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  <front>
    <journal-meta />
    <article-meta>
      <contrib-group>
        <contrib contrib-type="author">
          <string-name>Sebastian Erhardt</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <aff id="aff0">
          <label>0</label>
          <institution>Max Planck Institute for Innovation and Competition</institution>
          ,
          <addr-line>Marstallplatz 1, Munich, Bavaria, 80539</addr-line>
          ,
          <country country="DE">Germany</country>
        </aff>
      </contrib-group>
      <fpage>36</fpage>
      <lpage>50</lpage>
      <abstract>
        <p>Patent Landscaping is a valuable instrument for many stakeholders, such as patent examiners, company decision-makers, researchers, and policymakers. They use this method to analyze the state-of-the-art, compare organizations' patenting activities, assess entire industries, or identify gaps in internal R&amp;D activities. However, analyzing vast amounts of patent documents and aggregating and visualizing information is cumbersome and complex. The paper presents an innovative approach to automated patent landscaping by combining natural language processing models with approximate nearest neighbor search, dimensionality reduction, and clustering methods. This entire approach only uses the textual content of the underlying patents and does not use any additional meta-data, such as technology classes or citations.</p>
      </abstract>
      <kwd-group>
        <kwd>eol&gt;Patent Landscaping</kwd>
        <kwd>Patent Portfolio Analysis</kwd>
        <kwd>Machine Learning</kwd>
        <kwd>Dimensionality Reduction</kwd>
        <kwd>Clustering</kwd>
      </kwd-group>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>1. Introduction</title>
      <sec id="sec-1-1">
        <title>Patent landscaping also plays a significant role in de</title>
        <p>tecting potential infringements and assessing the validity
The patent landscaping process involves analyzing and of existing patents by examining their legal status. This
visualizing a collection of patents within a specific tech- provides stakeholders with a clear view of the
competnological field, industry, or organization. The objective is itive landscape and potential barriers to entry for new
to gain insights into the intellectual property landscape. innovations. For businesses and investors, this
informaDepending on the unit of analysis, the results can be tion is critical for designing around existing technologies,
utilized for various purposes. identifying licensing and merger and acquisition targets,</p>
        <p>
          The process is used by diverse stakeholders, includ- and reducing legal risks associated with intellectual
proping researchers, patent examiners, decision-makers, R&amp;D erty.
managers, investors, and policymakers [
          <xref ref-type="bibr" rid="ref1">1</xref>
          ]. It is a cru- Furthermore, patents play a crucial role in helping
orcial tool for various practical applications, helping or- ganizations secure external financing. They can attract
ganizations navigate the complex terrain of intellectual venture capital [
          <xref ref-type="bibr" rid="ref2">2</xref>
          ], serve as collateral for debt
assignproperty. Patent landscaping informs strategies and de- ments [
          <xref ref-type="bibr" rid="ref3">3</xref>
          ], and even increase the valuation during initial
cisions across multiple domains by providing valuable public oferings (IPOs) [ 4]. However, investors require a
insights into the current state of technology, emerging comprehensive overview of these assets. They must also
trends, key players, and potential competitors. These in- evaluate the competition and assess the value of these
sights are tailored to meet specific needs, such as guiding assets to identify potential risks [
          <xref ref-type="bibr" rid="ref8">5</xref>
          ].
research directions, enhancing patent examination pro- Moreover, patent landscapes can significantly
influcesses, making informed investment choices, and shaping ence policy-making. Governments and international
inorganizational and policy frameworks. That helps stake- stitutions use patent landscapes as a critical factor in
deholders to manage and innovate adeptly within their veloping science and technology policy [6]. For example,
respective fields. the OECD generates patent landscapes of diferent areas
        </p>
        <p>
          One of the primary uses of patent landscaping is to as- to map scientific and technological trends [
          <xref ref-type="bibr" rid="ref1">1</xref>
          ]. The World
sess technological progress and track innovation within Intellectual Property Organization (WIPO) also publishes
specific fields. This involves identifying which organi- its patent landscapes. The organization is mandated to
zations — be they companies, research institutions, or produce patent landscape reports1 in areas of
particuother entities — are actively working in an area, what lar interest to developing and least developed countries,
technologies and industries they are targeting, and how such as public health, food security, climate change, and
technical problems are being solved. Additionally, un- the environment.
derstanding where patents are being filed and who the Organizations use this process internally for strategic
key players are helps stakeholders gauge the breadth and research and technology transfer decisions. It helps
stakedepth of activity in a particular domain. holders understand current trends and patterns in
patenting activity and innovation, guiding informed
decisionmaking processes. This includes optimizing internal R&amp;D
5th Workshop on Patent Text Mining and Semantic Technologies
(PatentSemTech) 2024
* Corresponding author.
$ sebastian.erhardt@ip.mpg.de (S. Erhardt)
© 2024 Copyright for this paper by its authors. Use permitted under Creative Commons License
Attribution 4.0 International (CC BY 4.0).
        </p>
      </sec>
      <sec id="sec-1-2">
        <title>1See https://www.wipo.int/patentscope/en/programs/patent_landsc</title>
        <p>
          apes/ (retrieved 22.04.2024)
processes and establishing a comprehensive and well- sures that resources are used more eficiently.
Moreinformed IP strategy [
          <xref ref-type="bibr" rid="ref1">1</xref>
          ]. over, patent landscaping facilitates increased revenue
        </p>
        <p>Furthermore, patent landscaping aids in exploring com- opportunities through licensing. By identifying
potenpetitor activity and enhancing competition and market tial licensing opportunities, companies can monetize
intelligence. It provides insights into where competitors their patents beyond direct product sales, leveraging
invest resources and predicts the next products they will their intellectual property for broader financial gains.
likely release. Of course, they are also constantly mon- Additionally, patent landscaping provides researchers,
itoring their competitors for possible infringements of policy-makers, companies, and investors with a better
their patents. They also look out for potential targets for and clearer overview of the patent environment for
speM&amp;A activities [7]. cific technologies. This comprehensive understanding</p>
        <p>By presenting complex patent data visually, stakehold- allows for strategic decision-making, ofering insights
ers can better comprehend and derive actionable insights into product diferentiation and market positioning based
based on empirical evidence. Visual representations such on intellectual property analysis.
as charts, graphs, heat maps, network diagrams, and
other visualizations are crucial in identifying patterns,
relationships, and clusters within the patent dataset. These 2. Related Work
tools make it easier for decision-makers to grasp the
intricacies of the intellectual property landscape at a glance.2 There are simple of-the-shelf metadata visualization
plat</p>
        <p>Interpreting these visual findings involves drawing forms like PatentsView that are used for patent
landconclusions about potential opportunities, gaps, and scaping. It was initiated in 2012 by the U.S. Patent and
threats within the IP landscape. This analysis is vital Trademark Ofice and is a comprehensive platform for
vifor guiding decision-making, strategic planning, and fos- sualizing, disseminating, and analyzing intellectual
proptering innovation eforts. Through efective visualization, erty data. It is tailored to support a diverse user base,
patent landscaping not only aids in understanding but including researchers, policymakers, and small business
also significantly improves communication among stake- owners. It ofers several essential tools for patent
landholders. This facilitates a more informed and collabora- scaping: visual analytics for exploring patent data, an
tive approach to managing and capitalizing on intellec- API tool for data integration and advanced querying, and
tual property. a data query builder for creating customized datasets.3</p>
        <p>
          While patent landscaping is an invaluable tool, it is Trippe (2015), listed a vast array of analysis tool
essential to acknowledge that it is also a complex and providers. Many of these tools use the technologies
detime-consuming process [
          <xref ref-type="bibr" rid="ref1 ref8">5, 8, 9, 1, 10</xref>
          ]. This complexity scribed in this section.
arises primarily because the detailed analysis and com- To better understand a variety of patent documents and
parison of patent portfolios require a deep understanding associated technological information, previous research
of patent searching, analysis, and interpretation. Each of has primarily utilized the classification systems
estabthese tasks demands a high level of expertise, which many lished by patent ofices [ 12, 13, 14]. However, these
classicompanies and organizations may not have in-house. Fi- ifcations often lack the granularity necessary to fully
repnally, the accuracy of these reports is also limited since resent the specific technologies involved [ 15, 16, 17, 18].
these processes can be prone to human error since they Determining patent similarity is a fundamental aspect
rely on manual review and analysis of patent documents. of patent landscaping. This typically involves analyzing
This can lead to an inaccurate or incomplete analysis of the text of patent documents using various text-mining
althe patent landscape [9, 8]. Moreover, much of the work gorithms. Initially, simple vectorized keyword extraction
in patent landscaping, including assessing vast arrays methods were employed to understand the relationships
of data and identifying relevant patterns and insights, is among claim elements [19].
done manually. However, since the number of analyzed Additionally, semantic text grammars have been used
patent documents can reach hundreds of thousands [11], to delineate Subject Action Object (SAO) structures
it is impossible to even for the largest teams of experts. within patents [20, 21, 9, 22, 23, 24, 25].
        </p>
        <p>Despite its complexities, the benetfis of making better- Lexical databases, such as WordNet, have also played
informed decisions through patent landscaping are sig- a role in mining patents for key technological concepts,
nificant and multifaceted. Firstly, eliminating redun- enhancing the extraction of meaningful data [9, 23].
dant research eforts helps reduce the costs associated More recently, models that focus on semantic
simiwith research and development. At the same time, it larity leveraging word embeddings have been explored.
shortens the time needed for commercialization and en- Skripnikova et al. (2021) applied a pre-trained word2vec</p>
      </sec>
      <sec id="sec-1-3">
        <title>2Source: https://www.wipo.int/patentscope/en/programs/patent_</title>
        <p>landscapes (retrieved 22.04.2024)</p>
      </sec>
      <sec id="sec-1-4">
        <title>3Source: https://patentsview.org/what-is-patentsview (retrieved</title>
        <p>22.04.2024)
model in combination with TF-IDF to create patent
landscapes, utilizing dimensionality reduction and clustering
techniques to analyze document relationships. Similarly,
Abood and Feltenberger (2018) introduced an automated
landscaping approach using patent metadata and word
embeddings.</p>
        <p>Erhardt et al. (2022) employed the SPECTER [27] model
to generate document embeddings in combination with a
comprehensive system for semantic searches. The system
is tailored to patents and scientific publications.</p>
        <p>Since SPECTER was only trained on scientific
publications, Ghosh et al. (2024) further enhanced this field by
presenting dedicated patent similarity models.</p>
        <p>This paper describes an approach to fuse these
advanced methodologies by Erhardt et al. and Ghosh et al.,
building upon the frameworks established by Abood and
Feltenberger and Skripnikova et al. to refine automated
patent landscaping techniques.</p>
      </sec>
    </sec>
    <sec id="sec-2">
      <title>3. Methodology</title>
      <p>36–50
This section introduces a new automated method for
creating patent landscapes. This method significantly
reduces many previously discussed constraints by
utilizing human insights, semantic similarity, approximate
nearest neighbor search, dimensionality reduction, and
clustering. The most important aspect of this approach
is that it only relies on text. No additional metadata is
needed.
and patent claims. PATSTAT 4, ofered by the European
Patent Ofice, has established itself as a leading source of
patent intelligence and statistics. It allows for advanced
statistical analysis of patent data, including
bibliographiLogic Mill This approach relies heavily on the capa- cal and legal events. This approach was used as a source
bilities of Logic Mill [26], a software system wrapped to obtain the title and abstract. Furthermore, additional
around an extensive vector database. It is designed to metadata is used as well. Another benefit of PATSTAT is
ifnd semantic similar documents across single or multi- a simple aggregation of organization names. In addition
ple domain-specific corpora. It employs state-of-the-art to the default metadata, Patstat provides aggregated and
Natural Language Processing (NLP) techniques to create harmonized organization names linked by ownership
renumerical representations of documents, utilizing a vast lations to the patent documents. That is especially helpful
pre-trained language model for this purpose. The system in pinpointing patent documents with company names
specializes in analyzing scientific and patent documents that are written in diferent styles or missing company
and includes a database of over 200 million documents. designations.</p>
      <p>Users can access Logic Mill through an Application
Programming Interface (API) or a web interface. Logic Mill 3.2. Seed Documents
is regularly updated and can be adapted to include text
corpora from various other fields. It is envisioned as a Similar to the method introduced by Abood and
Felversatile tool for future research in the social sciences and tenberger (2018), users must select what are known as
beyond. The approach uses it to retrieve pre-computed seed patents. Any mistakes made in choosing these seed
embeddings and identify the nearest neighbors of refer- patents will afect the entire resulting landscape.
Thereence documents. fore, it is crucial to ensure that the patents included in
the seed set are relevant to the subject matter. The seed
3.1. Patent Data set should only contain patents that are relevant to the
desired landscape and accurately represent the theme.</p>
      <sec id="sec-2-1">
        <title>The core of the process are patent documents, and espe</title>
        <p>cially patent text. Patent documents contain multiple text
segments, such as a title, abstract, detailed description,</p>
      </sec>
      <sec id="sec-2-2">
        <title>4See https://www.epo.org/searching-for-patents/business/patstat.ht</title>
        <p>ml</p>
      </sec>
      <sec id="sec-2-3">
        <title>CPC-Class Depending on the hierarchy, use the patent</title>
        <p>documents of a Section, Class, Subclass, Group or Main
Group of the Cooperative Patent Classification (CPC)
system and analyze the patents within your unit of analysis.</p>
        <p>Uncover diferences and similarities between diferent
hierarchical siblings.</p>
        <p>Depending on the use case, the seed selection can com- essary encoded documents are stored. According to a
prise diferent documents. Based on the use case and the similarity metric (e.g., Cosine Similarity see Equation
available metadata, end-users are able to gain insights in 1 or Euclidean Distance / L2 Distance see Equation 2),
various contexts. these documents are indexed, and the database is able
to provide the approximate nearest neighbors in
highHand Picked Technology Assessment For a tech- dimensional space according to these metrics. After all
nology assessment, one would start with the essential documents are in the database, users feed the encoded
patents and then expand using related patents. seed query documents to the database and retrieve the
closest semantically similar documents. They can specify
Firm-Level For a patent portfolio analysis of an or- the number of nearest neighbors that should be included
ganization’s patent portfolio, one would start with the for each reference document. Otherwise, they also can
patent document of the focal organization. Along the specify a cut-of/threshold value. If the similarity score
way, competitors of the focal organization can be identi- is below this value, the patent will not be added to the
ifed using the approximate nearest neighbor search. landscaping process.</p>
        <p>In the case of Logic Mill, these representations are
stored in a vector search database called Elastic Search5. It
uses the approximate nearest neighbor algorithm HNSW
[29] to retrieve semantically similar documents. This
approach uses the Logic Mill API to retrieve the closest
neighbors based on the IDs of the seed documents.</p>
        <p>Scientific Articles This text-based approach ofers
several benefits. First, it can bridge the gap between
scientific publications and patents by using scientific
papers as starting points. Additionally, this method can
be applied to scholarly articles to create a
comprehensive research landscape. Combining scientific and patent
documents could also generate a useful tool for prior art
exploration.</p>
      </sec>
      <sec id="sec-2-4">
        <title>Since the numerical representations of the encoded</title>
        <p>patent documents generated by SPECTER / Pat-SPECTER
is a vector of 768 dimensions or 1024 by PatSPECTER,
the dimensions have to be reduced since they are
impossible to visualize and interpret for humans. This can be
done through a process called dimensionality reduction.</p>
        <p>There are various methods, such as the linear variants
Principal Component Analysis (PCA) [30] or t-Distributed
Stochastic Neighbor Embedding (t-SNE) [31], as well as
3.3. Encoding the non-linear variants such as Uniform Manifold
ApproxAll necessary documents need to be encoded before con- imation and Projection (UMAP) [32]. The objective of
tinuing. This can be done with any machine-learning these methods is to increase interpretability while at the
document encoder model that can encode text into a same time minimizing the loss of information [33, 34].
dense numerical vector. In the case of patents, a rea- For this approach, UMAP was chosen since it ofers
sonable candidate would be SPECTER Cohan et al. (2020. multiple advantages, as seen in Table 1. On the one hand,
This machine-learning model encodes the title and the ab- it can preserve the data’s global and local structures. In
stract of the patent into a 768-dimensional vector. Since addition, it can work with non-linear data, and finally, it
the model was trained by leveraging the citation graph is fast.
of scientific documents, it has learned the semantic simi- PCA tSNE UMAP
larities of related texts. [30] [31] [32]</p>
        <p>Other state-of-the-art models, like SPECTER 2 [27], Non-linear data No No Yes
PaECTER or Pat-SPECTER of [28]. Local structure Yes Yes Yes</p>
        <p>As stated before, we rely on the functionality of Logic Global structure No Yes Yes
Mill during this approach and make use of the pre- Speed Very Fast Slow Fast
computed embeddings for our data. The initial version of
Logic Mill uses SPECTER [27], while the current version Table 1
uses Pat-SPECTER [28]. Overview of dimensionality reduction algorithms.</p>
        <sec id="sec-2-4-1">
          <title>3.5. Dimensionality Reduction</title>
        </sec>
        <sec id="sec-2-4-2">
          <title>3.4. ANN Search</title>
        </sec>
      </sec>
      <sec id="sec-2-5">
        <title>A vector search database is needed to automatically find similar semantic documents. In this database, all nec- 5See https://www.elastic.co/</title>
      </sec>
      <sec id="sec-2-6">
        <title>During the dimensionality reduction process of UMAP,</title>
        <p>various similarity measures can be selected to identify</p>
      </sec>
      <sec id="sec-2-7">
        <title>Additionally, the clustering algorithm includes param</title>
        <p>the most similar neighbors in the high-dimensional space.
eters that can be adjusted after the user reviews an initial</p>
      </sec>
      <sec id="sec-2-8">
        <title>In this approach, cosine similarity and Euclidean distance visualization. These settings vary depending on the specan be used.</title>
        <p>Cosine Similarity
cos(a, b) =</p>
        <p>a · b
‖a‖‖b‖
= √︀∑︀
∑︀</p>
        <p>=1 ab
=1 (a)2√︀∑︀
=1 (b)2
Euclidean Distance / L2 Distance
⎯⎸ 
=1
2(a, b) = ‖b − a‖2 = ⎷⎸∑︁(b − a)2</p>
      </sec>
      <sec id="sec-2-9">
        <title>There are additional algorithm parameters that can be ifne-tuned for every case. Initially, the default settings are selected.</title>
      </sec>
      <sec id="sec-2-10">
        <title>The outcome of this reduction is the transformation</title>
        <p>from a 768/1024 dimensional representation into a 2 or</p>
      </sec>
      <sec id="sec-2-11">
        <title>3 dimensional one.</title>
        <sec id="sec-2-11-1">
          <title>3.6. Clustering</title>
          <p>Using the resulting 2/3-dimensional data structure from
the previous dimensionality reduction step, a
clustering algorithm is applied. The HDBSCAN [35] algorithm
was selected for this approach. As seen in Table 2, its
parameter minimum amount of cluster members is very
intuitive, and the modest speed is negligible. In
comparison, K-Means [36] would not be feasible here since it
is not clear in advance how many clusters are going to
be needed. Since it requires some domain knowledge to
form the neighborhood parameter of DBSCAN [37], it
was not a feasible option for a generic and automated
end-to-end approach. Furthermore, Grootendorst (2022)
showed promising results by combining HDBSCAN [35]
with UMAP [32]. It also generates better results if the
clustering is done after the dimensionality reduction [38].</p>
        </sec>
      </sec>
      <sec id="sec-2-12">
        <title>The outcome of this step is a cluster ID label attached to each landscape document.</title>
        <p>Type
Speed
Param.</p>
        <p>K-Means
[36]
Centroid
Based
Very Fast
Number of
Clusters</p>
        <p>DBSCAN
[37]
Density
Based
Modest</p>
        <p>Neighborhood
the patent documents, the approach uses the c-TF-IDF
[38] algorithm to generate cluster names. This is also
in line with Grootendorst (2022). Here, the traditional
document-level textitTF-IDF is transformed to function
(2) efectively on a cluster-specific basis, which is essential
for distinguishing the unique characteristics of each
cluster. This approach, known as c-TF-IDF, modifies the
standard method to reflect the diferences between clusters
better.</p>
      </sec>
      <sec id="sec-2-13">
        <title>Initially, each cluster is treated as a singular document,</title>
        <p>aggregating the frequencies of each word within that
cluster. This step forms the basis for a class-specific term
frequency. An L1 normalization is applied to normalize
these frequencies, ensuring that variations in cluster sizes
do not skew the data.</p>
      </sec>
      <sec id="sec-2-14">
        <title>Following this, the inverse document frequency is com</title>
        <p>puted by taking the logarithm of the quotient of the
average word count per cluster and the occurrence of each
word across all clusters, incremented by one to maintain
non-negative values. This calculation yields the modified</p>
      </sec>
      <sec id="sec-2-15">
        <title>IDF values.</title>
        <p>c-TF-IDF</p>
        <p>W, = ‖tf ,‖ × log 1 +
(3)
︂(</p>
        <p>A )︂
f
where tf , is the frequency of word  in class , f is
the frequency of word  across all classes, and A is the
average number of words per class.</p>
      </sec>
      <sec id="sec-2-16">
        <title>Finally, these two metrics—the class-based term</title>
        <p>frequency and the adjusted inverse document
frequency—are multiplied to derive a significance score for
each word within a cluster. This method deviates from
the conventional TF-IDF to provide a more tailored and
efective topic representation [38].</p>
      </sec>
      <sec id="sec-2-17">
        <title>In this approach, the c-TF-IDF aggregates the most</title>
        <p>common words per cluster and generates a fictional
cluster name based on the, e.g., top 5 most common words.</p>
      </sec>
      <sec id="sec-2-18">
        <title>Such cluster names would look like this: • als neurodegenerative neurons disease mns • manufacturing material printing materials 3d • tumor nitrite taxol cancer lmp</title>
        <sec id="sec-2-18-1">
          <title>3.8. Visualization</title>
        </sec>
        <sec id="sec-2-18-2">
          <title>4.1. Patent Landscaping - mRNA</title>
        </sec>
      </sec>
      <sec id="sec-2-19">
        <title>During the COVID-19 pandemic, messenger RNA</title>
        <p>(mRNA) vaccines have attracted considerable attention.
BioNTech and Moderna vaccines were the first mRNA
vaccines to be approved by a drug regulatory agency
worldwide. Intensive research had been conducted on
mRNA technology for many years prior to the
development of the COVID-19 vaccines7.</p>
        <p>The underlying technology used to develop such
vaccines can be protected by patents. In an attempt to
demonstrate the complexity involved in IP protections and
licensing deals surrounding COVID-19 vaccine technology,
Gaviria and Kilic (2021) developed a preliminary patent
network analysis. Li et al. (2022) characterized the patent</p>
      </sec>
      <sec id="sec-2-20">
        <title>6See https://plotly.com/</title>
        <p>7See https://www.pei.de/DE/newsroom/hp-meldungen/2022/22
0221-covid-19-pandemie-impfstofe-im-fokus.html?nn=169730
(retrieved 22.04.2024)</p>
      </sec>
    </sec>
    <sec id="sec-3">
      <title>4. Results</title>
      <sec id="sec-3-1">
        <title>This approach visualizes traditional charts and graphs</title>
        <p>using the Plotly6 library. This library can be used by
Python, R, and JavaScript. It allows for interactive, web- Objective This use case tries to generate a patent
landbased visualizations, including line plots, scatter plots, scape analysis of mRNA patenting organizations. These
bar charts, and more. Plotly uses a declarative syntax, findings are then compare to the studies of Gaviria and
which makes it easy to create and customize 2D/3D plots. Kilic (2021) and Li et al. (2022).</p>
        <p>It also supports a wide range of chart types and
customization options. Additionally, Plotly allows for the creation Data BioNTech, CureVac, and Moderna have all
deof interactive dashboards, which organize and present veloped mRNA-based vaccine candidates for COVID-19.
multiple plots in one place. Furthermore, the plots can Gaviria and Kilic (2021) also display Acuitas and
Arbube embedded into web pages and Jupyter notebooks. It tus. The identification of the companies was made using
is an open-source library that can be used in commercial the han_name column in the tls206_person table of
and non-commercial applications [39]. Patstat. For the search, the term BIONTECH, CUREVAC,</p>
        <p>A 3D/2D scatterplot is used to visualize the landscapes. MODERNATX, ACUITAS, ARBUTUS were used. Only
Here, each dot is a patent document. The x and y (or patents from the EPO were considered. No attention was
z) coordinates result from the dimensionality reduction given to whether the patents were still active. All patent
process. documents (A1, A2, B1, etc.) were used. These initial</p>
        <p>For the visualization of clusters, the so-called convex documents represent the so-called seed documents in
hull was computed. The convex hull is commonly used this approach.
in computational geometry and computer graphics to
create a shape that encloses a group of points. In other
words, the smallest "convex" shape can be drawn around
a set of points such that all the points are on or inside
the shape [40].</p>
        <p>This approach uses the Virtanen et al. (2020)
implementation of the Quickhull algorithm [40]. The input
to the algorithm is the set of points of each cluster. The
output is a polygon of the outermost points.</p>
      </sec>
      <sec id="sec-3-2">
        <title>Landscape Seven hundred fifty patent documents</title>
        <p>were retrieved from Patstat by using the organization
search terms. The initial step is to obtain the
numerical representation of these documents generated by
SPECTER [27]. These were retrieved using the API of the
Logic Mill system [26]. The embeddings were then used
for dimensionality reduction and clustering. Finally, the
convex hull of the cluster was calculated. Cluster Names
were generated using the C-TF-IDF algorithm. An
interactive visualization can be seen in Figure 2. These
visualizations make use of 3 dimensions, and the clusters
are indicated as transparent hulls around the dots. Each
dot represents a patent document. The color indicated
the respective companies. Users can now interactively
explore the patent landscape based on the patents of these
organizations.</p>
      </sec>
      <sec id="sec-3-3">
        <title>In this section, two use cases are presented to demonstrate the approach.</title>
        <p>landscape of mRNA vaccines and analyzed 1852 patent
families.</p>
      </sec>
      <sec id="sec-3-4">
        <title>Expand In the second step, the competitors of the se</title>
        <p>lected companies were retrieved to generate the patent
landscape of the mRNA industry. The already encoded
patent documents of the initial organizations
(BIONTECH, CUREVAC, MODERNATX, ACUITAS, ARBUTUs)
were used as seed documents. The embeddings of the
documents were used in combination with the Logic Mill
API to retrieve the closest neighbors. For each reference
document, the closest ten documents were retrieved. The
result set was then used to obtain the organizations.
Finally, the results are aggregated and counted based on
the organization’s name. The top 50 results can be found
in Appendix 3. The han_names were not resolved to an
organization level. There are multiple legal entities that
belong to the same organization. This can be seen in the
histogram in Figure 3.
resented in the patent landscape.</p>
        <p>On the other hand, important mRNA organizations
were missing. Sanofi, Enanta Pharmaceuticals, Evelo
Biosciences, the United States Department of Health and
Human Services, and the Chinese Academy of
Agricultural Sciences were not present. This could be due to the
fact that only patent documents of the EPO were
analyzed. The analysis did not include the USPTO, WIPO,
and the Chinese Patent Ofice.</p>
      </sec>
      <sec id="sec-3-5">
        <title>Interpretation This use case shows the capabilities</title>
        <p>of the approach to automatically generate patent
landscapes. Only initial reference organizations were selected.
All other competitors have been identified automatically.
This was done by only relying on the encoded patent
text. With the help of an approximate nearest neighbor
search in a vector search database.</p>
        <sec id="sec-3-5-1">
          <title>4.2. Patent Landscaping - Quantum</title>
        </sec>
        <sec id="sec-3-5-2">
          <title>Computing</title>
          <p>
            The latest technological advancements have shed light
on the capabilities of quantum technology across
various fields. Among them are simulation, computation,
and communication. Quantum computers use
superconducting qubit-based programmable processors. They can
compute tasks in minutes, whereas state-of-the-art
classical supercomputers would take approximately tens of
thousands of years [
            <xref ref-type="bibr" rid="ref6">44</xref>
            ].
          </p>
          <p>In their report, Aboy et al. (2022) produce a patent
landscape of quantum technologies over the last 20 years.
They evaluate patenting and strategies, key owners,
dominant portfolios, and geographic distribution of patent
activity, among other factors.</p>
        </sec>
      </sec>
      <sec id="sec-3-6">
        <title>Objective This use case uses a single reference company in the quantum technologies domain to generate a patent landscape.</title>
      </sec>
      <sec id="sec-3-7">
        <title>Comparing the automatically retrieved organizations</title>
        <p>with the work of Gaviria and Kilic 2021, overlaps can
be identified. UPenn (University of Pennsylvania) and
UBC (University of British Columbia) could be identified
automatically.</p>
        <p>Comparing the results with Li et al. 2022, additional Analysis The initial response of Patstat was 23 patent
overlaps could be found. Here, Merck &amp; Co., Glaxo- documents. The numerical representation was obtained
SmithKline, Boehringer, Roche, University of California,
and TRON Translational Oncology Mainz were also
repusing the Logic Mill System [26]. The approximate near- Interpretation It was shown that the approach is
caest neighbors of the documents were retrieved using an- pable of identifying competitors for a patent landscape.
other API endpoint. The documents were then resolved This was done only by using raw patent text, a
docuback to the owner. Afterward, they are aggregated and ment encoder, and a search database. The approximated
counted. nearest neighbor search returned competitors of Rigetti.</p>
        <p>The top 20 results can be seen in Figure 4. The top 50 These could be matched with the organizations presented
results can be found in Appendix 4. The results of Aboy by Aboy et al. 2022 in their patent landscape analysis.
et al. (2022) can be found in the Appendix 4.</p>
        <p>The overlap between the result generated by the
approach and Aboy et al. (2022) is large. IBM, D- 5. Conclusions
Wave, Northrop Grumman, Toshiba, MIT, Intel, Alphabet
(Google), Honeywell, HP, Hitachi, Samsung, etc., were
all in the top 50 results.</p>
        <p>Furthermore, Lockheed Martin CORP (rank 80)
QUBITEKK (rank 88) New South Innovations (rank 66)
Raytheon Technologies (rank 52) were still within the
top 100.</p>
        <p>Only Bank of America, Seagate, and Michigan State
University could not be found.</p>
        <p>
          A reason could be that Patstat does not aggregate these
documents correctly. Companies and their subsidiaries
might not be aggregated. Furthermore, [
          <xref ref-type="bibr" rid="ref7">45</xref>
          ] used patent
documents of the last 20 years of the USPTO and EPO.
        </p>
        <p>The patent landscaping method outlined in this paper
provides an automated and scalable solution, significantly
reducing the need for human intervention. This approach
has various benefits for researchers, companies,
policymakers, and investors who rely on patent landscape
analyses but are often deterred by their associated costs and
eforts. The approach is notably fast, adaptable, capable
of integrating new advancements and accommodating
future research.</p>
        <p>However, the approach has clear limitations. As it is
based on seed documents, a careful selection is
necessary. It is also challenging to determine in advance the
right amount of neighbors or a threshold value for the
approximate nearest neighbors of the seed documents.</p>
        <p>Additionally, the settings for dimensionality reduction
and clustering might also depend on the use case and the
number of documents.</p>
        <p>Furthermore, this study is also limited in the evaluation
of the approach. It is mostly episodic and limited in
scope since the comparison relies only on EP data. A
comparison with a gold-standard dataset is needed to
compare the results of the automated approach with a
human-generated one. It also lacks a comprehensive user
study of the interface and visualization components.</p>
        <p>Future research could explore how the latest generative
AI models might be able to extend this approach further.</p>
        <p>With this technology, cluster naming can be improved
greatly. It might also be possible to start the approach
without any seed documents and start with a prompt.</p>
        <p>Please create a patent landscape of mRNA vaccines against
COVID-19.
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36–50</p>
        <sec id="sec-3-7-1">
          <title>A.1. mRNA</title>
        </sec>
      </sec>
      <sec id="sec-3-8">
        <title>INSERM STANFORD UNIVERSITY</title>
        <sec id="sec-3-8-1">
          <title>A.2. Quantum</title>
        </sec>
      </sec>
      <sec id="sec-3-9">
        <title>NOKIA CORP</title>
        <p>LUCENT TECH INC
HONEYWELL INT INC
SAMSUNG ELECT CO LTD
MOTOROLA INC
THALES
6
6
6
6
6
6</p>
        <p>Organization
ZYOMED HOLDINGS INC.</p>
        <p>EVOQ NANO INC
HONDA MOTOR CO</p>
        <p>UNIV ILLINOIS</p>
        <p>LIGHTMATTER INC</p>
        <p>Matches: IBM, NORTHROP GRUMMAN, D WAVE SYSTEMS, MICROSOFT, INTEL, RIGETTI and CO, HITACHI,
HONEYWELL INT, SAMSUNG ELECTRONICS, YALE UNIVERSITY, NEC, NOKIA, MITSUBISHI ELECTRIC.</p>
        <p>Number of overlapping companies: 13</p>
      </sec>
    </sec>
  </body>
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