Trends in Nanotechnology Patents Applied to the Health Sector

Abstract

The aim of the article is to present a method for identifying trends in patent applications for nanotechnology applied to the health sector around the world, based on the International Patent Classification. This classification divides the sector into: dental care, drugs, diagnostic kits, and medical apparatus & medical care. The Derwent database was mined for patent documents using nanotechnology terms associated with the IPC subclasses from the health subsectors. The number of patents was found to be rising, led by the United States, particularly universities and R centers. In the dental care subsector, nanotechnology was found to be used in composite material for manufacturing dental appliances. In drugs, the focus is on the use of nanoparticulate compositions comprising agents that are useful for a variety of diseases. In diagnostic kits, nanostructures have been patented that are capable of detecting target analytes. Meanwhile, in medical apparatus & medical care, patent applications have been made for nanocapsules and/or nanocomposite materials inserted in devices and guide catheters. A study was also made of patents in Brazil, where the same assignees and the same country (United States) as in the survey of global patents were found to be the leading patent applicants / holders.

Full text

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Antunes AM, Alencar MS, da Silva CH, Nunes J, Mendes FM. Trends in nanotechnology patents applied to
the health sector. Recent Pat Nanotechnol. 2012 Jan;6(1):29-43.
Trends in Nanotechnology Patents Applied to the Health Sector
Antunes, Adelaide1,*; Alencar, Maria Simone de Menezes2,*; Silva, Cicera Henrique da3; Nunes, Jeziel4;
Mendes, Flávia Maria Lins5
1Instituto Nacional de Propriedade Industrial, Praça Mauá, nº 7 sala 1011, Centro, Rio de Janeiro, Brazil. (+55
21) 3037-3211, aantunes@inpi.gov.br
2Fundação Oswaldo Cruz - Instituto de Comunicação e Informação Científica e Tecnológica em Saúde, Av.
Brasil, 4.365 - Pavilhão Haity Moussatché - Manguinhos, Rio de Janeiro, CEP: 21.045-360, Brazil. (+55 21)
3865-3260, salencar@icict.fiocruz.br
3Fundação Oswaldo Cruz - Instituto de Comunicação e Informação Científica e Tecnológica em Saúde, Av.
Brasil, 4.365 - Pavilhão Haity Moussatché - Manguinhos, Rio de Janeiro, CEP: 21.045-360, Brazil. (+55 21
3865-3245, chenrique@icict.fiocruz.br
4Instituto Nacional de Propriedade Industrial, Praça Mauá nº 7 sala 718, Rio de Janeiro, Brazil. (+55 21)
3037-3355, jeziel@inpi.gov.br
5Universidade Federal do Rio de Janeiro, Escola de Química, Av. Horácio Macedo, 2030, Centro de
Tecnologia, Bloco I sala I-222, Cidade universitária, Rio de Janeiro, Brazil, (+55 21) 2562-7426,
flavia@eq.ufrj.br
Key words: health, international patent classification, nanotechnology, patents, patent analysis, technological
trends
ABSTRACT
The aim of the article is to present a method for identifying trends in patent applications for nanotechnology
applied to the health sector around the world, based on the International Patent Classification. This
classification divides the sector into: dental care, drugs, diagnostic kits, and medical apparatus & medical
care.
The Derwent database was mined for patent documents using nanotechnology terms associated with the IPC
subclasses from the health subsectors. The number of patents was found to be rising, led by the United States,
particularly universities and R&D centers.
In the dental care subsector, nanotechnology was found to be used in composite material for manufacturing
dental appliances. In drugs, the focus is on the use of nanoparticulate compositions comprising agents that are
useful for a variety of diseases. In diagnostic kits, nanostructures have been patented that are capable of
detecting target analytes. Meanwhile, in medical apparatus & medical care, patent applications have been
made for nanocapsules and/or nanocomposite materials inserted in devices and guide catheters.
A study was also made of patents in Brazil, where the same assignees and the same country (United States) as
in the survey of global patents were found to be the leading patent applicants / holders.

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1. Introduction
The use of patent analysis as a method for technological foresight yields strategic intelligence on technologies
and can reveal competitive advantages derived from leadership in technological development. It gives an
understanding of who the leading patent applicants/holders for a given technology are, enabling comparisons
to be made between companies, countries or technological areas, as well as areas where patenting is intensive.
Several authors have investigated the future development of nanotechnology by data mining of patents [1, 2,
3, 4, 5, 6]; what makes this study different is that it focuses exclusively on the area of health. The advantage
of using patent documents as a source of information is that they have a highly standardized format, and the
International Patent System offers tools that make it easy to locate them. One of the most important of these is
the International Patent Classification (IPC), which classifies patents by the technologies they pertain to.
Created in 1971 (WIPO) as a result of the Strasbourg Agreement, the IPC facilitates the systematization and
organization of the information contained in patent documents, making patent databases major sources of
technical and production information. The classification is reviewed periodically in order to keep pace with
technical developments. The IPC’s hierarchical structure is split into sections, subsections, classes, subclasses,
groups and subgroups that take the level of detail down from the general to the very specific for the purposes
of classifying patents.
The application of nanotechnology to the screening, diagnosis, and treatment of disease, known as
nanomedicine, is an emerging field that has the potential to revolutionize individual and collective health care
in the 21st century. Major advances have been seen in medical devices that make use of nanotechnology,
enabling less invasive procedures, and reducing the risk of post-operative infection and recovery times for
patients. Such innovations have the capacity to improve people’s quality of life, increase their life expectancy
and reduce the total cost of health care [7].
One relatively simple application of nanotechnology to the area of health is “automated diagnosis”, which
offers the opportunity to monitor the state of health of an individual permanently (as already happens with
astronauts and SWAT teams). Breakthroughs of this kind have the potential to radically alter the way health
care is delivered, since with this technology it is possible to monitor the state of health of each client/patient,
taking preventive action and reducing the need for medical check-ups in the presence of a doctor, who will
only be needed to step in under certain circumstances. Technology of this kind reduces the time taken to make
error-free diagnoses to a minimum, giving many more people access to health care based on these advances.
This new technology has the potential to significantly improve people’s quality of life and considerably
extend their life span.
Nanotechnology researchers are studying biological processes (mimesis) in order to create new devices on a
nanometric scale that will enable a better understanding of life processes. From then on, the developments
will be far more radical.
These prognoses are starting to gain shape in the many nanotechnology solutions already available on the
market, and can also be seen in the huge number of patent applications being made around the world.

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Nanotechnology also presents real potential for developing techniques capable of repairing or reproducing
tissue; diagnosing diseases at a very early stage (e.g. cancer); delivering medicine on the cell level; and even
reversing diseases with the functional replacement of living tissue (either natural or not) or even synthetic
tissue.
In the area of industrial property, the potential problems are far broader and more pressing than many people
may think. There are already nanotechnology patent applications that anticipate the difficulties the intellectual
property system will have to face in the short term, from the definition of what “nano” means to the definition
of the concepts of invention and patentability, since a nanotechnology could be just a reproduction of an
existing product or structure on an atomic scale, or may actually be novel or even a novel step.
Given this initial overview of nanotechnology and its applications in the health sector, this study was
developed with the aim of presenting a method of patent data mining that helps identify trends in patenting for
nanotechnology applied to the health sector in the world, and also in Brazil, providing a case study that could
be applied to any country or region of interest.
2. Method
The database used for the patent data mining was the Derwent Innovations Index (DII), produced by
Thompson Scientific, which contains patent data from as far back as 1966 (starting data varies according to
the technological area) from over 40 patent offices around the world. The DII was accessed via the CAPES
periodicals portal, a service provided by the Brazilian government to public universities and research centers
of excellence in the country.
To select the patents related to nanotechnology in health, these two concepts (nanotechnology and health)
were combined in different forms.
In the International Patent Classification (IPC), technology is divided into sections. As nanotechnology
involves a variety of different technologies and is relatively recent from the perspective of intellectual
property, the IPC does not yet have a full set of classifications to represent it. Only in version 7 did the IPC
include class B82, referring to nanotechnology, but it is not completely comprehensive, since it encompasses
only subgroup B82B1
Table 1 – Keywords used in search
, which relates to “nano-structures; manufacture or treatment thereof”. Therefore, in
order to identify the nanotechnology-related patents, we not only searched the B82B subclass, but also used
keywords from titles and abstracts. The choice of keywords was based on the author’s prior experience [1, 8]
and expanded by observations of the most frequent terms present in a search made of the Web of Science
based on the search strategy presented in an article by Porter et al [9]. The terms used are presented in Table
1.
fulleren*
nanob*
nanoc*
nanod*
1 In the IPC 2011.01 version, B82 underwent some changes, including subgroup B82Y (specific uses or
applications of nano-structures; measurement or analysis of nano-structures; manufacture or treatment of
nano-structures).

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nanoelectr*
nanoemuls*
nanoengineer*
nanof*
nanog*
nanohybri*
nanoi*
nanolithograp*
nanomateri*
nanomedic*
nanometrol*
nanomesh*
nanonet*
nanop*
nanorod*
nanos*
nanot*
nanowire*
nems
quantum-dot*
quantum-wire*
quasi-crystal*
spintronic*
Source: prepared by the authors
N.B. The asterisk is used as a wildcard, so that any word with this root will be searched for.
The second concept needed for our search was health. This sector was delineated by means of an analysis of
the IPC classes and subclasses related to the topic made by experts from the Brazilian Industrial Property
Agency (Instituto Nacional de Propriedade Industrial) and researchers at Fundação Oswaldo Cruz, a leading
R&D center in Brazil that operates under the auspices of the Ministry of Health. This analysis resulted in the
segmentation of the health sector into four subsectors based on the Health section in the IPC: (i) dental care,
(ii) drugs, (iii) diagnostic kits, (iv) medical apparatus & medical care, the last of which is split into seven
subclasses, as shown in Table 2. These four subsectors are covered in section A (Human Necessities),
subsection “Health; Life-Saving; Amusement”, class A61 (medical or veterinary science; hygiene). For the
diagnostic kits subsector, other subclasses (G01 and C12Q) were also used to supplement subclass A61B [10,
11].
Table 2 –Subsectors of health and respective IPC subclasses
Subsectors
IPC Subclass
Description
Dental care
A61C
Dentistry; oral or dental hygiene
Drugs
A61K not (A61k-
007 or A61k-008)* Preparations for medical, dental
A61P
Therapeutic activity of chemical compounds or medicinal preparations
Diagnostic
Kits
G01N
Investigating or analysing materials by determining their chemical or
physical properties
C12Q
Measuring or testing processes involving enzymes or micro-organisms;
compositions or test papers therefore; processes of preparing such
compositions; condition-responsive control in microbiological or
enzymological processes
A61B
Diagnosis; surgery; identification
Medical
apparatus &
medical care
A61F
Filters implantable into blood vessels; prostheses; orthopaedic, nursing
or contraceptive devices; fomentation; treatment or protection of eyes
or ears; bandages, dressings or absorbent pads; first-aid kits
A61G
Transport or accommodation for patients; operating tables or chairs;
chairs for dentistry; funereal devices
A61H
Physical therapy apparatus, e.g. Devices for locating or stimulating
reflex points in the body; artificial respiration; massage; bathing devices
for special therapeutic or hygienic purposes or specific parts of the body
A61J
Containers specially adapted for medical or pharmaceutical purposes;
devices or methods specially adapted for bringing pharmaceutical
products into particular physical or administering forms; devices for
administering food or medicines orally; baby comforters; devices for
receiving spittle
A61L
Methods or apparatus for sterilising materials or objects in general;
disinfection, sterilisation, or deodorisation of air; chemical aspects of

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Subsectors
IPC Subclass
Description
bandages, dressings, absorbent pads, or surgical articles; materials for
bandages, dressings, absorbent pads, or surgical articles
A61M
Devices for introducing media into, or onto, the body; devices for
transducing body media or for taking media from the body; devices for
producing or ending sleep or stupor
A61N
Electrotherapy; magnetotherapy; radiation therapy; ultrasound therapy
*Subgroups A61K-007 and A61K-008 relate to cosmetics or similar toilet preparations
Combined searches were then undertaken using both concepts (nanotechnology and health) for each of the
health subsectors and respective subclasses. The raw data were recovered and the patent documents published
between 2000 and 2010 were selected. The software used to do this was VantagePoint®, developed and sold
by Search Technology, which is a data mining tool that can process large quantities of data by automating
tasks like standardization and production of reports and maps to make it easier to visualize for analysis
purposes [12].
The data mining was first done on a broad scale for patents in the area of health, then for each of the IPC
classes and subclasses. In order to assess trends, the country that had the highest number of patents / patent
applications was identified, then the main patent applicants/holders in this country. For each top patent
applicant/holder an analysis was undertaken of the titles and abstracts relative to that IPC subclass in order to
identify the area for which they had most patents/applications.
As a case study of the application of this method for a given country, an analysis of health care patenting in
Brazil was undertaken. In this case, alongside the macro view, the main patent holders/applicants for each of
the subsectors and IPC subclasses were identified. The analysis of the focus of patenting of the top patent
holders/applicants was undertaken using the same method as described above.
3. Analysis of global trends
The combined search, using both concepts, of patents published between 2000 and 2010 yielded 9719 patent
documents. Figure 1 shows the trend in patenting in these areas, with significant growth being seen in the last
years.
Figure 1 – Number of nano-health-related patents per year

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0
200
400
600
800
1000
1200
1400
1600
1800
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
# Nano&Health patents x Publication year
Source: Prepared by the authors using data collected from the Derwent Innovation Index in May 2011
In market terms, in can be seen that the USA is the leading patent holder in the Health Sector with around
5500 nano-health-related patents. In second place comes China, but it lags far behind the leader, with just
over 1100 patents. Figure 2 shows the five leading patent holders in the health sector applied to
nanotecnology.
Figure 2 – Number of nano-health-related patents per priority country
Korea
Japan
Canada
China
USA
# Nano&Health patents x Priority country
Source: Prepared by the authors using data collected from the Derwent Innovation Index in May 2011

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The general table of results obtained per Health subsector / IPC subclass is shown in Table 3. In many cases, a
single patent may appear in more than one subsector, but for the purposes of analyzing trends, each IPC
subclass was initially assessed in isolation.
Table 3 – Number of patent documents relating to nanotechnology and health published between 2000 and
2010
Health subsectors /IPC Subclasses
No. of patents
DENTAL CARE
151
DRUGS
6457
DIAGNOSTIC KITS
2216
MEDICAL APPARATUS & MEDICAL CARE
2627
• filters implantable into blood vessels; prostheses; orthopaedic, nursing or
contraceptive devices; fomentation; treatment or protection of eyes or ears;
bandages, dressings or absorbent pads; first-aid kits 973
• transport or accommodation for patients; operating tables or chairs; chairs for
dentistry; funereal devices
14
• physical therapy apparatus, e.g. devices for locating or stimulating reflex points
in the body; artificial respiration; massage; bathing devices for special
therapeutic or hygienic purposes or specific parts of the body 42
• containers specially adapted for medical or pharmaceutical purposes; devices or
methods specially adapted for bringing pharmaceutical products into particular
physical or administering forms; devices for administering food or medicines
orally; baby comforters; devices for receiving spittle
90
• methods or apparatus for sterilising materials or objects in general; disinfection,
sterilisation, or deodorisation of air; chemical aspects of bandages, dressings,
absorbent pads, or surgical articles; materials for bandages, dressings, absorbent
pads, or surgical articles
1409
• devices for introducing media into, or onto, the body; devices for transducing
body media or for taking media from the body; devices for producing or ending
sleep or stupor
500
• electrotherapy; magnetotherapy; radiation therapy; ultrasound therapy
342
Source: Prepared by the authors using data collected from the Derwent Innovation Index in May 2011
The sum of the total number of patents in Table 3 is greater than the total number of patents because a single
patent may be classified in more than one health subsector or IPC subclass.
Trends in Health Subsectors
Analyzing all the sectors as a whole, there is a marked presence of education and research institutions
amongst the top patent holders and applicants, especially the University of California and the Massachusetts
Institute of Technology, the former being the top firm in nano-health, with 132 patents / patent applications in
the period under study. Table 4 shows the ten leading organizations and the number of patents for each one in
the health subsectors analyzed in this study.
Table 4 – Leading global patent holders in nanotechnology and health and respective subsectors of application
No. of Patent Holder Drugs Diag. Medical App. & Dental

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Patents
Kits
Medical Care
Care
132
UNIV CALIFORNIA
86
62
25
4
122
ELAN PHARMA INT LTD
122
4
16
0
103
MASSACHUSETTS INST TECHNOLOGY
79
36
26
1
99 BOSTON SCI SCIMED INC 26 16 97 1
98 UNIV TEXAS SYSTEM 76 43 16 0
66 CNRS CENT NAT RECH SCI 47 27 10 0
62 3M INNOVATIVE PROPERTIES CO 49 3 22 14
62
NORTHWESTERN UNIV
33
32
12
0
55
UNIV FLORIDA RES FOUND INC
41
29
8
0
53
ABBOTT CARDIOVASCULAR SYSTEMS INC
34
2
37
0
53
SEARETE LLC
36
16
12
0
Source: Prepared by the authors using data collected from the Derwent Innovation Index in May 2011
As observed above, one patent may be associated to more than one IPC subclass, such as the University of
California, which has patents / applications in all four health subsectors with links to nanotechnology. While
it is the leader in diagnostic kits, it also has a strong presence in the drugs subsector, and in many cases the
same patent document is related to one or more area, such as 24 applications by the University of California
which relate to both drugs and diagnostic kits, while nine refer to drugs and medical apparatus & medical
care, as can be seen in Figure 3 below.
Figure 3 – Distribution of the University of California patents in nanotechnology per health subsector
Source: Prepared by the authors using data collected from the Derwent Innovation Index in May 2011
All the Elan Pharma applications are classified as drugs, of which four are also related to diagnostic kits, and
16 are also related to medical apparatus & medical care.
52
33
24
10
1
1
9
Drugs
Kits
Med. eqp
2
1
52
33
24
10
1
1
9
Drugs
Kits
Med. eqp
2
1

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Figure 4 – Distribution of the Elan Pharma patents in nanotechnology per health subsector
Source: Prepared by the authors using data collected from the Derwent Innovation Index in May 2011
The Massachusetts Institute of Technology is the third largest patent holder / applicant. The majority of its
patents are for drugs (79), but 16 of these are also related to kits, and another 16 involve both drugs and
medical apparatus & medical care. Figure 4 shows the patents for nanotechnology applied for / held by MIT,
showing the overlaps of the health areas they can be applied to.
Figure 5 – Distribution of the MIT patents in nanotechnology per health Subsectors
Source: Prepared by the authors using data collected from the Derwent Innovation Index in May 2011
Below, we set out the trends for each subsector using the proposed method: selection of leading country, and
top patent holders/applicants in that country. A few examples are given of the technologies being patented by
the leading patent holders / applicants.
Subsector DENTAL CARE
122
4
16
Drugs
Kits
Med. eqp
47
14
16
4
0
5
16
Drugs
Kits
Med. eqp

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In the last ten years 151 patents have been applied for / granted that apply nanotechnology to dentistry, oral or
dental hygiene (A61C).
The leading country is the USA, with 52% of the patents/applications. Of all the American patent
holders/applicants, 3M Innovative Properties Co. holds the largest share: 18%. Its patents are for dental
prostheses (A61C13/00), filling or capping teeth (A61C5/00) including tooth crowns, and securing crowns in
the mouth (A61C5/08). Some examples of these patents are:
 Mill blank comprises an uncured self supporting hardenable organic composition. The use is for
manufacturing dental appliance such as crown, inlay, onlay, bridge, orthodontic appliance. The organic
composition consists of increased composite material which contains polymerizable resin system, an
initiator system and a filler system. A portion of the filler system has particulate filler and inorganic
material comprise nanoscopic particles [13]
 Hardenable dental composition, useful for forming dental restorative, as orthodontic adhesive and
filler and for preparing. The nanoscopic particles comprise fumed silicon [14].
Subsector DRUGS
This area covers preparations for medical (A61K) and therapeutic activity of chemical compounds or medical
preparation (A61P).
In the ten-year period under study, 6457 patents were applied for / granted for drug-related innovations by
4095 different entities that make some use of nanotechnology. The USA holds the lion’s share of these
(around 60%). Four organizations from this country hold or have applied for 75 or more patents: Elan Pharma
(121), the University of California (86), Massachusetts Institute of Technology (76), and the University of
Texas System (75).
 Elan Pharma has patents/applications for medical preparations characterized by special physical form
and by carriers, inert additives.
 The University of California acts in medical preparations by special physical form but also in
preparations for testing in vivo and medical preparations containing peptides for antineoplastic agents.
 The Massachusetts Institute of Technology is active in antineoplasic agents, gene therapy, medicine
preparations containing organic active ingredients and medical preparation characterized by special
physical form.
 The University of Texas System also acts in medicine preparations containing antigens or antibodies
for antineoplastic agents.
Examples of Elan Pharma Institute Ltd.’s latest patents/applications are:

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 Nano particulate angiogenesis inhibitor composition e.g. for treating or preventing tumor or cancer
growth. The composition is bio adhesive; also used for treating inflammatory condition (rheumatoid
arthritis) [15].
 Composition for treating patients suffering moderate or severe migraine, comprises triptan
nanoparticulate non steroidal anti inflammatory drug nanoparticulate (naproxen) and surface stabilizer
adsorbed on its surface [16].
 Nanoparticulate injectable composition, useful to relieve symptoms of e.g. arthritis, comprises an
active agent (meloxicam) [17].
 Pharmaceutical compositions used comprises solid particles of immunosuppressive agent coated with
surface modifier(s). The particles have an average effective particle size of less than 50 nm to less than 2
mu m [18].
Subsector DIAGNOSTIC KITS
The diagnostic kits area covers the following categories: investigating or analyzing materials by determining
their chemical or physical properties (G01N); measuring or testing processes involving enzymes or micro-
organisms (C12Q) and diagnosis, identification (analyzing material) (A61B).
In the first decade of this century, 2216 patents for diagnostic kits were applied for / granted, with the second
half of the decade seeing an almost twofold rise in patent activity compared to the first half.
The country with the most patents and patent applications is again the USA, with 66% of the total. The main
US patent holders are the University of California, with 52 patents, followed by Nanosphere, Intel Corp,
University of Texas System, Massachusetts Institute of Technology, Northwestern University, Agilent
Technologies Inc and the General Hospital (Gen Hospital Corp), all with over 20 patents.
A detailed analysis of the University of California patents reveals a great number of patents in testing and
measuring processes involving enzymes or microorganisms; compositions therefor (C12Q1/68 and
C12Qa/02); processes of preparing such compositions involving nucleic acids (C12Q1/68) or involving viable
microorganisms (C12Q1/02). Some examples of these patents include:
 Colorimetric bio-barcode method for detecting nucleic acids, in urine; forms complex between
nucleic acids, porous microparticle probe and magnetic nanoparticle probe if nucleic acid is present in
sample [19].
 Composition for modulating gene expression or gene product production in a cell; comprises
nanostructure that absorbs energy at a near infrared wavelength. The composition and method allow for
the perturbation of single gene expression and the study of this single effect on an entire system of genes
and proteins, thus having far-reaching implications in biotechnology, systems biology, cancer therapy
and gene therapy [20].

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 A device for the detection of kinase and/or phosphatase surface comprising features that enhance
Raman scattering. This feature comprises nanoscale features e.g. nanoscale pyramids, nanoscale dots,
nanotubes etc [21].
Nanosphere Inc., with 33 patents/applications, focuses on measuring or testing processes involving enzymes
or microorganisms and investigating or analyzing materials. Some examples are:
 Method for detecting the presence of target analytes in a sample by illuminating nanoparticle probes
in the confinement conditions. This invention provides high-sensitivity detection of target proteins or
nucleic acids based on flow analysis of single particles [22].
 Detection of target analyte, e.g. nucleic acids or proteins, useful for diagnosis of genetic and
infectious diseases. Detection of target analyte having at least two portions, comprises a type of
nanoparticle having a specific binding complement of a target analyte attached to the nanoparticle, the
complement being capable of recognizing at least two different segments of the target analyte; forming a
light scattering complex by contacting a sample containing specific binding complement with
nanoparticle and with polysaccharide under conditions to allow binding of specific complement to two or
more portions of the target analyte; illuminating the light scattering complex under conditions to produce
scattered light from the complex; and detecting the scattered light from the complex as a measure of the
presence of the target analyte. The method provides much higher sensitivity in nucleic detection. It
enables the detection of aggregates in the presence of excess non-aggregate particles which drives
hybidization in the presence of low target concentrations [23].
Subsector MEDICAL APPARATUS AND MEDICAL CARE
Medical Apparatus and Medical Care involves seven health IPC subclasses connected to nanotechnology.
1st subclass: Included in A61F: filters implantable into blood; prostheses, i.e. artificial substitute appliances
for connecting them with the body; absorbent pads.
There were a total of 975 patents applied for / granted in the last ten years in this subclass, with 70% going to
organizations from the United States. The top patent holders/applicants from this country were Boston Sci
Scimed (around 10% of the US patents), followed by Abbot Cardiovascular Systems Inc. and Kimberly-Clark
Worldwide Inc., each with 5% of the US total.
The focus of Boston Sci Scimed’s patents is on formation devices, e.g. blood filters, artificial heart valves and
delivery devices (A61F2/82 and A61F2/06), examples of which are:
 The medical device is formed by depositing a biocompatible metallic layer. The metallic layer has a
grain structure, nanocrystalline. The devices have desired mechanical properties and geometries used for
forming stents, blood filters and artificial heart valves [24].
 The medical device e.g. guide catheter comprises at least one nanocomposite material and
nanoparticulate filler [25].

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 Nanocapsules for localized drug delivery comprise therapeutic agent useful for implantable or
insertable medical devices [26].
 Nano-actuated medical device for deploying other medical devices (catheter and stent) comprises
housing and nano actuator associated with housing. It is used for processing a tissue sample for biopsy
using medical device [27, 28].
 Medical apparatus for medical treatment comprises a medical device sized for insertion into patient,
having several nanotubes on one surface that enhance the performance and diagnostic capabilities of the
medical device. A therapeutic agent is delivered into the target site, once the nanotube containing the
therapeutic agent reaches the delivery site [29].
 Coating article useful in medical appliances e.g. stent; involves treating a solution comprising
bioactive agent and carbon nanotube precursor to form several carbon nanotubes and applying the
solution to the article [30, 31].
 Guide catheter has at least one component prepared from nanocomposite material; comprises matrix
material and nanoparticulate filler particles [25].
At Abbot Cardiovascular Systems, the patents are for:
 Medical device (stent) useful for treating disorders, e.g. atherosclerosis, thrombosis, vascular
aneurysm; comprises bioactive agent and nanoparticles [32].
Examples of Kimberly-Clark Worldwide’s patents are for:
 Compositions useful for absorbent article, preferably diaper [33], method of reduction of odor
involves contacting substrate containing thin coating of colloidal nanoparticles with odorous compound
[34, 35]
 Disposable absorbed article has nanofabricated attachment unit with adhesive hairs; comprises
hollow materials, microspheres and carbon nanotubes [36].
2nd subclass: Included in A61G (A61G12/00, A61G7/057, A61G17/00, A61G17/06, A61G9/00). This group
involves accommodation and beds for nursing, e.g. hospitals; devices for lifting patients or disabled persons;
coffins, wrappings; sanitary devices.
In this group, there were only 14 patent applications submitted by 14 entities, nine being firms and five,
inventors, dating from 2006 to 2010. No patents were identified for the first five years of the period under
study. Some examples are:
Neubauer claims a coated narrow body substance provided with nano-technologically modified antimicrobial
oligoidyne silver compound The coated narrow body substance prevents body odor; releases the active
substance for long-term; and is comfortable and useful for wheelchair seats and arm supports [37].

14
DuPont has a patent for a nanosensor for detecting analytes for use in medical applications for bedridden
persons; comprises semi-conductive carbon nanotube and responds to a target analyte by altering the redox
potential of redox effectors in solution [38].
Inventors Sung C L. and Jeoung H. K. claim a multifunctional urn wrap used for preserving bones of dead
bodies (improved antibacterial property) produced by depositing nanosilver colloidal on fabric and applying a
mixture of nanosilver colloid. [39].
Digomed claim a mobile roll car for use by doctors in hospitals, for guiding actual information e.g. test
reports, of patients; has monitor housing exhibiting a degree of protection for contact. The surface of the
monitor housing has an antimicrobial coating e.g. lacquering with a nanoscale silver as active substance [40].
3rd subclass: This relates to physical therapy apparatus, e.g. percussion or vibration massage, exercisers for
eyes; bathing devices for special therapeutic or hygiene purposes (A61H 23/02, A61H33/02).
Between 2002 and 2010, 42 patent applications were made by 28 firms; only two made more than one
application: Sharp KK (three) and Candela Corp in partnership with Inolase 2002 Ltd (two).
Below are the Sharp KK patents:
 Therapeutic bathtub apparatus for treating various illness (e.g. diabetes treatment, central nerves) has
nanobubble and/or nanosized medical component generating section combining nanobubble or a
nanosized medical component with bath water from bathtub and circulates the bath water to the bathtub,
so that the nanobubbles are easily absorbed into the user’s skin, thus obtaining a therapeutic effect for
various illness and maintaining health [41, 42].
The patents held / applied for by Candela Corp in partnership with Inolase 2002 Ltd. concern the time
(nanosecond) for the application of monochrome light.
 The invention controls the depth of light absorption by blood vessels under skin surface [43].
 Control of light absorption by blood vessels under skin surface: the wavelength is 400-1800nm. The
pulse duration is 10 nanoseconds to 900nsec [44].
4th subclass: This group concerns devices or methods specially adapted for bringing pharmaceutical products
into particular physical or administering focus (A61J3/06, A61J3/07).
A total of 90 patents were applied for / granted between 2000 and 2010. The country with the most patents
was the United States, with 41, distributed amongst a number of different organizations. The only firms to
apply for two were Hewlett-Packard Development Co (HP), LP and UMD Inc. An example of the HP patent
is:
 Preparation of deposited bioactive agent in the form of nanoparticles that exhibit selected
morphology. The particles, measuring less than 1 micron, may offer improved bioavailability when
administered to a patient [45].

15
5th subclass: This group relates to materials for catheters, prostheses or coatings therefor (A61L29/00,
A61L27/00), materials for coating surgical articles, characterized by their function or physical properties
(A61L31/14, A61L31/08, A61L31/16).
1409 patents were granted / applied for in the last ten years by 942 organizations, with 47% going to the
United States.
The top patent holder/applicant is Boston Sci Scimed Inc., with 72 patents, followed by Abbott
Cardiovascular Systems Inc. (27) and Kimberly-Clark Worldwide Inc. (21). Examples of the Boston Sci
Scimed patents are:
 A process of covering the surface of medical devices useful in the treatment of, e.g. restenosis:
Coating medical device to be implanted in the body of a patient involves spraying a carrier polymer at the
exterior of medical device, and spraying therapeutic particles at the exterior of the medical device [46].
 Medical device comprises at least one nanocomposite material comprising matrix material and
nanoparticulate filler particles; use in medical care as guide catheter. Also useful in urinary application,
cardiovascular application, balloon, guide wire, etc. The device can be produced with a desired array of
properties and capabilities using a lesser amount of materials and processing techniques, and the device
allows for the delivery of therapeutic agent [25].
 A method of embedding nanoparticles into medical devices by spraying a solution containing the
nanoparticles from a charged nozzle, evaporating the solution to form a stream of charged nanoparticles,
energizing electrode, having polarity opposite to charged nanoparticles, and placing the medical device in
the stream so that the charged nanoparticles are embedded in the medical device upon impact [47].
 Nanocapsule for localized drug delivery comprises therapeutic agent, a polyelectrolyte multilayer
shell encapsulating the therapeutic agent and a tissue specific ligand. For use in implantable or insertable
medical device e.g. catheter, guide wire, stent, pacemaker, heart valve, used in the delivery of therapeutic
agent, e.g. immunosuppressive and/or anti proliferative agents, to the body. By providing magnetic
nanoparticles inside a biodegradable coating, upon inflation into patient, the number of particles will
diminish, making the device less magnetic over time [48].
6th subclass: This subclass concerns catheters, balloon catheters, devices for introducing or retaining media,
e.g. remedies, in cavities of the body (A61M31/00, A61M25/00, A61M25/10, A61M29/00, A61M29/02,
A61M25/01).
Between 2000 and 2010, 500 patents were applied for by / granted to 374 entities. The United States
accounted for 66% of these, of which 10% went to Boston Sci Scimed Inc. Examples include:
 Guide catheter has at least one component prepared from nanocomposite material, comprising matrix
material and nanoparticulate filler particles. By employing nanocomposite materials, medical devices can

16
be produced with a desired array of properties using a lesser amount of materials and/or processing
techniques [25]
 Other example is related to nano actuated medical device for, e.g. procuring tissue sample for biopsy,
deploying other medical devices, e.g. catheter and stent, comprises housing and nano actuator associated
with housing; the invention provides higher actuator forces and mechanical energy density [27].
7th subclass: This covers electrotherapy, electrodes for implantation or insertion into the body, e.g. heart
electrode (A61N 1/05, A61N 1/00).
In the time period in question, 342 patents or patent applications were identified, 80% for the United States,
with two firms accounting for over ten each: Boston Sci Scimed (12) and Medrionic (11).
Boston Sci Scimed’s patents / patent applications include:
 Medical device for implantation/insertion into subject for diagnostics, systemic/localized treatment
of mammalian tissue or organ, has particle-containing region that comprises electrically aligned,
elongated particle with matrix. The elongated particles comprise ceramic elongated particles, conductive
elongated particles, carbon nanofilaments, carbon, nanotubes, derivatives carbon nanotubes, polymer-
functionalized carbon nanotubes [49].
 Leadless implantable medical device, for e.g. stimulating cardiac tissue of patient, has electrodes
comprising nanostructures, where portions of electrode nanostructures are partially encapsulated within
living cells such as myocardial cells, so that the nanostructures are compatible with cell membranes, and
hence facilitating growth of the cell membranes around the nanostructures while increasing cell life in a
easy manner [50].
Analyzing all the patent documents for the seven subclasses of medical apparatus and medical care, a total of
2627 patents were identified, with the leading firms being Boston Sci Scimed (97 patents), Abbott
Cardiovascular Systems (37 patents) and Medtronic (30 patents). The patents are often listed in more than one
subclasse. Subclass A61L, which also includes methods or apparatus for sterilizing materials or objects in
general; disinfection, sterilization, is a category that applies to over half (54%) of the patents relating to
Medical Apparatus and Medical Care. Another example is Boston Sci Scimed, of whose 97 patents, around
30% are classified under A61L and A61F (filters implantable into blood vessels; prostheses, etc.).
4. Case study: Brazil
Patenting in nanotechnology and health in Brazil is spread amongst several foreign firms, headed by Elan
Pharma. Only three of the ten biggest patent holders / applicants are Brazilian institutions, and all of these are
public universities (see Table 6). The patent applicants / holders for dental health are not amongst these
leading organizations.

17
Table 6 – Leading holders of / applicants for patents in nanotechnology and health in Brazil and respective
sectors of application
No. of
Patents
Patent Applicant / Holder Drugs
Diag.
Kits
Medical App. &
Medical Care
19 ELAN PHARMA INT LTD 19 2
7 CINVENTION AG 2 6 1
7
BLUE MEMBRANES GMBH
2
6
1
7
FEDERAL UNIVERSITY OF MINAS GERAIS
6
2
7
KIMBERLY-CLARK WORLDWIDE INC
5
7
1
6
PFIZER INC
6
6
ASGARI S
1
6
1
6
UNICAMP (STATE UNIVERSITY OF
CAMPINAS) 6
6 UNIV ILLINOIS FOUND 6 3
5 NOVARTIS AG 4 3
5
FEDERAL UNIVERSITY OF RIO GRANDE
DO SUL
5
5 JOHNSON & JOHNSON 5 4
Source: Prepared by the authors using data collected from the Derwent Innovation Index in May 2011
Elan Pharma’s patents mostly relate to drugs, although two of their patents also relate to diagnostic kits. The
Brazilian institutions focus primarily on drugs.
Health Subsectors in Brazil
In Brazil, a total of 352 patent documents were identified that involved nanotechnology applied to health for
2000 to 2010, corresponding to around 5% of the total patents / patent applications in the world. Their
distribution in different areas of health is shown in Table 5.
Table 5 – Number of patent documents relating to nanotechnology and health published between 2000 and
2010 in Brazil
Health subsectors /IPC Subclasses
No. of patents
in Brazil
DENTAL CARE
8
DRUGS
299
DIAGNOSTIC KITS
85
MEDICAL APPARATUS & MEDICAL CARE
119
• filters implantable into blood vessels; prostheses; orthopaedic, nursing or
contraceptive devices; fomentation; treatment or protection of eyes or ears;
bandages, dressings or absorbent pads; first-aid kits
48
• transport or accommodation for patients; operating tables or chairs; chairs for
dentistry; funereal devices
0
• physical therapy apparatus, e.g. devices for locating or stimulating reflex points
in the body; artificial respiration; massage; bathing devices for special
therapeutic or hygienic purposes or specific parts of the body
1
• containers specially adapted for medical or pharmaceutical purposes; devices or
methods specially adapted for bringing pharmaceutical products into particular
12

18
Health subsectors /IPC Subclasses
No. of patents
in Brazil
physical or administering forms; devices for administering food or medicines
orally; baby comforters; devices for receiving spittle
• methods or apparatus for sterilizing materials or objects in general; disinfection,
sterilization, or deodorization of air; chemical aspects of bandages, dressings,
absorbent pads, or surgical articles; materials for bandages, dressings, absorbent
pads, or surgical articles
74
• devices for introducing media into, or onto, the body; devices for transducing
body media or for taking media from the body; devices for producing or ending
sleep or stupor
19
• electrotherapy; magnetotherapy; radiation therapy; ultrasound therapy
7
Source: Prepared by the authors using data collected from the Derwent Innovation Index in May 2011
Research in nanotechnology in conjunction with health expressed in terms of patent applications in Brazil
from 2000 to 2010 shows that patents for drug applications predominate.
There were just eight patents applied for / granted for dental care, with 3M Innovative Properties Co. and
Bayer Material Science AG accounting for two each, both focusing on material for dental prostheses filling
capping teeth (A61C13/00, A61C13/08, A61C5/08).
In the period, 299 applications were made for nanotechnology patents with drug applications by 15
organizations, the largest being Elan Pharma, Merck & Co., Pfizer and the University of Illinois, with Elan
Pharma accounting for 19 and the others with six apiece. The focus of all the patents is on nanoparticulate
composition useful for treating several diseases.
Elan Pharma applied for patents for medicinal preparations characterized by special physical form
(A61K9/10). Examples:
 Injectable nanoparticulate olanzapine composition, useful to treat e.g. central nervous system
disorder and schizophrenia [51].
 Injectable nanoparticulate tacrolimus formulation for treatment or prophylaxis of e.g. organ refection
and psoriasis [52].
 Nanoparticulate benzothiophene composition useful for treating osteoporosis and breast cancer [53].
 Nanoparticulate composition used as aerosol or injectable composition for treating e.g. status
epilepticus and acute psychosis [54].
When it comes to diagnostic kits, Brazil has 85 patents / patent applications, but only five patent applicants /
holders accounting for more than one patent: Bayer Material Science AG, University of Illinois Foundation,
Astra-Tech AB, Becton Dickinson & Co and the University of Texas. The first two have three
patents/applications each, while the others have two apiece.
 Bayer Material Science acts in medical devices e.g. cannulas and catheters for diagnosis. The device
comprises a coating containing nanocrystaline silver particles thickener [55].

19
 The University of Illinois Foundation focuses on investigating or analyzing materials. New
membrane scaffold protein for forming nanoscale particles, useful in biological research in
pharmaceutical industry and in biotechnology [56].
In Medical Apparatus and Medical Care, which contains seven subclasses, there is:
 Subclass 1, corresponding to filters implantable into blood; prostheses, i.e. artificial substitutes
appliances for connecting them with the body, absorbents pads (A61F), had 48 applications from 2001 to
2010. The main applicant was Kimberly-Clark Worldwide, with a focus on absorbent articles e.g. diaper,
adult incontinence garment or feminine napkin. The article contains bodily excaudate modifying agent
neutralizer, it can be a nanoemulsion comprising vegetable oil in water emulsion [57].
 Subclass 2, corresponding to transport and accommodation for patients (A61G), was not the target of
any patent applications in the ten-year period in question.
 Subclass 3, physical therapy apparatus, percussion or vibration massage exercisers for eyes; bathing
devices for special therapeutic or hygiene purposes (A61H), had only one application by VP Holding
LLC for bath apparatus for stimulating reflex points in the bath through nanobubbles [58].
 Subclass 4, corresponding to devices or methods specially adapted for bringing pharmaceutical
products into particular physical or administering focus (A61J), was the target of 12 patent applications in
Brazil, practically two a year. Bayer Material Science AG had two, focusing on feeding tubes for
therapeutic purposes A61J15/00, e.g. cannulas and urological catheters comprising a coating comprises
nanocrystalline silver particles [55].
 In Brazil, subclass 5 (materials for catheters, for prostheses or for coating them, materials for coating
surgical articles, characterized by their function or physical properties [A61L]) is related to
deodorization. A total of 74 patents were applied for / granted throughout the ten-year period. Kimberly-
Clark Worldwide is the leader, with seven patents / applications, focusing on A61L15-16 (absorbent pads
for physiological fluids such as urine or blood, e.g. sanitary towels, tampons). The absorbent article has
an agent for controlling, e.g. nanoemulsion (vegetable oil in water emulsion) [59].
 Subclass 6, devices for introducing media into or onto the body (A61M), attracted only 19
applications from 2000 to 2009, and only two firms made more than one application: Bayer Material
Science AG and Pharmacia Corp (two each). Bayer Material Science AG focuses on medical devices
(cannules and catheters) for carrying off, for treatment of, or for carrying-over body liquids. The device
comprises a coating comprises nanocrystaline silver particles with an average size of 1-100 nm [55].
 Subclass 7, relating to electrotherapy (A61N), was the target of seven patent applications in Brazil
between 2000 and 2009, with Bayer Material Science AG (two patents) as the only one with more than
one application, for devices e.g. circulatory support the medical device provides improved strength and
capable of releasing active antimicrobial substances with satisfactory performance. The device comprises
a coating. The coating comprises nanocrystalline silver particles measuring 1-100 nm [60].

20
Conclusion
Generally speaking, there has been a rise in the number of patents in the health sector that make use of
nanotechnology. The USA is the leading country in all the subsectors studied, based on the IPC classification:
dental care; diagnostic kits; drugs and medical apparatus, and medical care.
As for which organizations are the leading patent applicants / holders, American universities have a marked
presence in nanotechnology patents applied to health in the four subsectors studied. In the private sector, the
two most active company are Elan Pharma (in drugs) and Boston Sci Scimed Inc (in medical apparatus and
medical care).
Dental care was the target of fewer patent applications than the other health subsectors in the ten-year period
under study. The patents involving nanotechnology for this segment were for composite material for the
manufacturing of dental appliances. In the drugs subsector, the focus is on the use of nanoparticulate
compositions, which are useful agents for a variety of diseases. Patents for diagnostic kits include the use of a
nanostructure capable of detecting a target analyte. Meanwhile, in medical apparatus & medical care the
patent applications are primarily for nanocapsules and/or nanocomposite materials inserted in devices and
guide catheters.
Looking specifically at patents in Brazil, the same leadership by the United States as seen in the global trend
is apparent in Brazil, with the top patent applicant / holder likewise being Elan Pharma, in the drugs
subsector.
Acknowledgements
Authors thank to CAPES (Coordenação de Aperfeiçoamento de Pessoal de Nível Superior) for access to the
Derwent database, available at the CAPES Journal Portal (http://www.periodicos.capes.gov.br/).
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24
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