1. ©Jon R. Cavicchi
Professor of Research & IP Librarian
IP Professor Bootcamp
On Golden Pond 2013

3. Plot competitors' product
strategies, as well as ways to
"patent-block" them
Gain patent-protected entry into
lucrative but hotly contested
markets
Acquire exclusive rights to
emerging market-leading
technologies
Increase R&D effectiveness and
avoid infringement minefields
Detect possible infringers, as well
as likely sources of licensing
income

6. • National, regional PCT patent documents
• Bibliographic data from patent data (+?)
• Prosecution history
• Post issuance activity
• Not included but ripe
– Dockets, reported cases, verdicts
– License & royalty data, security interests & other
patent transaction data

8. • Evergreening and Drug Patents: Bark or Bite
– Bhaven Sampat, Columbia University, Mailman School of Public Health
• Do fixed patent terms distort innovation?Evidence from cancer clinical trials
– Heidi Williams, MIT Department of Economics
• From PI to IP: Yet Another Unexpected Effect of Tort Reform
– John Golden, University of Texas School of Law
• Rush to Judgment? Trial Length and Outcomes in Patent Cases
– Mark Lemley, Stanford Law School
• The Direct Costs from NPE Disputes
– Michael Meurer, Boston University School of Law
• Poisoning the Next Apple? How the America Invents Act Harms
Inventors
– David Abrams, University of Pennsylvania Law School

13. Bronwyn H. Hall is Professor in the Graduate School at the University of
California at Berkeley and Professor of Economics of Technology and
Innovation at the University of Maastricht, Netherlands. She is a Research
Associate of the National Bureau of Economic Research and the Institute
for Fiscal Studies, London. She is also the founder and partner of TSP
International, an econometric software firm. She received a B.A. in
physics from Wellesley College in 1966 and a Ph.D. in economics from
Stanford University in 1988.

18. Research Challenges
• Literature is highly interdisciplinary and
dispersed
• Comprehensive searching challenges
– Many do not use the term empirical in the title
– Legal and non-legal indexing not developed to
capture empirical scholarship
– Classifying requires human intervention

20. • Raw data using statistical software
– STATA, SAS, Excel & other database applications
• Open web platforms
– National & regional offices, EPO, WIPO…
• Proprietary patent platforms
– Thomson Innovation, Lexis Total Patent & many others
• Sources of existing statistical data

21. GTP for patent data experts in
business setting

26. • [TA Program addresses] access to quality patent data in terms of comprehensive and up-
to date data, i.e. not just a notification in a Gazette but full publication of all parts of
applications and granted patents, which is indeed often a deficient situation in
developing countries. [email from Lutz Mailänder, Head Patent Information
Section, WIPO Global IP Infrastructure Sector 5/31/13]
• WIPO’s technical assistance program for Industrial Property Offices falls within Strategic Goal IV - Coordination and
Development of Global IP Infrastructure.
• The program aims to assist offices of all sizes and from all regions to participate effectively in the global IP system.
The activities range from the provision of software systems for administration of IP rights to the setting up of
platforms to facilitate exchange of data and information related to IP rights between regional and international
groups of offices.
• Stakeholders of IP Offices (applicants, agents, researchers, local industry, policy makers, etc) are increasingly
demanding online services such as search systems, online registries and online filing systems.
– WIPO responds to this need by assisting IP offices with the digitization of their IP records and with preparing
data for online publication and for electronic data exchange. WIPO also provides the Patentscope search
service through which offices can provide high-quality online patent search to local and international users.

27. Committee on Development and Intellectual Property (CDIP)
• Eleventh Session Geneva, May 13 to 17, 2013
– Establishment of National Patent Register Databases
– In some 40 countries access to legal status information is mostly sufficient
– availability of legal status data of some 50 countries is limited, since many of them do not have
the legal status data in digital form and national on-line registers
– availability of the data does not necessarily mean that there is an easy access to data for the
identification of inventions available in the public domain.
– The availability of licensing information is limited in most countries.
– reliability of data needs to be improved, e.g. by increasing the frequency of updates and
synchronizing their publication…
– laborious processing of EPO INPADOC incurs delays of availability of the data that varies from 2
days to 3 months depending on the primary source.
– reliability of such data is greatly influenced by the correctness of the raw data obtained from
the primary sources, their completeness and their publication frequency.
– WIPO PATENTSCOPE information is provided only on a voluntary basis from selected PCT
Member States and with varying regularity since there is no obligation to provide such
information to WIPO.

29. • Raw data using statistical software
– STATA, SAS, Excel & other database applications
• Open web platforms
– National & regional offices, EPO, WIPO…
• Proprietary patent platforms
– Thomson Innovation, Lexis Total Patent & many
others

30. • Consider working with interdisciplinary
colleagues
– Economists
– Statisticians
– Information Retrieval
We are open to exploring research possibilities
related to search with a wide range of
people, including law professors, as I think our
record indicates. W. Bruce Croft, Ph.D. (5/13/13
email)

32. • National offices
• Regional offices
• Other governmental agencies
• NGOs

33. • Statistics Home Page & throughout site
– Home page
– USPTO Data Visualization Center Patents Dashboard
– Calendar & Fiscal Year Statistics
– Miscellaneous Patent Statistics, Other Web Pages

34. Electronic Data Products
• The USPTO makes patent public data available
in bulk form, which can be used to load into
databases or other analytical tools for
research and analysis.
• Bulk data is generally provided in the form of
ZIP files containing TIFF or PDF
images, structured ASCII files or concatenated
XML documents.
– EIPD Order Form

35. • Patent Technology Monitoring Team (PTMT)
– PTMT Custom Reports
• These costs may vary widely -- from as low as $50.00
plus $10.00 for every 30 single-sided report pages and
$25.00 per one and a half megabytes of uncompressed
electronic file output.

36. Dear Jon-
The PTMT custom reports are pretty much limited to the standard PTMT reports that you can see on the USPTO Web Site.
Our custom reports generally consist of those reports, limited to select groups of patents that a requester identifies. We
also will produce some very simple reports and/or data extractions (e.g., lists of inventors and their patents) at reasonable
cost.
Our staff is quite small, consisting of me and my colleague, Paul Harrison, and a part time programmer; our work schedule
is pretty much fully committed. As a result of our limited staff resources and our workload, we aren't able to act as a
research arm for researchers wanting to run a multitude of reports (as much as we might like to be able to do so). However,
we try to help researchers with their questions when we can and to provide guidance to the researchers when they work
with the patent data such as the data obtained from the USPTO Web Site and the PTMT Custom Patent Data DVD.
For law professors who lack the technical expertise to work with large data sets in a database, the best options are likely to
be for them to work with a private patent data provider, which can be expensive, or to find a colleague with technical
expertise who can work with them in a joint research project.
Just as an additional comment, professors interested in patent data relating to the patenting process (e.g., number of first-
action issues having a particular characteristic, number of patent applications subject to restriction requirements, etc.) will
probably have to submit a pointed request for the data/statistics and may need to file a FOIA if those data aren't already
available on the USPTO Web Site and aren't otherwise readily available.
Jim

39. • FAQ - Patent statistics and patent mapping
• Be aware that simply counting patents is often not enough, since the
value of patents is so different from case to case - you need to assess
the importance of the invention.
– Significant indicators include: patent family size, the length of time the
patent is in force and citation information.
• Some sources of patent statistics are limited to data from a particular
geographical area, ESPACE Bulletin for example containing only
European publication data.
• You should also always compare the resulting information with other
sources, such as market information and expert opinions. You should
also be familiar with the patent grant procedure.

43. • Policy makers need empirical evidence of how
different IP strategies can affect innovation
and GDP growth.
• WIPO is helping to address the lack of reliable
economic research on IP by developing
methodologies and commissioning economic
studies to assist policy makers in their
decision-making.

44. • IP Outreach Research - Surveys Database
– WIPO's Research Database contains hundreds of
summaries of empirical research studies which
examine the awareness, attitudes and behavior of
different groups towards the creation, use and
respect of intellectual property. The continuously
updated database is searchable by
subject, country, year and more.

45. • The mission of the Organisation for Economic Co-operation and
Development (OECD) is to promote policies that will improve the
economic and social well-being of people around the world.
• Indicators on patents
– The OECD Patent Database was set up to develop patent indicators
that are suitable for statistical analysis and that can help address S&T
policy issues.
– The Patent Database covers data on patent applications to the
European Patent Office (EPO), the US Patent and Trademark Office
(USPTO), patent applications filed under the Patent Co-operation
Treaty (PCT) that designate the EPO, as well as Triadic patent families.
– Data mainly derives from the latest version of the EPO’s Worldwide
Patent Statistical Database (PATSTAT).

46. More OECD Tools
• OECD Compendium of Patent Statistics
• Raw data on patents
– OECD Triadic Patent Families Database, July 2011: set of
patents filed for at the EPO, the Japan Patent Office (JPO) and
granted by the USPTO that share one or more priority
applications.
– OECD REGPAT Database, July 2011: patent applications to the
EPO and PCT filings linked to more than 5 500 regions using the
inventors/applicants addresses (covering regions from selected
countries outside the OECD area).
– OECD Citations Database, July 2011: citations from patents
published by the EPO and the WIPO (PCT).
• OECD "Harmonised Applicants' Names" database
• OECD’s Core Data

47. • Conference on Patent Statistics for Decision
Makers
• Methodological information helps to design
and interpret patent statistics
• OECD Patent Statistics Manual
• Patent Statistics Task Force

52. Growth of EPO & WIPO Collections
You have meddled with the primal forces of nature, Mr. Beale, and I won't
have it! Is that clear?
• Having been in this industry for over 10 years my sense is
that the free services have become an impediment to the
growth and development of more robust offerings and
analytic capabilities from the private sector.
– Peter Vanderheyden, Former Vice President, Global
Intellectual Property, LexisNexis

53. • Bibliographic platforms since 1970’s
• Followed by full text issued U.S. patents
• Followed by European and PCT docs
• Followed by Asian bib and translated
collections
• Followed by bib and translated collections
from 90 other countries

54. • Search
• Analysis
• Work flow and project tools
• Specialty searches
– Chemical structures and DNA sequences

55. Tools to Compare Platforms

56. • Chronological Scope of data limited
• only be bibliographic data
• lack post issuance activity
• contain data errors
• Keyword obfuscation of invention
• Lack assignee normalization
• Not be readily found using any
classification scheme

57. U.S. Patents Riddled With
Mistakes, Survey Finds
• An astounding 98% of approved U.S. patent applications contain
mistakes ranging from simple spelling errors to omitted claims.
• The mistakes were uncovered by Intellevate, the world’s largest
patent proofreading organization. More than half of the mistakes
it found at its office in India were made by the U.S. Patent and
Trademark Office, according to Intellevate chief executive Leon
Steinberg.
• Mistakes on everything
– leaving out portions of the patent claims
– putting in the wrong drawings
– spelling

58. • Short, meaningless titles and abstracts
• Patent documents notorious for vagueness
• Language may be abstract - patent attorney
is own lexionographer
– Frisbee = levitating disk
• Vocabulary may not be standardized or even
exist
– Kevlar = optically anisotrophic aromatic polyamide
dopes classed with synthetic resins and not tires
or bullet proofing

59. – Too broad?
– Too narrow
– Out of date?
– Neglected?
– Unclassifiable (U.S. Class 1/1)
– Untested? (CPC)
– Patented invention may be in different technology from that
in which it is eventually applied?
• Velcro = classed in stock materials while applications
found in medical and amusement devices

64. Non textual searching….
• Challenges
– Figures
– Drawings
– Diagrams
– Structures
– Sequences
– Letterforms &
typography
• Emerging
Solutions
– PATSEEK
– ImageSeeker by
LTU
– PatMedia

65. Alternative approaches
“The 1 click that takes 1000 clicks on other services”
• Search and examination relied on operator quality
and could not be held to an empirical standard.
• Heuristics
• Latent semantic analysis
• Natural language

68. Work Flow & Collaboration Tools

69. Working with huge data sets

70. Powerful analytical and visualization
tools
• Clustering Tool – Quickly find valuable
relationships through linguistic analysis of search
terms.
• ThemeScape Maps – Easily identify predominant
concepts and see their relationship to one
another.
• Citation Maps – Trace the history of an invention.
• Charting – Instantly create lists or charts that are
meaningful to your search.

77. Reading Content Maps
• Documents containing
similar content are drawn
near each other in the map
• Contour lines indicate
relative document density
• Tall peaks contain many
documents, while the
smaller peaks contain fewer
documents
• Peaks that are located
closer to each other have
more closely related
content than peaks that are
located farther away

78. Showing specific data compared to the
full landscape.

79. Citation Mapping

81. Sample map: By Time &
Generation, Backward Only, 5
Generations, 10-Year Increments

82. You can assign colors to nodes according to patent record
properties By selecting Assignee from the menu, you will be
able to see, by color, the records with the same assignee.

84. Royalty Rate Data