D A Y M O R N I N G 8 : 0 0 A M – 12 : 2 5 P M

Patent Status Fields in CAplus and INPADOCDB/INPAFAMDB on STN JimBrown (FIZ Karlsruhe) and Paul Peters (CAS ) 11:45 am – 12:15 pm  ABSTRACT Determining the status of a patent can be quite difficult due to all of the potential legal status events that can happen to a patent. STN has greatly simplified this determination with the addition of patent status fields in CAplus and INPADOCDB/INPAFAMDB. This talk will give an overview on the patent status options available and will give some general insights how this data is created. The combination of value-add content and patent status data enables the searcher to incorporate new search strategies to, for example, FTO searches.  BIOGRAPHIES JimBrown is presently the Senior Key Account Manager for FIZ Karlsruhe in the U.S. His current duties at FIZ Karlsruhe Inc. include sales, customer trainings, authoring workshop manuals and presentations, and representing FIZ at conferences and exhibits. Jimwas on the PIUG Board of Directors from June 2010 to June 2012 in the position of secretary; from June 2012 to June 2016 he served on the PIUG Board of Directors as Vice-Chair. Paul Peters has been working for CAS for over 25 years. After earning his Bachelor Degree in Chemical Engineering, he worked in the library of the Netherlands Occupational Health and Safety organization. After gaining familiarity with first generation online searching tools, he worked as a workshop instructor for STN in the Netherlands for 7 years. During this time he trained over 500 examiners of the European Patent Office in doing patentability and novelty searching in chemistry and related fields. In 1995 he joined CAS as a regional sales manager and soon thereafter became the director of sales in Europe, Middle East and Africa. He has been involved in several European patent information interest groups, like PDG, PATCOM, CEPIUG and several national groups. Paul now leads the staff in the US and Europe who provide customer training for all CAS products. Paul also coordinates the activities of the technical training staff in Asia and Latin America.

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PIUG 2021  WEDNESDAY  Virtual Meeting

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Patent Status Fields in CAplus and INPADOCDB/INPAFAMDB on STN  JimBrown (FIZ Karlsruhe) and Paul Peters (CAS )

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PIUG 2021  WEDNESDAY  Virtual Meeting

 W E D N E S D A Y A F T E R N O O N 12 : 4 5 P M – 4 : 0 0 P M

IFI CLAIMS Direct – The Platform for Data Integration and Product Innovation Mike Baycroft (IFI CLAIMS Patent Services) 1:15 – 1:45 pm  ABSTRACT The scope of IP solutions has grown exponentially over the past decade: from siloed data-sets to critical components of the corporate data lake; from supporting search-based solutions to investment analytics and risk assessment. Today’s technology-driven marketplace offers a breath- taking spectrum of tools and methodologies that are driving change in how we make decisions, how we collaborate, and how we compete. Behind every corner of this marketplace is a burning need for reliable, current, and interlinked data. CLAIMS Direct provides a dynamic data platform that allows product developers, data scientists, and information professionals to focus on technology- driven innovation. Today CLAIMS Direct is behind many of the industry’s products and services providing flexible public and private data integration. Join us to learn more about our platform, our commitment to quality, and how we plan to continue supporting information for industry.  BIOGRAPHY Mike Baycroft founded the company in 2006 after leaving Thomson Scientific where he was the VP of Corporate Technology Solutions for the Corporate Markets business unit. He led the development, support, and operations of all Corporate Markets’ products including those developed by MicroPatent, Delphion, and Wila. This included customer facing applications as well as content services reliant on patent data. Mike joined Thomson Scientific through the acquisition of Information Holdings Inc. (IHI) in 2004, the owner of MicroPatent, where he served as CIO. In this position he was responsible for all product development, and was also actively engaged in customer service, business development, and strategic planning as a member of the MicroPatent executive team.

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PIUG 2021  WEDNESDAY  Virtual Meeting

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IFI CLAIMS Direct – The Platform for Data Integration and Product Innovation  Mike Baycroft (IFI CLAIMS Patent Services)

Millions of eyes scrutinize our data

CLAIMS Direct provides a crowd-sourcing platform that transforms feedback into a shared resource

DATA FACTORY

~2TB / WEEK

CLIENT FIREWALLS

DATA CURATION

100+ SOURCES

NEW PRIVATE DATA

REMOTE SERVERS

NEW EXTERNAL DATA

SHARED SERVERS

PRIVATE SERVERS

Customers suggest improvements and report problems. The result is hundreds of millions of systematic updates that ensure enviable data maturity.

CLIENT PLATFORM

CUSTOMER FEEDBACK

• Data Integration • Analytics Tools • Search Solutions • Custom Formats

• Text Mining • Knowledge Pipelines • Enterprise Applications

Video: CEO Mike Baycroft explains IFI CLAIMS Patent Services & API

Assisting clients with data governance that accelerates product innovation

www.ifiCLAIMS.com/piug .htm

IFI Names and Snapshots IFI Names and Snapshots help you navigate from Corporate Parent to patent publication. You can connect the data you need into your software solution or workflow .

Xilinx Inc, Corporate Parent 36 subsidiaries and related entities linked to more than 9,300 publications, with 4,400 patent families

PATENT FAMILIES

73% Active 9% Pending 18% Lapsed

One Active Family 26 r elated publications, 6 active granted patents, 2 p ending applications, and 16 years of activity

Level 5 Network Inc

Solarflare Communications Inc

Xilinx

Patent Application Patent Granted

2004

2005

2006

2007

2009

2010

2012

2014

2015

2017

2020

Family still under development in the US

First publication in the UK

First grant in China

Find us at PIUG Monday, May 24, 12:45-1:45: Workshop V isualizing IFI CLAIMS Direct Data in Tableau Wednesday, May 26, 1:15-1:45: Plenary CLAIM S Direct : The Platform for Data Integration and Product Innovation

Software delivering trusted content and data curation services

info@ificlaims.com

www.ifiCLAIMS.com/piu g.htm

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PIUG 2021  WEDNESDAY  Virtual Meeting

 W E D N E S D A Y A F T E R N O O N 12 : 4 5 P M – 4 : 0 0 P M

Finding Needles in the Haystack: Identifying Valuable Assets Using Citation Analyses Kevin J. Hess (HTS LLC) 1:45 – 2:20 pm

 ABSTRACT Many factors, both intrinsic and extrinsic, have been reviewed as predictors for patent value, including claim length, family size, prosecution length, citations, etc. Citation analysis considers patent documents that are cited by or citing to a subject patent – typically referred to as backward and forward cites, respectively. Citation counts may suggest whether the subject patent is foundational or derivative. However, more information can be derived from cites to a subject patent made in later rejection arguments by Patent Examiners, frequently termed “rejection analysis”. In this presentation, an overview of the field citation analyses is provided. A case study is developed to demonstrate how rejection analysis can be used to identify patents of value. A portfolio is analyzed to identify the patents cited in Examiner arguments. In conjunction with other comparative metrics, rejection‐cited patents are ranked and used to identify competitors with interest in the same markets. Company revenue data and portfolio size are used to map potential engagements for licensing, acquisition, or divestiture. The priority of these “rejecting” patents relative to the maturation of the subject technology can be used to determine how fundamental the assets are to the field, providing additional guidance as to how to determine which engagement scenario to pursue.  BIOGRAPHY Kevin Hess is patent analyst and programmanager at HTS LLC (HighTech‐Solutions), a technology firm focusing on intellectual property consulting for the wireless, video, telecommunications, semiconductor, battery, and consumer electronics markets. Kevin is also a subject matter expert and founder at Patent Technics LLC which specializes in patent technical analysis for the semiconductor, LED lighting and display, and additive manufacturing (3D printing) markets. Kevin’s IP experience has spanned many stages of the IP lifecycle, including: inventing, prosecution support, market analysis and valuation, reverse engineering, claim charting, and licensing/litigation. His areas of interest are patent analytics, IP landscaping and taxonomy development. His industry experience includes R&D and product development positions at Tyrex Corporation, Freescale Semiconductor, Motorola, Huntsman Corporation, Phillips‐Sumika, ConocoPhillips, and JemPac, a semiconductor startup. Kevin is a named inventor on over 50 US and foreign patents granted in semiconductors, electronics, and materials. He has published on patent search strategy, semiconductor device design and reliability, and polymer materials formulation. Kevin holds a Ph.D. in Chemical Engineering from the University of Texas at Austin. His interests include music and guitar collecting.

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PIUG 2021  WEDNESDAY  Virtual Meeting

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Finding Needles in the Haystack: Identifying Valuable Assets Using Citation Analyses  Kevin J. Hess (HTS LLC)

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PIUG 2021  WEDNESDAY  Virtual Meeting

 W E D N E S D A Y A F T E R N O O N 12 : 4 5 P M – 4 : 0 0 P M

Reviewing the Patent-Extracted Chemistry “Big Bang” in PubChem Chris Southan (TW2Informatics) 2:40 – 3:15 pm  ABSTRACT After the first IBM deposition of 2.5 million in 2012, few would have predicted that PubChem patent-extraction submissions would have accumulated ~40 million compounds by 2021 and be indexed against patent document numbers. The four major automated submitters (CIDs counts in millions) are SureChEMBL (21), Google Patents (18), WIPO (17) and IBM (11). Comparisons between sources indicates that prior-art coverage of drugs, clinical compounds and exemplified leads is now remarkably high. This means academics and SMES can nowmine patent chemistry without commercial sources but that large companies accessing these now also need to corroboratively search PubChem in parallel. This patent chemistry presents a big expansion in accessible SAR space along with the paradox that published patents are more open for text mining than the literature. However, automated extraction from documents is associated with challenges. These include a) the in-situ query interfaces for Google Patents, WIPO Patentscope and SureChEMBL have a different look and feel, b) these three PubChem sources are puzzlingly divergent in their extracted chemistry, c) database entries cannot directly indicate IP status d) structural quality and coverage is uneven and e) there is an over-indexing problem of common chemicals against many patent documents.  BIOGRAPHY Chris Southan has a PhD from the LMU Munich, MSc in Virology from Reading and a BSc Hons in Biochemistry from Dundee. His background in protein chemistry, bioinformatics, cheminformatics, drug discovery and pharmacology was acquired in both commercial and academic roles. Recent positions include Senior Cheminformatian for the Edinburgh University BPS/IUPHAR Guide to Pharmacology (2013–18 and 2020). He is the owner of TW2Informaics for consulting work (2011–12, 2019–20) and was a contractor for the AstraZeneca Knowledge Engineering Program (2009–11) and ELIXIR Database Provider Survey Coordinator at the EBI (2008–9). These were preceded by a Principal Scientist and Bioinformatics Team Leader position in AstraZeneca, Sweden (2004–7) and senior bioinformatician positions in the UK at Oxford Glycosciences Gemini Genomics and SmithKline Beecham. (see LinkedIN for details)

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PIUG 2021  WEDNESDAY  Virtual Meeting

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Reviewing the Patent-Extracted Chemistry “Big Bang” in PubChemses  Chris Southan (TW2Informatics)

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PIUG 2021  WEDNESDAY  Virtual Meeting

 W E D N E S D A Y A F T E R N O O N 12 : 4 5 P M – 4 : 0 0 P M

Searching for Unconventional Prior Art Necessitates Unconventional Techniques Ron Kaminecki (Kaminecki IP LLC) 3:15 – 3:45 pm

 ABSTRACT Standard searching practice involves the use of best available databases, commands, features and technology, but many of us fall into using the same techniques that have worked in the past. Taking advantage of the latest techniques and perhaps some of the little-used-but-still-useful features, in conjunction with a different view at a search problem can help to uncover previously unknown art. This presentation will look at some examples in the hopes that they can prove useful for those searches that cause problems. So, how do you find a patent application that rhymes?  BIOGRAPHY Ron has been involved with technical and patent information databases beginning with work at IIT Research Institute and has continued at different information companies including Dialog, Knight Ridder Information, Thomson Reuters, ProQuest and Questel. He currently teaches patent searching at the University of New Hampshire Law School and DePaul Law School, both online and in-person. He is a patent attorney with a BS in Chemistry, an MS in Computer Science and a JD with a Certificate in Patent Law, and is also an inventor, a co-author of a NISO standard on a search language and has worked as an expert witness. He also serves on various boards and committees in the patent community, urban and natural recreational concerns.

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PIUG 2021  WEDNESDAY  Virtual Meeting

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Searching for Unconventional Prior Art Necessitates Unconventional Techniques  Ron Kaminecki (Kaminecki IP LLC)