<!DOCTYPE article PUBLIC "-//NLM//DTD JATS (Z39.96) Journal Archiving and Interchange DTD v1.0 20120330//EN" "JATS-archivearticle1.dtd">
<article xmlns:xlink="http://www.w3.org/1999/xlink">
  <front>
    <journal-meta />
    <article-meta>
      <title-group>
        <article-title>CTO: a Community-Based Clinical Trial Ontology and its Applications in PubChemRDF and SCAIView</article-title>
      </title-group>
      <contrib-group>
        <contrib contrib-type="author">
          <string-name>Asiyah Yu LIN</string-name>
          <email>yu.lin@fda.hhs.gov</email>
          <xref ref-type="aff" rid="aff0">0</xref>
          <xref ref-type="aff" rid="aff1">1</xref>
          <xref ref-type="aff" rid="aff11">11</xref>
          <xref ref-type="aff" rid="aff2">2</xref>
          <xref ref-type="aff" rid="aff5">5</xref>
          <xref ref-type="aff" rid="aff8">8</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Stephan GEBEL</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
          <xref ref-type="aff" rid="aff11">11</xref>
          <xref ref-type="aff" rid="aff2">2</xref>
          <xref ref-type="aff" rid="aff5">5</xref>
          <xref ref-type="aff" rid="aff6">6</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Qingliang Leon LI</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
          <xref ref-type="aff" rid="aff11">11</xref>
          <xref ref-type="aff" rid="aff3">3</xref>
          <xref ref-type="aff" rid="aff5">5</xref>
          <xref ref-type="aff" rid="aff7">7</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Sumit MADAN</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
          <xref ref-type="aff" rid="aff11">11</xref>
          <xref ref-type="aff" rid="aff3">3</xref>
          <xref ref-type="aff" rid="aff5">5</xref>
          <xref ref-type="aff" rid="aff6">6</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Johannes DARMS</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
          <xref ref-type="aff" rid="aff11">11</xref>
          <xref ref-type="aff" rid="aff5">5</xref>
          <xref ref-type="aff" rid="aff6">6</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Evan BOLTON</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
          <xref ref-type="aff" rid="aff11">11</xref>
          <xref ref-type="aff" rid="aff5">5</xref>
          <xref ref-type="aff" rid="aff7">7</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Barry SMITH</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
          <xref ref-type="aff" rid="aff11">11</xref>
          <xref ref-type="aff" rid="aff5">5</xref>
          <xref ref-type="aff" rid="aff8">8</xref>
          <xref ref-type="aff" rid="aff9">9</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Martin HOFMANN-APITIUS</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
          <xref ref-type="aff" rid="aff11">11</xref>
          <xref ref-type="aff" rid="aff5">5</xref>
          <xref ref-type="aff" rid="aff6">6</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Yongqun Oliver HE</string-name>
          <email>yongqunh@med.umich.edu</email>
          <xref ref-type="aff" rid="aff0">0</xref>
          <xref ref-type="aff" rid="aff10">10</xref>
          <xref ref-type="aff" rid="aff11">11</xref>
          <xref ref-type="aff" rid="aff4">4</xref>
          <xref ref-type="aff" rid="aff5">5</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Alpha Tom KODAMULLIL</string-name>
          <email>alpha.tom.kodamullil@scai.fraunhofer.de</email>
          <xref ref-type="aff" rid="aff0">0</xref>
          <xref ref-type="aff" rid="aff11">11</xref>
          <xref ref-type="aff" rid="aff4">4</xref>
          <xref ref-type="aff" rid="aff5">5</xref>
          <xref ref-type="aff" rid="aff6">6</xref>
        </contrib>
        <aff id="aff0">
          <label>0</label>
          <institution>Arbor</institution>
          ,
          <addr-line>Michigan</addr-line>
          ,
          <country country="US">USA</country>
        </aff>
        <aff id="aff1">
          <label>1</label>
          <institution>Center for Devices and Radiological Health</institution>
          ,
          <addr-line>FDA, Silver Spring, MD</addr-line>
          ,
          <country country="US">USA</country>
        </aff>
        <aff id="aff2">
          <label>2</label>
          <institution>Co-1st author</institution>
        </aff>
        <aff id="aff3">
          <label>3</label>
          <institution>Co-2nd author</institution>
        </aff>
        <aff id="aff4">
          <label>4</label>
          <institution>Co-last author</institution>
        </aff>
        <aff id="aff5">
          <label>5</label>
          <institution>Computing (SCAI)</institution>
          ,
          <addr-line>Schloss Birlinghoven, Sankt Augustin</addr-line>
          ,
          <country country="DE">Germany</country>
        </aff>
        <aff id="aff6">
          <label>6</label>
          <institution>Department of Bioinformatics, Fraunhofer Institute for Algorithms and Scientific</institution>
        </aff>
        <aff id="aff7">
          <label>7</label>
          <institution>National Center</institution>
        </aff>
        <aff id="aff8">
          <label>8</label>
          <institution>National Center for Ontological Research</institution>
          ,
          <addr-line>Buffalo, NY</addr-line>
          ,
          <country country="US">USA</country>
        </aff>
        <aff id="aff9">
          <label>9</label>
          <institution>University at Buffalo</institution>
          ,
          <addr-line>Buffalo, NY</addr-line>
          ,
          <country country="US">USA</country>
        </aff>
        <aff id="aff10">
          <label>10</label>
          <institution>University of Michigan Medical School</institution>
          ,
          <addr-line>Ann</addr-line>
          ,
          <country country="US">USA</country>
        </aff>
        <aff id="aff11">
          <label>11</label>
          <institution>for Biotechnology Information, National Library of Medicine, National Institutes of Health</institution>
          ,
          <addr-line>Bethesda, MD 20894</addr-line>
          ,
          <country country="US">USA</country>
        </aff>
      </contrib-group>
      <abstract>
        <p>Driven by the use cases of PubChemRDF and SCAIView, we have developed a first community-based clinical trial ontology (CTO) by following the OBO Foundry principles. CTO uses the Basic Formal Ontology (BFO) as the top level ontology and reuses many terms from existing ontologies. CTO has also defined many clinical trial-specific terms. The general CTO design pattern is based on the PICO framework together with two applications. First, the PubChemRDF use case demonstrates how a drug Gleevec is linked to multiple clinical trials investigating Gleevec's related chemical compounds. Second, the SCAIView text mining engine shows how the use of CTO terms in its search algorithm can identify publications referring to COVID-19-related clinical trials. Future opportunities and challenges are discussed.</p>
      </abstract>
      <kwd-group>
        <kwd />
        <kwd>clinical trial</kwd>
        <kwd>clinical trial registry</kwd>
        <kwd>ontology</kwd>
        <kwd>BFO</kwd>
        <kwd>COVID-19</kwd>
      </kwd-group>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>1. Introduction</title>
      <p>
        Clinical trials are research studies conducted on human participants to evaluate medical,
surgical, or behavioral interventions involving investigational drugs, devices, diagnostic
products, treatments and the like. Well-designed and well-conducted clinical trials are
considered the best source of evidence to evaluate the efficacy and safety of medical
interventions[
        <xref ref-type="bibr" rid="ref1">1</xref>
        ]. As human subjects are involved, clinical trials are subject to the
Declaration of Helsinki requirement to the effect that any interventional clinical trial
should be reported in a timely fashion[
        <xref ref-type="bibr" rid="ref2">2</xref>
        ]. In 2015, WHO reaffirmed the ethical imperative
of reporting results of clinical trials, and outlined the steps for linking clinical trial
registries to their published results[
        <xref ref-type="bibr" rid="ref3">3</xref>
        ].In the USA, Title VIII of the Food and Drug
Administration (FDA) Amendments Act of 2007 (FDAAA) mandates sponsors and
others responsible for certain clinical trials of FDA-regulated drug, biologic, and device
products to register their studies and report summary results in ClinicalTrials.gov, which
is managed by the National Library of Medicine (NLM)[
        <xref ref-type="bibr" rid="ref4">4</xref>
        ]. Similarly, the European
Union Clinical Trials Directive 2001/20/EC and European clinical trials regulation (No
536/2014) requires research transparency and openness to the public[
        <xref ref-type="bibr" rid="ref5">5</xref>
        ].
      </p>
      <p>
        Numerous clinical trial registries have been established by governments,
nongovernmental organizations, universities, as well as commercial and nonprofit entities.
Examples include WHO’s International Clinical Trials Registry Platform (ICTRP,
https://www.who.int/ictrp/en/), ClinicalTrials.gov in the US, the European Union
Clinical Trials Register (https://www.clinicaltrialsregister.eu/), and other nation- or
country-specific centralized clinical trial registries. Different clinical trial registries apply
different clinical trial standards and use different vocabularies, and this results in siloed
clinical trial reporting and heterogeneity of reported data. The ICTRP comprehends 20
district registry platforms including ClinicalTrials.gov. To facilitate data transformation,
the WHO and the International Committee of Medical Journal Editors (ICMJE)
developed the WHO/ICMJE ClinicalTrials.gov Cross Reference[
        <xref ref-type="bibr" rid="ref6">6</xref>
        ], which provides
mappings between WHO’s 24 data elements and the Registration Data Elements used in
ClinicalTrials.gov. Yet, even in this mapping document we find the ambiguous use of
similar terms and mismatched granularities of terminologies.
      </p>
      <p>
        Ontologies have been one of the solutions proposed as integrative framework for the
harmonization of terminologies in cases such as this. An ontology is a representation of
the types of entities in a given domain and of the relations between them and including
also a set of definitions of its terms and relational expressions. The ontology provides a
controlled vocabulary, and computer-interpretable definitions of its terms using the
OWL description logic which at the same time establishes a formal semantics. The
ontology provides also human-readable natural language definitions to guide both
developers and users of the ontology. An ontology-based data integration framework
thereby provides an intermediate translational layer to harmonize different terminologies
without creating new common data elements. It also provides an extendable and
sustainable solution to maintain machine-readable mappings among multiple
terminologies. To achieve these goals it is important to use a community-based strategy
to develop the ontology in order to promote maximum community involvement in
development of the ontology and in usage of the ontology to create annotations[
        <xref ref-type="bibr" rid="ref7">7</xref>
        ].
      </p>
      <p>
        The Open Biological and Biomedical Ontologies (OBO) Foundry is a community of
ontology developers committed to the collaborative and coordinated realization of these
goals, and they have established a set of principles for ontology development, including
use of the realism-based top-level Basic Formal Ontology (BFO)
(http://basic-formalontology.org/), which has been adopted as top level by over 200 ontology development
groups in the biomedical domain[
        <xref ref-type="bibr" rid="ref8">8</xref>
        ], and which has recently been approved as an ISO/IEC
21838-2 standard (https://www.iso.org/standard/71954.html)
      </p>
      <p>The principles of the OBO Foundry are designed to foster the compatibility and
interoperability of its member biomedical ontologies, and therefore we use OBO
ontologies as the base for the development of the Clinical Trial Ontology (CTO) with the
goal of formally representing and integrating all terminologies used in clinical trials.</p>
    </sec>
    <sec id="sec-2">
      <title>2. Methodology</title>
      <sec id="sec-2-1">
        <title>2.1. Development of Clinical Trial Ontology (CTO)</title>
        <p>
          More specifically, the goal of CTO is to align and expand all terminologies used by
clinical trial registries in order to represent clinical trial data at multiple levels of
granularity. As a prototype, we started by ontologizing the small set of 24 terms outlined
in the WHO/ICMJE – ClinicalTrials.gov Cross Reference[
          <xref ref-type="bibr" rid="ref6">6</xref>
          ]. Both top-down and
bottomup approaches were applied for this purpose. For our top-down approach we used BFO
as the top level of CTO itself, which then largely reuses BFO-based OBO ontologies
such as the Ontology for Biomedical Investigation (OBI), the Information Artifact
Ontology (IAO), and the Ontology for Precision Medicine and Investigation (OPMI)[
          <xref ref-type="bibr" rid="ref9">9</xref>
          ].
We reuse also the previously developed Clinical Trial Ontology-Neurodegenerative
Diseases (CTO-NDD)[
          <xref ref-type="bibr" rid="ref10">10</xref>
          ], which was re-engineered to be BFO compliant. Domain
experts, ontologists, bioinformaticians, and software developers met weekly to discuss
the term definitions and hierarchy. The team investigated and vetted the terms and
definitions from all existing clinical trial-related terminologies, including but not limited
to: CDISC, NCIt, SNOMED CT, and OCRe. Besides the definitions provided by WHO
and ClinicalTrials.gov, we employed terminologies such as the NCI Thesaurus where
needed to complement the textual definitions of terms in CTO. The PICO
framework[
          <xref ref-type="bibr" rid="ref11 ref12">11,12</xref>
          ] was adopted to model the key terms used in the clinical trial domain.
        </p>
        <p>
          The Protégé OWL editor was used to construct the ontology, and the OntoFox
tool[
          <xref ref-type="bibr" rid="ref13">13</xref>
          ] was used to import and reuse terms from other OBO Foundry ontologies. For the
Gleevec PubChemRDF use case, the Cmap tool (https://cmap.ihmc.us/) was used to draw
pattern designs, and the RDFLib tool was used to create RDF graphs. For the SCAIView
text mining use case, the tagger for the clinical trial identifiers and registry terms was
implemented using the Apache Unstructured Information Management Architecture
(UIMA) (https://uima.apache.org) and Apache UIMA RutaTM
(https://uima.apache.org/ruta.html). A COVID-19 related literature corpus was
processed in a parallel mode with Apache Spark (https://spark.apache.org/) running on a
single node of four Intel® Xeon® Platinum 8160 CPUs with 96 cores (192 threads) and
1.5TB RAM in the inhouse HPC cluster.
        </p>
      </sec>
      <sec id="sec-2-2">
        <title>2.2. Ontology Deposition and License</title>
        <p>As an open source community-based development project, CTO is available at GitHub
(https://github.com/ClinicalTrialOntology/CTO) with Creative Commons Attribution
4.0 International Public License (CC-BY) license. CTO is listed as a reference ontology
in OBO foundry, and can be searched via the Ontobee interface:
http://www.ontobee.org/ontology/CTO. In addition, CTO is also available via the
BioPortal repository.</p>
      </sec>
    </sec>
    <sec id="sec-3">
      <title>3. Results</title>
      <sec id="sec-3-1">
        <title>3.1. CTO ontology architecture</title>
        <p>
          CTO is a hybrid of multiple OBO Foundry ontology terms and clinical trial-specific
terms, descending from BFO through a process of specialization (passing from the more
general to the less general by means of two-part definitions, as outlined in[
          <xref ref-type="bibr" rid="ref14">14</xref>
          ]), and with
OBO ontology terms in the middle and CTO specific terms at the bottom (Figure 1).
        </p>
        <p>First, CTO terms relating to processes are included under ‘occurrent’ (BFO). For
example, some processual terms are listed under ‘planned process’ (OBI); this includes
the ‘clinical trial’ itself which is included as a child of ‘human subject study’ (OPMI),
which is itself a child of ‘investigation’ (OBI); and the ‘clinical trial enrollment’ is a
subclass of ‘human subject enrollment’ (OBI), which is a child term of ‘selection’ (OBI).
Another set of processual CTO terms are date-related, as in: ‘clinical trial study
completion date’, which is a child of ‘zero-dimensional temporal region’ (BFO), which
is itself a child of ‘temporal region’ (BFO).</p>
        <p>Second, examples of CTO terms representing what BFO calls continuants are:
1) terms under BFO ‘material entity’ such as: ‘clinical trials registry organization’ –
a subclass of ‘organization’ (OBI), and ‘clinical trial participant’ – a subclass of ‘human
subject’ (OPMI);</p>
        <p>2) terms under BFO ‘realizable entity’ such as ‘clinical trial sponsor role’, a subclass
of ‘role’ (BFO); 3) terms under IAO ‘information content entity’ such as ‘clinical trial
registry identifier’, the latter a subclass of ‘centrally registered identifier’ (IAO), and
also: ‘title of clinical trial’ – a subclass of ‘textual entity’ (IAO). Terms such as ‘inclusion
criterion’ and ‘exclusion criterion’ have been defined in OBI and were directly imported
into CTO.</p>
      </sec>
      <sec id="sec-3-2">
        <title>3.2. CTO modeling of the PICO elements for clinical trials</title>
        <p>
          PICO is a knowledge representation framework designed to allow the formulation of the
clinical research questions that arise in evidence based medicine[
          <xref ref-type="bibr" rid="ref11 ref12">11,12</xref>
          ]. Here ‘P’ stands
for “Population of interest/Patient/Problem”, ‘I’ for “Intervention exposure to be
considered–treatments/tests”, ‘C’ for “Control/comparison intervention
treatment/placebo/standard of care” and ‘O’ for “Outcome of interest”. We started with
the representation of a clinical trial by modeling these PICO elements (Figure 2). With
‘human subject’ as its participates, a ‘clinical trial’ investigates a ‘medical condition’ (P),
which inheres in an ‘enrolled patient’ (P). The shortcut relation ‘investigates condition’
was created to establish a direct link between a clinical trial and a condition or disease.
The ‘medical intervention’ (I) is a planned process that forms a part of a ‘clinical trial’.
The comparison group or treatment in a clinical trial is represented by the term ‘placebo
medical intervention’ (C), which is itself a child of ‘medical intervention’. A ‘clinical
trial participant’ who participates in the ‘placebo medical intervention’ is a member of a
comparison group (C). The ‘clinical trial’ has part ‘outcome measurement’ (O), which
has subclasses: ‘primary outcome measurement’ (O) and ‘secondary outcome
measurement’ (O). As a planned process, the specific output of the process of ‘outcome
measurement’ is an ‘outcome measurement datum’ (O). The ‘outcome measurement’
realizes and concretizes the ‘outcome specification’, which is a part of the ‘study design’.
A ‘clinical trial’ realizes the plan specified in its ‘study design’, which is itself created
during the clinical trial planning phase. To facilitate data integration, another shortcut
relation ‘has outcome result’ was created to link ‘clinical trial’ to ‘outcome measurement
datum’.
        </p>
        <p>CTO defines the ‘study design’ as a specification created during the planning phase
of a clinical trial. The ‘clinical trial’ realizes the successive parts of the plan specified in
the ‘study design’. For example, a ‘Random controlled double blinded clinical trial’
realizes ‘randomized allocation’, ‘double blinded masking design’ and ‘case-control
comparison design’.</p>
      </sec>
      <sec id="sec-3-3">
        <title>3.3. CTO’s treatment of required data elements linking ClinicalTrials.gov and WHO</title>
        <p>As we saw above, the WHO/ICMJE – ClinicalTrials.gov Cross Reference document
contains a list of 24 terms from the WHO Trial Registration Data Set (Version 1.3.1)
mapped to some 50 terms whose usage is required by ClinicalTrials.gov. 12 (50%) of
these WHO terms, mapped to 15 CTO terms, pertain to the identifiers, titles, dates,
sponsors, responsible contacts, and country jurisdictions of the clinical trial registration.
These terms are thus important data elements for clinical trial registry data governance.</p>
      </sec>
      <sec id="sec-3-4">
        <title>3.3.1. CTO’s treatment of clinical registry has trials registry identifiers</title>
        <p>As a database, each registry assigns its own identifiers to the clinical trial records stored
in the registry. In CTO, the ‘clinical trial registry identifier’ is a class instantiated by
actual IDs (instances) of each clinical trial record in a given registry. Some registries are
a combination of several registries, therefore, multiple identifiers become subclasses of
one identifier ; this applies, for example, to the ‘Japan clinical trial identifier’, which has
‘jRCT clinical trial identifier’, ‘JMACCT clinical trial identifier’ and ‘UMIN-CTR
clinical trial identifier’ as its subclasses. Another situation arises with the use of both
‘primary’ and ‘secondary’ registry identifiers. For example, WHO’s ICTRP accepts
clinical trial records that are submitted from other registries and assigns each record an
ICTRP unique identifier. In this case, ICTRP considers its own identifier as the ‘primary
registry identifier’, and other IDs associated with the submitted record as ‘secondary
registry identifiers’. To deal with such cases CTO defines ‘primary’ and ‘secondary’
identifier roles. CTO contains all known registry identifiers that are considered as
‘primary’ in WHO ICTRP.</p>
      </sec>
      <sec id="sec-3-5">
        <title>3.3.2. CTO’s treatment for dates</title>
        <p>
          The CTO term ‘clinical trial start date’ is a child of ‘study start date’ (OPMI). Textually,
the ClinicalTrials.gov ‘Study Start Date’ data element is the same as the OPMI ‘study
start date’. However, they are different semantically. This is because ‘study’ has a wider
scope than ‘clinical trial’, since the former may be an animal study, where the latter is
limited to studies involving only humans. Hence, in CTO, the ‘clinical trial start date’
has exact synonyms ‘Study Start Date’ from ClinicalTrials.gov and the ‘date of first
enrollment’ from WHO’s ICTRP. Other date classes in CTO include: ‘clinical trial
primary completion date’ and ‘clinical trial study completion date’. All such terms are
asserted as children of ‘zero-dimensional temporal region’ (BFO). A relation ‘occurs on’
obtains between the processes represented by the process terms in CTO and
corresponding temporal regions[
          <xref ref-type="bibr" rid="ref15">15</xref>
          ].
        </p>
      </sec>
      <sec id="sec-3-6">
        <title>3.3.3. CTO’s treatment for stakeholders’ roles related to a clinical trial</title>
        <p>Normally, a clinical trial requires multi-stakeholder engagement over a long period of
time. Sponsors, both primary and secondary, are either financially responsible for
supporting the trial, or responsible for initiating or managing it. Investigators and
collaborators are scientists or clinicians who carry out the clinical study at clinical site(s).
Multiple roles were created in the CTO hierarchy under the OBI term: ‘investigation
agent role’: the ‘investigation collaborator role’, the ‘investigator role’ with its children,
and the ‘responsible party role’, ‘clinical trial sponsor role’ and its children terms. The
contact information for a clinical trial is required in the registry. Many different contact
terms were created in CTO, including ‘central contact person’, ‘facility contact’, ‘contact
for public queries’, and ‘contact for scientific queries’. The ‘contact person role’ was
created in CTO as parent to handle these terms. The ‘contact person information’ is
asserted in CTO as a subclass of ‘information content entity’ (IAO), and the ‘is about’
relation used to link it to ‘contact person’.</p>
      </sec>
      <sec id="sec-3-7">
        <title>3.4. Gleevec PubChemRDF Use Case: Linking PubChemRDF to ClinicalTrials.gov</title>
        <p>
          PubChem is an open chemical information resource at the U.S. National Center for
Biotechnology Information (NCBI)[
          <xref ref-type="bibr" rid="ref16">16</xref>
          ]. PubChemRDF is a semantic version of the
content of the PubChem corpus (https://pubchemdocs.ncbi.nlm.nih.gov/rdf), and it
consists of over 80 billion triples organized into more than 15 subgraphs including
Compound, Protein, BioAssay, Pathway and Reference. Besides the interlinks of
subgraphs, PubChemRDF can also link to external semantic resources, such as UniProt
RDF, MeSH RDF, and Wikidata. Although PubChem has parsed and linked the
molecular entities in clinical trial data to individual chemical compounds including drugs,
the PubChemRDF does not currently link to clinical trial data due to the lack of an RDF
graph that would serve this purpose.
        </p>
        <p>In order to take full advantage of the existing PubChemRDF ecosystem, however, it
would be very useful to be able to create direct links between clinical trials, their disease
targets, and the associated investigational drugs as referenced in PubChemRDF. Figure
3 shows a simplified diagram using multiple shortcut relations to allow the trade-off
between a formal ontology representation of CTO and the RDF graph created therefrom.
A ‘drug clinical trial’ investigates patients who are administered with an ‘investigational
molecular entity’, which ‘has active ingredient’ that is a ‘compound’ in PubChem. The
reverse relation of ‘investigates patients administered with’ is ‘investigated agent in’,
which provides a direct link from an ‘investigational molecular entity’ to a clinical trial.
The ‘investigational molecular entity’ corresponds to the ‘Drug’ and ‘Biologics’ data
elements from the intervention type list defined in ClinicalTrials.gov’s XML schema
(https://clinicaltrials.gov/ct2/html/images/info/public.xsd). The shortcut relation from
‘drug clinical trial’ to the ‘medical condition’ born by the enrolled patient is ‘investigates
condition’ (shown in Figure 3). The shortcut relations can be implemented using OWL’s
property chain, thereby providing an efficient solution for PubChemRDF without
sacrificing the semantics built in the ontology.</p>
        <p>The ‘investigational molecular entity’ of a clinical trial can be found in its title,
description, and intervention in ClinicalTrials.gov. No standard controlled vocabulary
was used, due to the lack of a standard terminology to describe novel investigational
drugs. In addition, when investigating new indications for legacy drugs, it will give rise
to heterogeneous data for drugs and compounds if we do not use a standard vocabulary.
A scenario of this sort is illustrated by clinical trials related to the drug Gleevec. A search
of ClinicalTrials.gov with “Gleevec” carried out on dated May 17, 2020 retrieved 742
records. Many names such as Gleevec, Glivec, imatinib mesylate, and imatinib appeared
in the search results. Although Gleevec and Glivec are the brand names and imatinib is
the generic name of the drug, it appears that ClinicalTrials.gov users use all three terms
interchangeably. The corresponding entities are however semantically distinct from the
chemical informatics and drug manufacture’s perspectives. The GleevecTM capsule is a
drug product approved by FDA with a formulation composed of inactive ingredients and
the active ingredient ‘imatinib mesylate’. (See Figure 4.) In addition, Gleevec has
‘imatinib’ as active moiety 4 . The ‘imatinib mesylate’ has ‘imatinib’ as a part, and
‘mesylate’ as a salt part. ‘Imatinib’, ‘imatinib mesylate’, ‘mesylate’ and ‘imatinib’ are
all distinct compounds with assigned PubChem IDs. Figure 4 also shows an example of
what it means to implement CTO to represent three clinical trials investigating the use
of Gleevec, imatinib mesylate, and imatinib in treating patients with the three different
conditions/diseases of COVID-19, scleroderma, and neurofibromatosis, respectively.</p>
      </sec>
      <sec id="sec-3-8">
        <title>3.5. SCAIView Retrieval of COVID-19 Clinical Trial-Related Publications</title>
        <p>
          Although, as stated by WHO[
          <xref ref-type="bibr" rid="ref3">3</xref>
          ], making the content and results of clinical trials available
to the public is a “scientific, ethical and moral responsibility”, the practice of publishing
trial results is still marked by many deficiencies. The results of clinical trials as published
in clinical trial registries may provide only high-level summaries. On the other hand,
sponsors tend to publish trial protocols and/or results in depth in a scientific journal. In
PubMed, one can retrieve primary (original) publications of clinical trials using the
clinical trial registry identifiers. However, exhaustive search results cannot be achieved
due to lack of annotations in reviews, in meta-analyses, or in older publications.
SCAIView is an advanced search environment supporting semantic queries relating to
biomedical entities that was developed at Fraunhofer SCAI, Germany. COVID-19
SCAIView (https://covid.scaiview.com) is currently under development to enable highly
specific searches powered by CTO semantics on the COVID-19 Open Research Dataset
(CORD-19)[
          <xref ref-type="bibr" rid="ref17">17</xref>
          ], which is a subset of the SCAIView incorporated corpora. Published and
maintained by Allen Institute for Artificial Intelligence, CORD-19 aggregates
SARSCoV-2, SARS and MERS related literatures from scattered sources, including PubMed,
WHO, and pre-print platforms such as medRxiv and bioRxiv. 
        </p>
        <p>Currently, a text-mining engine implements a search algorithm to detect publications
matching clinical trial registry identifier patterns stored in CTO. 2,039 documents were
identified in the CORD-19 corpus. Of which, a total of 1,289 unique clinical study
identifiers were found. Table 1 provides an overview of detected clinical trial identifiers
for the specific clinical trial registries as on May 23, 2020.
4 Based on Code of Federal Regulations Title 21 (21 CFR) section 314.3, active moiety is the molecule or ion,
excluding those appended portions of the molecule that cause the drug to be an ester, salt (including a salt with
hydrogen or coordination bonds), or other noncovalent derivative (such as a complex, chelate, or clathrate) of
the molecule, responsible for the physiological or pharmacological action of the drug substance.</p>
        <p>Further analysis showed nearly 80% of the 2,039 publications referring to
preCOVID19 clinical trials of SARS, MERS, and ARDS. By filtering for the clinical trials
starting in 2020, 469 publications referring to 177 COVID-19 related trials could be
identified. The top 3 most cited clinical trials are NCT04252664 (cited in 23
publications), NCT04257656 (cited in 20), and ChiCTR2000029765 (cited in 17). Both
NCT04252664 and NCT04257656 are Remdesivir RCT trials conducted in China and
started in February 2020. ChiCTR2000029765 is an ongoing Chinese RCT trial
investigating tocilizumab, a monoclonal antibody blocking IL-6, which is considered to
play an important role in the Cytokine release syndrome (CRS) caused by
SARS-CoV2 that may lead to death.</p>
        <p>Among all papers citing these three clinical trials, only NCT04257656 includes the
published results of the trial; the others are mainly review papers, case reports, or
commentaries. This may be due to the fact that the trials were suspended early, as in the
case of NCT04252664, or to the fact that it is too early for publication of results. Overall,
the utility of applying CTO in identify publications referring to COVID-19 clinical trials
could be demonstrated. Further iterations to optimize the approach while continuously
developing CTO are needed to improve performance.</p>
      </sec>
    </sec>
    <sec id="sec-4">
      <title>4. Discussion</title>
      <p>We presented our initial development of a community-based Clinical Trial Ontology
(CTO) using an ontological realism approach. This initiative was driven by the need for
greater interoperability between major clinical trial registries, and by two real-world use
cases relating to PubChemRDF and SCAIView. CTO aims to provide a small set of
ontologically engineered clinical trial specific terms for the ontology community. Many
clinical trial-related standards, terminologies and vocabularies have been adopted in
different circles and used in healthcare practice. These include CDISC, NCIt, and
SNOMED CT.</p>
      <p>
        Among the OBO Foundry ontologies, OBI, OPMI, OCRe, and ERO have defined many
terms and relations relevant to clinical trial and clinical study research. Yet, no clinical
trial focused and formally defined ontology has hitherto been available to the OBO
Foundry community. Other previous non-BFO-compliant work include the PHUSE
community’s Mini Study Ontology[19,20], CTO-NDD[
        <xref ref-type="bibr" rid="ref10">10</xref>
        ], and the Cochrane PICO
Ontology (https://linkeddata.cochrane.org/pico-ontology). The PHUSE community
focuses on representing submission data conformant to the CDISC standard in the RDF
format, with no attention to semantics. None of these ontologies fits the needs of the use
cases presented in this paper. In fact, the developers of OPMI and CTO-NDD themselves
formed the CTO development team precisely to address their deficiencies. The
CTONDD has therefore been refined to form part of the current CTO, and OPMI has donated
multiple clinical trial-specific terms to CTO.
      </p>
      <p>Although CTO has provided the basis for a simplified strategy for linking clinical
trials to investigational drug and disease data in the PubChemRDF use case, and also
provided synonyms and definitions for CTO-based text mining in SCAIView, challenges
still remain for those who are developing this ontology. For example, what is a clinical
trial? Traditionally, clinical trials are randomized, double-blind interventional studies in
which both investigators and patients are unaware of which treatment is being
administered. The ClinicalTrials.gov includes both interventional studies and
observational studies because observational studies have been used for regulatory
decision making. Furthermore, in the Framework for FDA’s Real-World Evidence
Program (https://www.fda.gov/media/120060/download), FDA considers the traditional
clinical trial as a type of clinical study. It is unclear if observational studies will in the
future be considered as clinical trials given that they are non-interventional. In the CTO
development team, how to ontologically represent and make distinctions between
clinical study, clinical trial, and interventional and observational study is currently under
active discussion.</p>
      <p>The meanings of ‘study design’ and ‘study type’ are often ambiguous. CTO provides
a distinct ontological treatment of study design as a plan specification (Figure 2). CTO
contains many study design terms, such as allocation (e.g., randomized), intervention
model (parallel assignment), primary purpose or masking (double blinded), cross-over
design, factorial design, sequential, single arm, as well as study types including health
services research, diagnostic test, basic science, prevention, prognosis study, screening,
treatment study, epidemiological research, interventional clinical trial of medicinal
product. These terms and relations among them have not as yet however been properly
defined, and their hierarchies are under development in the current CTO.</p>
      <p>Another challenge lies in the BFO-realism based approach, which has its roots in
Aristotelian realism, and requires that the universals represented by the terms asserted in
an ontology exist in space and time in their respective instances[20]. The definitions for
terms in realism-based ontologies must adhere to very strict criteria. Each term must be
provided with an Aristotelian definition which states the individually necessary and
jointly sufficient conditions which must be satisfied be instances of the corresponding
class[21]. These conditions are however not satisfiable in every case. Some difficult terms
from this perspective might include the class of all those things capable of being
investigated in a clinical trial (e.g. investigational drugs, devices, vaccines, dietary
supplement, behavioral treatment, and more) and the ‘status’ of a clinical trial. In clinical
trials, besides ‘condition’ and ‘disease’, clinical trials might investigate also for instance
‘conditions’ or ‘quality of life’ or ‘health risk’. The OBO foundry has established that
the universe ‘disease’ is a subclass of ‘disposition’; however, there is no adequate
ontological agreement regarding use of terms such as ‘condition’, ‘quality of life’ and
‘health risk’. The status of a clinical trial, including ‘completed’, ‘recruiting’,
‘terminated’, ‘withdrawal’ and the like, is something that changes over time. By treating
‘status’ as a subclass of ‘realizable entity’ this issue can be addressed in a BFO
conformant matter. However, a definition has still to be formulated that will reach a
consensus among the CTO development team.</p>
      <p>The further development of CTO will continue with its BFO-based approach and
evolve as a community effort, thereby supporting WHO’s goal of further standardizing
registration and reporting of clinical trials. Further applications of the ontology will also
be explored, including application to study design, to results comparison across clinical
trials, linking out to other data resources, and to the improvement in the development of
specific text mining algorithms to identify relevant publications on specific clinical trials.
Acknowledgments SG, SM, JD, MH and ATK’s work was supported and funded from the EU’s Horizon
2020 Framework Programme for Research and Innovation under the Specific Grant Agreement No. 785907
(Human Brain Project SGA2 by the HBP Medical Informatics Platform) and No. 826421 (VirtualBrainCloud),
and a Fraunhofer internal funding MAVO project "Human Brain Pharmacome". YH’s work was supported by
the NIH-NIDDK U2C Project (1U2CDK114886) and a grant from the Michigan Medicine–Peking University
Health Sciences Center Joint Institute for Clinical and Translational Research (U063430). BS’s contributions
was supported by the NIH-NCATS 1UL1TR001412 (Buffalo Clinical and Translational Research Center). The
work of QL and EB was supported by the Intramural Research Program of the National Library of Medicine,
National Institutes of Health. The authors thank the review and feedback provided by FDA individuals: Mitra
Rocca, Sanjay Sahoo, Esther Wisdom, and Cynthia Chang.
[19] PHUSE. Emerging Trends and Technology-Clinical Trials Data as RDF. (2018).
[20] Dumontier, M. &amp; Hoehndorf, R. Realism for Scientific Ontologies in Formal Ontology in Information</p>
      <p>Systems, Proceedings of the Sixth International Conference, FOIS 2010 (Toronto, Canada, 2010).
[21] Schuler, J. C. &amp; Ceusters, W. M. The Problems of Realism-Based Ontology Design: a Case Study in
Creating Definitions for an Application Ontology for Diabetes Camps. AMIA Annu Symp Proc 2017,
15171526 (2017).</p>
    </sec>
  </body>
  <back>
    <ref-list>
      <ref id="ref1">
        <mixed-citation>
          [1]
          <string-name>
            <surname>Zwierzyna</surname>
            ,
            <given-names>M.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Davies</surname>
            ,
            <given-names>M.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Hingorani</surname>
            ,
            <given-names>A. D.</given-names>
          </string-name>
          &amp;
          <string-name>
            <surname>Hunter</surname>
            ,
            <given-names>J.</given-names>
          </string-name>
          <article-title>Clinical trial design and dissemination comprehensive analysis of clinicaltrials.gov and PubMed data since 2005</article-title>
          .
          <article-title>BMJ 361, k2130</article-title>
          , doi:10.1136/bmj.k2130 (
          <year>2018</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref2">
        <mixed-citation>
          [2]
          <string-name>
            <given-names>World</given-names>
            <surname>Medical</surname>
          </string-name>
          , A. World Medical Association Declaration of Helsinki:
          <article-title>ethical principles for medical research involving human subjects</article-title>
          .
          <source>JAMA 310</source>
          ,
          <fpage>2191</fpage>
          -
          <lpage>2194</lpage>
          , doi:10.1001/jama.
          <year>2013</year>
          .
          <volume>281053</volume>
          (
          <year>2013</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref3">
        <mixed-citation>
          [3]
          <string-name>
            <surname>Moorthy</surname>
            ,
            <given-names>V. S.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Karam</surname>
            ,
            <given-names>G.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Vannice</surname>
            ,
            <given-names>K. S.</given-names>
          </string-name>
          &amp;
          <string-name>
            <surname>Kieny</surname>
            ,
            <given-names>M. P.</given-names>
          </string-name>
          <article-title>Rationale for WHO's new position calling for prompt reporting and public disclosure of interventional clinical trial results</article-title>
          .
          <source>PLoS Med</source>
          <volume>12</volume>
          , e1001819, doi:10.1371/journal.pmed.
          <volume>1001819</volume>
          (
          <year>2015</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref4">
        <mixed-citation>
          [4]
          <string-name>
            <surname>Zarin</surname>
            ,
            <given-names>D. A.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Tse</surname>
            ,
            <given-names>T.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Williams</surname>
            ,
            <given-names>R. J.</given-names>
          </string-name>
          &amp;
          <string-name>
            <surname>Carr</surname>
            ,
            <given-names>S. Trial</given-names>
          </string-name>
          <article-title>Reporting in ClinicalTrials.gov - The Final Rule</article-title>
          .
          <source>N Engl J Med</source>
          <year>375</year>
          ,
          <fpage>1998</fpage>
          -
          <lpage>2004</lpage>
          , doi:10.1056/NEJMsr1611785 (
          <year>2016</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref5">
        <mixed-citation>
          [5]
          <string-name>
            <surname>Scavone</surname>
            ,
            <given-names>C.</given-names>
          </string-name>
          et al.
          <source>The European clinical trials regulation (No</source>
          <volume>536</volume>
          /
          <year>2014</year>
          ):
          <article-title>changes and challenges</article-title>
          .
          <source>Expert Rev Clin Pharmacol</source>
          <volume>12</volume>
          ,
          <fpage>1027</fpage>
          -
          <lpage>1032</lpage>
          , doi:10.1080/17512433.
          <year>2019</year>
          .
          <volume>1680282</volume>
          (
          <year>2019</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref6">
        <mixed-citation>
          [6] https://prsinfo.clinicaltrials.gov/trainTrainer/WHO-
          <string-name>
            <surname>ICMJE-ClinTrialsgov-</surname>
          </string-name>
          Cross-Ref.pdf,
          <source>accessed May 22</source>
          ,
          <year>2020</year>
        </mixed-citation>
      </ref>
      <ref id="ref7">
        <mixed-citation>
          [7]
          <string-name>
            <surname>Ong</surname>
            ,
            <given-names>E.</given-names>
          </string-name>
          &amp;
          <string-name>
            <surname>He</surname>
            ,
            <given-names>Y.</given-names>
          </string-name>
          <article-title>Community-based Ontology Development, Annotation and Discussion with MediaWiki extension Ontokiwi and Ontokiwi-based Ontobedia</article-title>
          .
          <source>AMIA Jt Summits Transl Sci Proc</source>
          <year>2016</year>
          ,
          <fpage>65</fpage>
          -
          <lpage>74</lpage>
          (
          <year>2016</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref8">
        <mixed-citation>
          [8]
          <string-name>
            <surname>Smith</surname>
            ,
            <given-names>B.</given-names>
          </string-name>
          et al.
          <article-title>The OBO Foundry: coordinated evolution of ontologies to support biomedical data integration</article-title>
          .
          <source>Nat Biotechnol</source>
          <volume>25</volume>
          ,
          <fpage>1251</fpage>
          -
          <lpage>1255</lpage>
          , doi:10.1038/nbt1346 (
          <year>2007</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref9">
        <mixed-citation>
          [9]
          <string-name>
            <surname>He</surname>
            ,
            <given-names>Y.</given-names>
          </string-name>
          et al.
          <article-title>OPMI: the Ontology of Precision Medicine and Investigation and its Support for Clinical Data and Metadata Representaton and Analysis</article-title>
          ,
          <source>Proceedings of The 10th International Conference on Biomedical Ontology (ICBO</source>
          <year>2019</year>
          )
          <article-title>(Buffalo, NY</article-title>
          , USA,
          <year>2019</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref10">
        <mixed-citation>
          [10]
          <string-name>
            <surname>Younesi</surname>
            ,
            <given-names>E.</given-names>
          </string-name>
          <article-title>A Knowledge-based Integrative Modeling Approach for In-Silico Identification of Mechanistic Targets in Neurodegeneration with Focus on Alzheimer's Disease PhD</article-title>
          . thesis,
          <source>Department of Mathematics and Natural Sciences, Universit¨ats-und Landesbibliothek Bonn</source>
          , (
          <year>2014</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref11">
        <mixed-citation>
          [11]
          <string-name>
            <surname>Huang</surname>
            ,
            <given-names>X.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Lin</surname>
            ,
            <given-names>J.</given-names>
          </string-name>
          &amp;
          <string-name>
            <surname>Demner-Fushman</surname>
            ,
            <given-names>D.</given-names>
          </string-name>
          <article-title>Evaluation of PICO as a knowledge representation for clinical questions</article-title>
          .
          <source>AMIA Annu Symp Proc</source>
          ,
          <fpage>359</fpage>
          -
          <lpage>363</lpage>
          (
          <year>2006</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref12">
        <mixed-citation>
          [12]
          <string-name>
            <surname>Aslam</surname>
            ,
            <given-names>S.</given-names>
          </string-name>
          &amp;
          <string-name>
            <surname>Emmanuel</surname>
            ,
            <given-names>P.</given-names>
          </string-name>
          <string-name>
            <surname>Formulating</surname>
          </string-name>
          <article-title>a researchable question: A critical step for facilitating good clinical research</article-title>
          .
          <source>Indian J Sex Transm Dis AIDS</source>
          <volume>31</volume>
          ,
          <fpage>47</fpage>
          -
          <lpage>50</lpage>
          , doi:10.4103/
          <fpage>0253</fpage>
          -
          <lpage>7184</lpage>
          .69003 (
          <year>2010</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref13">
        <mixed-citation>
          [13]
          <string-name>
            <surname>Xiang</surname>
            ,
            <given-names>Z.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Courtot</surname>
            ,
            <given-names>M.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Brinkman</surname>
            ,
            <given-names>R. R.</given-names>
          </string-name>
          ,
          <string-name>
            <surname>Ruttenberg</surname>
            ,
            <given-names>A.</given-names>
          </string-name>
          &amp;
          <string-name>
            <surname>He</surname>
            ,
            <given-names>Y.</given-names>
          </string-name>
          <article-title>OntoFox: web-based support for ontology reuse</article-title>
          .
          <source>BMC Res Notes</source>
          <volume>3</volume>
          ,
          <issue>175</issue>
          , doi:10.1186/
          <fpage>1756</fpage>
          -0500-3-
          <lpage>175</lpage>
          (
          <year>2010</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref14">
        <mixed-citation>
          [14]
          <string-name>
            <surname>Seppälä</surname>
            , Selja ; Ruttenberg, Alan &amp; Smith,
            <given-names>Barry.</given-names>
          </string-name>
          <article-title>Guidelines for writing definitions in ontologies</article-title>
          .
          <source>Ciência da Informação</source>
          <volume>46</volume>
          (
          <issue>1</issue>
          ):
          <fpage>73</fpage>
          -
          <lpage>88</lpage>
          (
          <year>2017</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref15">
        <mixed-citation>
          [15]
          <article-title>An Overview of the Common Core Ontologies</article-title>
          . CUBRC, Inc., 4455 Genesee St., Buffalo, NY
          <volume>14225</volume>
          , (
          <year>2019</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref16">
        <mixed-citation>
          [16]
          <string-name>
            <surname>Kim</surname>
            ,
            <given-names>S.</given-names>
          </string-name>
          et al.
          <article-title>PubChem 2019 update: improved access to chemical data</article-title>
          .
          <source>Nucleic Acids Res</source>
          <volume>47</volume>
          ,
          <fpage>D1102</fpage>
          -
          <lpage>D1109</lpage>
          , doi:10.1093/nar/gky1033 (
          <year>2019</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref17">
        <mixed-citation>
          [17]
          <string-name>
            <surname>Wang</surname>
            ,
            <given-names>L. L.</given-names>
          </string-name>
          et al.
          <source>CORD-19: The COVID-19 Open Research Dataset. arXiv:2004.10706 v2, revised 25 Apr</source>
          <year>2020</year>
          (
          <year>2020</year>
          ).
        </mixed-citation>
      </ref>
      <ref id="ref18">
        <mixed-citation>
          <source>[18] PHUSE Conference</source>
          <year>2017</year>
          :
          <article-title>Breaking the Mold: Clinical Trials Data as RDF</article-title>
          . (
          <year>2017</year>
          )
        </mixed-citation>
      </ref>
    </ref-list>
  </back>
</article>