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Chemical indexing as a precision tool for relevant patent retrieval

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Presented at the 242nd ACS National Meeting & Exposition, August 28-Sept. 1, 2011

Presented at the 242nd ACS National Meeting & Exposition, August 28-Sept. 1, 2011

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  • 1. Chemical Indexing asa Precision Tool forRelevant Patent RetrievalJohn ZabilskiCAS Senior Product ManagerChemistry & the Law DivisionFall 2011 ACS National Meeting
  • 2. September 13, 2011CAS supports the mission of the ACS ACS Mission To advance the broader chemistry enterprise and its practitioners for the benefit of Earth and its people. CAS Mission To provide the world’s best digital research environment to search, retrieve, analyze and link chemical information.CAS is a division of the American Chemical Society. 2 Copyright 2011 American Chemical Society. All rights reserved.
  • 3. September 13, 2011CAS provides the world’s most complete andauthoritative coverage of chemistry and related scienceCAS is a division of the American Chemical Society. 3 Copyright 2011 American Chemical Society. All rights reserved.
  • 4. September 13, 2011CAS has more than 100 years of experience analyzing andorganizing disclosed chemistry from around the world US 824699 – First Indexed Patent Patent coverage has expanded from 4,000 publications in 1907 to more than 1 million in 2010CAS is a division of the American Chemical Society. 4 Copyright 2011 American Chemical Society. All rights reserved.
  • 5. September 13, 2011The number of patent publications CAS indexescontinues to rise at a rapid pace Indexed Patent Documents in CAS Databases 1,200,000 1,000,000 800,000Patents 600,000 400,000 200,000 0 19 9 3 19 9 4 19 9 5 19 9 6 19 9 7 19 9 8 19 9 9 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2 0 10 Year Patent Indexed Patent Equivalents Total Patent RecordsCAS is a division of the American Chemical Society. 5 Copyright 2011 American Chemical Society. All rights reserved.
  • 6. September 13, 2011CAS chemists select, abstract, index and enhancedocuments as they move through the editorial processSource Document Reaction Markush AuthoritySelection Indexing Indexing Indexing ProcessCAS is a division of the American Chemical Society. 6 Copyright 2011 American Chemical Society. All rights reserved.
  • 7. September 13, 2011Patent selection helps make CAplus the most completedatabase of chemically related information• CAplus covers 61 patent authorities• Chemically related subject content is determined by IPCs assigned to the original patent• Our website, www.cas.org, lists all covered patent classification codes U.S. (UPTO) WIPO Europe (EPO) France (INPI) Germany (DMPA) Japan (JPO) U.K. (UK-IPO) (UK- Canada (CIPO) Russia (ROSPATENT)CAS is a division of the American Chemical Society. 7 Copyright 2011 American Chemical Society. All rights reserved.
  • 8. September 13, 2011CAplus ensures currency for major patent authoritiesCAS is a division of the American Chemical Society. 8 Copyright 2011 American Chemical Society. All rights reserved.
  • 9. September 13, 2011Indexing for major patent office documents is addedquickly to the CAplus and CAS REGISTRY databases ED Entered STN: 04 Mar 2011 AN 2011:271713 CAPLUS Full-text DN 154:259821 TI Six-membered n-heterocyclic carbene-based catalysts for asymmetric reactions IN McQuade, D. Tyler; Park, Jin Kyoon; Rexford, Matthew D.; Lackey, Hershel H. PA Florida State University Research Foundation, USA SO U.S. Pat. Appl. Publ., 22pp. CODEN: USXXCO DT Patent LA English RN 1266612-72-9 REGISTRY FAN.CNT 1 Entered STN: 07 Mar 2011 ED PATENT NO. KIND DATE APPLICATION NO. DATE CN 1,3,2-Dioxaborolane-2-propanoic acid, 4,4,5,5-tetramethyl-.beta.- --------------- [4-(2-propen-1- ---- -------- -------------------- -------- PI US 20110054170 A1 yloxy)phenyl]-, ethyl ester (CA US 2010-870901 20110303 INDEX NAME) 20100830 PRAI US 2009-238367P MF C20 H29 B O5 P 20090831 ASSIGNMENT HISTORY FOR US PATENT AVAILABLE IN LSUS DISPLAY FORMAT SR CA LC STN Files: CA, CAPLUS, USPATFULL IT O 3943-97-3P 1006696-12-3P 1006696-13-4P 1006696-27-0P 1174919-02-8P 1185248-86-5PCH 2 1252813-46-9P C OEt 1252813-47-0P 1252813-48-1P 1252813-49-2P Me O 1252813-50-5P CH 2 O CH 2 CH 1252813-51-6P 1252813-52-7P 1266612-72-9PCH 1266612-73-0P B RL: SPN (Synthetic preparation); PREP (Preparation) Me O (preparation of six-membered nitrogen-heterocyclic carbene-based Me catalysts for asym. reactions) MeCAS is a division of the American Chemical Society. 9 Copyright 2011 American Chemical Society. All rights reserved.
  • 10. September 13, 2011The CAS indexing process enhances the retrieval andunderstanding of the original documentCAS is a division of the American Chemical Society. 10 Copyright 2011 American Chemical Society. All rights reserved.
  • 11. September 13, 2011CAS scientists use controlled vocabulary enhanced bynatural language selected from the document IT Coating materials (scratch-resistant; UV-curable acrylic hard coat transfer sheet with adhesive layer containing acrylic triblock copolymer) IT Antirheumatic agents (disease-modifying, codrugs; preparation of thienopyrrole derivs. as cannabinoid receptor agonists useful in treatment and prevention of various disorders) IT Heterojunction semiconductor devices Nanowires (Zn2TiO4-ZnO nanowire axial heterostructures formed by unilateral diffusion)CAS is a division of the American Chemical Society. 11 Copyright 2011 American Chemical Society. All rights reserved.
  • 12. September 13, 2011Controlled vocabulary is constantly evolving because ofnew terminology in the source material…• Frequently occurring terms• New concepts that reflect the novelty reported• Recent examples: – Albright-Goldman oxidation – Interleukin 35 – PAT proteinsCAS is a division of the American Chemical Society. 12 Copyright 2011 American Chemical Society. All rights reserved.
  • 13. September 13, 2011… and because of improved comprehension• Monoclonal antibodies – OLD: Antibodies (L) monoclonal• Controlled-release drug delivery systems – OLD: Drug delivery systems (L) controlled-release• Treacher-Collins syndrome – OLD: Head and Neck, disease (L) Treacher Collins syndromeCAS is a division of the American Chemical Society. 13 Copyright 2011 American Chemical Society. All rights reserved.
  • 14. September 13, 2011The CA Lexicon can be used to help focus a search• General subject headings• Chemical substance classes• Taxonomic hierarchies => E CHROMATOGRAPHY+HIE/CT E1 60903 BT1 Analysis/CT E2 33301 BT1 Separation/CT E3 123432 --> Chromatography/CT E4 2335 NT1 Chromatographic stationary phases/CT E5 774 NT2 Gas chromatographic stationary phases/CT E6 382 NT3 Capillary gas chromatographic stationary phases/CT E7 2530 NT2 Liquid chromatographic stationary phases/CT E8 1172 NT3 Affinity chromatographic stationary phases/CT E9 2803 NT3 HPLC stationary phases/CT E10 715 NT4 Reversed phase HPLC stationary phases/CT E11 174 NT3 Ion chromatographic stationary phases/CT E12 303 NT2 Reversed phase chromatographic stationary phases/CTCAS is a division of the American Chemical Society. 14 Copyright 2011 American Chemical Society. All rights reserved.
  • 15. September 13, 2011The CA Lexicon provides detailed taxonomic terminologyarranged in a multi-level hierarchy=> E PANAX+ALL/CTE1 970 BT7 Organisms/CTE2 8102 BT6 Eukaryota/CTE3 14272 BT5 Plantae/CTE4 1056 BT4 Magnoliophyta/CTE5 1523 BT3 Magnoliopsida/CTE6 11 BT2 Apiales/CTE7 460 BT1 Araliaceae/CTE8 970 BT3 Organisms/CTE9 46205 BT2 Plants/CTE10 3132 BT1 Medicinal plants/CTE11 6390 --> Panax/CT HNTE Valid heading during volume 136 (2002) to present. NOTE Species of this genus are commonly known as ginseng.E12 2457 OLD Ginseng/CTE13 543 OLD Ginseng (Panax)/CTE31 288 NT1 Panax pseudoginseng/CTE32 0 NT2 Panax pseudoginseng angustatus/CTE33 1 NT2 Panax pseudoginseng elegantior/CTE34 4 NT2 Panax pseudoginseng himalaicus/CTE35 1 NT3 Panax pseudoginseng himalaicus angustifolius/CTE36 1 NT3 Panax pseudoginseng himalaicus bipinnatifidus/CTCAS is a division of the American Chemical Society. 15 Copyright 2011 American Chemical Society. All rights reserved.
  • 16. September 13, 2011Detailed indexing has been added to more than 50,000Traditional Medicine patentsIT Analgesics Ascites CA Indexing includes: Aspongopus • Taxonomic terms Astragalus Atractylodes macrocephala • Disease terms Aucklandia • Substance class terms Bupleurum Cirrhosis • Specific substances Edema Epimedium Fallopia japonica Hepatitis Ligusticum chuanxiong is one Ipomoea of the 50 fundamental herbs in Isatis Ligusticum chuanxiong traditional Chinese medicine. Liver disease Manis Natural products, pharmaceutical MeIT Abdominal disease HO R (abdominal distention) S MeIT Medical goods Me (bags) RIT Viral hepatitis (chronic)IT 507-70-0 RL: BSU (Biological study unclassified); BIOL (Biological study)CAS is a division of the American Chemical Society. 16 Copyright 2011 American Chemical Society. All rights reserved.
  • 17. September 13, 2011Increasingly, new chemical discoveries are beingdisclosed through patent activities Percentage of New Compounds Added to CAS REGISTRY from Patents 50% 45% 46% Percentage of total 40% 35% 30% 25% 20% 15% 10% 14% 5% 0% 1976 2010 YearCAS is a division of the American Chemical Society. 17 Copyright 2011 American Chemical Society. All rights reserved.
  • 18. September 13, 2011Substance indexing for CAS REGISTRY focuses onsubstances and their reported rolesIndexers examine original documents for• Substances reporting new or useful information• Nomenclature, structures or additional chemical information• Substance roles to be assignedCAS is a division of the American Chemical Society. 18 Copyright 2011 American Chemical Society. All rights reserved.
  • 19. September 13, 2011Substance indexing for CAS REGISTRY focuses onsubstances and their reported rolesSubstance indexing for patents includes• All specific substances from the claims• Additional characterized substances from the description• Uncharacterized substances from the Examples section, identified with Prophetic (PRPH) role• Markush structures from both claims and disclosure that will appear in MARPATCAS is a division of the American Chemical Society. 19 Copyright 2011 American Chemical Society. All rights reserved.
  • 20. September 13, 2011Thousands of index entries are made for a typical patentpublication CAS analysis of a typical CAS analysis of a typical PCT application PCT application •• 917 indexed compounds 917 indexed compounds from Examples and Claims from Examples and Claims •• 576 new compounds added 576 new compounds added to CAS REGISTRY to CAS REGISTRY •• 613 single-step reactions 613 single-step reactions •• 5,394 multi-step reactions 5,394 multi-step reactions •• 1,029 reaction participants 1,029 reaction participants •• 2,119 substituent definitions 2,119 substituent definitions for Markush structures for Markush structures added to MARPAT added to MARPATCAS is a division of the American Chemical Society. 20 Copyright 2011 American Chemical Society. All rights reserved.
  • 21. September 13, 2011 For complex chemistry, CAS chemists classify substance information and verify graphical processes and structures1. Review reaction and structure 2. Create registration record CAS is a division of the American Chemical Society. 21 Copyright 2011 American Chemical Society. All rights reserved.
  • 22. September 13, 2011CAS chemists interpret when compounds are describedin terms other than singular structures or names Methoxyamino-urea product Methoxyamino-urea productCAS is a division of the American Chemical Society. 22 Copyright 2011 American Chemical Society. All rights reserved.
  • 23. September 13, 2011CAS Registry Numbers allow precise targeting forspecific substance searches• Many names may be available for a substance• Substance names may not be adequately descriptive• Frequently no name is available• A CAS Registry Number unambiguously identifies one unique substance L1 ANSWER 1 OF 1 REGISTRY COPYRIGHT 2011 ACS on STN RN 1186034-68-3 REGISTRY ED Entered STN: 22 Sep 2009 CN Pentanoic acid, 2-[4-(2-amino-2-oxoethyl)phenoxy]-1- [[(1-methylethyl)amino]methyl]ethyl ester (CA INDEX NAME) OTHER NAMES: CN Atenolol valerate MF C19 H30 N2 O4 SR CA LC STN Files: CA, CAPLUSCAS is a division of the American Chemical Society. 23 Copyright 2011 American Chemical Society. All rights reserved.
  • 24. September 13, 2011CA Indexing for US20100331294 includes 75 additionaluncharacterized substances from the examples L1 ANSWER 21 OF 75 REGISTRY COPYRIGHT 2011 ACS on STN RN 1259941-53-1 REGISTRY ED Entered STN: 19 Jan 2011 CN 2-Pyrimidinamine, 4-(3-amino-1-azetidinyl)- (CA INDEX NAME) MF C7 H11 N5 SR CA LC STN Files: CA, CAPLUS, TOXCENTER NH 2 NH 2 N N N **PROPERTY DATA AVAILABLE IN THE PROP FORMAT** 1 REFERENCES IN FILE CA (1907 TO DATE) 1 REFERENCES IN FILE CAPLUS (1907 TO DATE) IT 1201176-36-4P 1259941-43-9P 1259941-45-1P 1259941-47-3P 1259941-50-8P 1259941-53-1P 1259941-56-4P 1259941-58-6P 1259941-59-7P 1259941-63-3P 1259941-64-4P 1259941-66-6P 1259941-68-8P 1259941-71-3P 1259941-73-5P 1259941-74-6P 1259941-77-9P 1259941-79-1P 1259941-81-5P 1259941-82-6P 1259941-85-9P 1259941-88-2P 1259941-89-3P 1259941-92-8P 1259941-94-0P 1259941-96-2P RL: PAC (Pharmacological activity); PRPH (Prophetic); SPN (Synthetic preparation); THU (Therapeutic use); BIOL (Biological study); PREP (Preparation); USES (Uses) (preparation of diaminopyrimidine derivs. as histamine H3 receptor ligands useful in treatment of diseases)CAS is a division of the American Chemical Society. 24 Copyright 2011 American Chemical Society. All rights reserved.
  • 25. September 13, 2011Specific compounds are frequently not completelyidentified in the original document CAS RN 203796-03-6CAS is a division of the American Chemical Society. 25 Copyright 2011 American Chemical Society. All rights reserved.
  • 26. September 13, 2011Indexing goes beyond the basic document to extractpertinent information out of the supplemental informationCAS is a division of the American Chemical Society. 26 Copyright 2011 American Chemical Society. All rights reserved.
  • 27. September 13, 2011CAS indexing in the U.S. patents full-text databasesprovides more comprehensive retrieval => FILE USPATALL => S (NANOPARTICLE (S) SOLAR CELL)/BI 781 (NANOPARTICLE (S) SOLAR CELL)/BI 105 L1 105additional patents are additional patents are => S (NANOPARTICLE (S) SOLAR CELL)/BI,IT,ST retrieved by searching the retrieved by searching the L2 886 (NANOPARTICLE (S) SOLAR CELL)/BI,IT,ST CAS Index Term (IT) and CAS Index Term (IT) and => S L2 NOT L1 L3 105 L2 NOT L1 Supplemental Term (ST) Supplemental Term (ST) AN 2009:79199 USPATFULL TI Solar cell and fabricating method thereof IN Chan, Chia-Hua, Taoyuan Hsien, TAIWAN, PROVINCE OF CHINA Chen, Chii-Chang, Taoyuan Hsien, TAIWAN, PROVINCE OF CHINA Yao, Fu-Yuan, Taoyuan Hsien, TAIWAN, PROVINCE OF CHINA Wu, Hung-Nan, Taoyuan Hsien, TAIWAN, PROVINCE OF CHINA Shing, Tai-Kang, Taoyuan Hsien, TAIWAN, PROVINCE OF CHINA PA National Central University (non-U.S. corporation) PI US 20090071532 A1 20090319 AI US 2008-68218 A1 20080204 (12) PRAI TW 2007-96134166 20070913 DT Utility FS APPLICATION LREP BIRCH STEWART KOLASCH & BIRCH, PO BOX 747, FALLS CHURCH, VA, 22040- 0747, US CLMN Number of Claims: 19 ECL Exemplary Claim: 1 DRWN 10 Drawing Page(s) USPATFULL records are flagged LN.CNT 379 USPATFULL records are flagged CAS INDEXING IS AVAILABLE FOR THIS PATENT. if they contain CAS Indexing if they contain CAS IndexingCAS is a division of the American Chemical Society. 27 Copyright 2011 American Chemical Society. All rights reserved.
  • 28. September 13, 2011Focused indexing from the CAplus U.S. basic patent isnow being added to the USPATFULL/USPAT2 record CHEMICAL ABSTRACTS INDEXING COPYRIGHT 2011 ACS on STN --------------------------- PATENT KIND DATE ----------------- ---- -------- OS CA 150:333965 * US 20090071532 A1 20090319 * CA Indexing for this record included nanoparticles did not nanoparticles did not CC 52-2 (Electrochemical, Radiational, and Thermal Energy Technology) ST solar cell structure fabrication appear in close association appear in close association IT Transparent materials (adhesives, moisture-protection layer; structure andsolar cells in this with solar cells in this with fabrication of IT solar cells with) Microparticles record record Nanoparticles (antireflective layer; structure and fabrication of solar cells with) IT Antireflective films (microparticles and nanoparticles; structure and fabrication of solar cells with) IT Polymers (moisture-protection layer; structure and fabrication ofRegistry Numbers CAS Registry Numbers CAS solar cells with) IT Micelles enable comprehensive enable comprehensive IT (reverse; structure and fabrication of solar cells) Sol-gel processing substance searching substance searching Solar cells (structure and fabrication of solar cells) in U.S. patents in U.S. patents IT Adhesives (transparent, moisture-protection layer; structure and fabrication of solar cells with) IT 7631-86-9, Silica, uses 9003-53-6, Polystyrene 9011-14-7, Poly(methyl methacrylate) (microparticles and nanoparticles, antireflective layer; structure and fabrication of solar cells with)CAS is a division of the American Chemical Society. 28 Copyright 2011 American Chemical Society. All rights reserved.
  • 29. September 13, 2011USPTO signs five-year “single source” contract withCAS for STN® STN databases offer the largest collection and depth of chemical and related information compared to other commercial web based databases. ...CAS is the only company that has a unique, proprietary, chemical structure searching capability using its STN Express software. No other source can successfully meet the USPTO’s requirements. USPTO, 20 August 2010 U.S. Patent & Trademark OfficeCAS is a division of the American Chemical Society. 29 Copyright 2011 American Chemical Society. All rights reserved.
  • 30. September 13, 2011Summary• CA indexing enhances timely retrieval of relevant prior art – CAS indexes the broadest selection of chemically related documents – Detailed Indexing extracts the novel aspects out of the original text – Indexers ensure accurate interpretation of chemical concepts and substances• CA indexing policies are constantly evolving to – Accurately identify original source concepts – Ensure comprehensive coverage of substance information from patent publicationsCAS is a division of the American Chemical Society. 30 Copyright 2011 American Chemical Society. All rights reserved.
  • 31. September 13, 2011 Thank YouCAS is a division of the American Chemical Society. 31 Copyright 2011 American Chemical Society. All rights reserved.