Prior Art, Classification, Search

901	Prior Art 

901.01	Canceled Matter in U.S. Patent Files

901.02	Abandoned Applications

901.03	Pending Applications

901.04	U.S. Patents 

901.05	Foreign Patent Documents

901.05(a)	Citation Data

901.05(b)	Other Significant Data 

901.05(c)	Obtaining Copies 

901.05(d)	Translation 

901.06	Nonpatent Publications 

901.06(a)	Scientific and Technical Information Center 
(STIC)

901.06(b)	Borrowed Publications  

901.06(c)	Alien Property Custodian Publications   

901.06(d)	Abstracts, Abbreviatures, and Defensive 
Publications  

901.07	Arrangement of Art in Examining Groups  

901.08	Borrowing References 

901.09	Missing Copies - Replacement 

902	Search Tools and Classification Information 

902.01	Manual of Classification

902.01(a)	Index to the U.S. Patent Classification System

902.02	Class and Subclass Definitions

902.02(a)	Definition Notes

902.02(b)	Search Cards

902.03           	Classification Information

902.03(a)	Master Classification File (MCF) on Microfilm

902.03(b)	Patent Index

902.03(c)	Subclass Listings

902.03(d)	Patent Information and Search Tools:  the 
Cassis CD-ROM Series

902.03(e)	Automated Patent System (APS)

902.04	Classification Orders

902.04(a)	Reclassification Alert Report

903	Classification

903.01	Statutory Authority

903.02	Basis and Principles of Classification

903.02(a)	New and Revised Classes

903.02(b)	Scope of a Class

903.02(c)	Establishing Subclasses and Cross-Reference 
Art Collections

903.03	Availability of Foreign Patents

903.05	Transfer of U.S. Patents

903.06	Practice To Be Followed in Ordering Official 
Cross-References

903.07	Classifying and Cross-Referencing at Allow-
ance

903.07(a)	Cross-Referencing - Keep Systematic Notes 
During Prosecution

903.07(b)	Issuing in Another Examining Group Without 
Transfer

903.08	Applications: Assignment and Transfer

903.08(a)	New Applications

903.08(b)	Classification and Assignment  to Examiner

903.08(c)	Immediate Inspection of Amendments 

903.08(d)	Transfer Procedure

903.08(e)	General Regulations Governing the 
Assignment of Nonprovisional Applications 
for Examination

903.08(f)	Post Classifier's Decision

903.08(g)	Transfer to Another Examining Group After 
Decision

903.09	International Classification of Patents for  In-
ventions

903.09(a)	Locarno Classification Designations

903.10	Duties of the Post Classifier

904	How to Search

904.01	Analysis of Claims

904.01(a)	Variant Embodiments Within Scope of Claim

904.01(b)	Equivalents

904.01(c)	Analogous Arts

**

904.02	** >General Search Guidelines

904.02(a)	Classified Search

904.02(b)	Search Tool Selection

904.02(c)	Internet Searching

904.03	Conducting the Search<

905	Miscellaneous 

905.02	Soft Copy Orders 

905.03	Ordering of Patented and Abandoned Provi-
sional and Nonprovisional Application Files

905.04	Marking Examiners' Copies of Patents

905.05	Application File Location

905.06	Family of Patent Information

901	Prior Art 

Note 37 CFR 1.104(a)(1) in MPEP ? 707. See also  
MPEP ? 2121- ? 2129. 

901.01	Canceled Matter in U.S. Patent 
Files

Canceled matter in the application file of a U.S. patent is 
not a proper reference as of the filing date under  35 U.S.C. 
102(e).  See Ex parte Stalego, 154 USPQ 52, 53 (Bd. App. 
1966). However, matter canceled from the application file 
wrapper of a U.S. patent may be used as prior art as of the 
patent date in that it then constitutes prior public knowl-
edge under 35 U.S.C. 102(a). In re Lund, 376 F.2d 982, 
153 USPQ 625 (CCPA 1967).  See also MPEP ? 2127 and  
? 2136.02.

901.02	Abandoned Applications

Where an abandoned application is referred to in an 
issued U.S. patent, the disclosure of the application is 
incorporated by reference into the disclosure of the patent  
and is available to the public.  See  37 CFR 1.14 
(a)(3)(iv)(A).

In re Heritage, 182 F.2d 639, 86 USPQ 160 (CCPA 
1950), holds that where a patent refers to and relies on the 
disclosure of a previously copending but subsequently 
abandoned application, such disclosure is available as a ref-
erence.  See also   In re Lund, 376 F.2d 982, 153 USPQ 625 
(CCPA 1967).

It has also been held that where the reference patent 
refers to a previously copending but subsequently aban-
doned application which discloses subject matter in com-
mon with the patent, the effective date of the reference as to 
the common subject matter is the filing date of the aban-
doned application.   In re Switzer, 166 F.2d 827, 77 USPQ 1 
(CCPA 1948); Ex parte Peterson, 63 USPQ 99 (Bd. App. 
1944);  and Ex parte Clifford, 49 USPQ 152  (Bd. App. 
1940  ). See  MPEP ? 2127(a).

Published abstracts, abbreviatures, defensive publica-
tions (MPEP ? 901.06(d)), and statutory invention registra-
tions (MPEP Chapter 1100) are references.

901.03	Pending Applications

Except as provided in  37 CFR 1.11(b), pending U.S. 
applications are preserved in confidence (37 CFR 1.14(a)) 
and are not available as references.  However, claims in one 
nonprovisional application may be rejected on the claimed 
subject matter of a copending nonprovisional application of 
the same inventive entity.  See  MPEP ? 804.  For applica-
tions having a common assignee and different inventive 
entities claiming a single inventive concept, see  
MPEP ? 804.03.  See also  MPEP ? 2127, paragraph IV.

901.04	U.S. Patents  [R-1]

The following different series of U.S. patents are being 
or in the past have been issued.  The date of patenting given 
on the face of each copy is the publication date and is the 
one usually cited.  The filing date, in most instances also 
given on the face of the patent, is ordinarily the effective 
date as a reference (35 U.S.C. 102(e)).  See  MPEP ? 2127, 
paragraph II.  The  35 U.S.C. 102(e) date for a nonprovi-
sional application claiming the benefit of a prior provi-
sional application (35 U.S.C. 111(b)) is the filing date of 
the provisional application.

X-Series. These are the approximately 10,000 patents 
issued between 1790 and July 4, 1836.  They were not orig-
inally numbered, but have been arbitrarily assigned num-
bers in the sequence in which they were issued.  The 
number should not be cited.  When copies are ordered, the 
patentee's name and date of issue suffice for identification.

1836 Series.  The mechanical, electrical, and chemical 
patents issued since 1836 and frequently designated as  
"utility"  patents are included in this series.  A citation by 
number only is understood to refer to this series.  This 
series comprises the bulk of all U.S. patents issued.  Some 
U.S. patents issued in 1861 bear two numbers but only the 
larger number should be cited.

Reissue Series. Reissue patents (MPEP ? 1401) have 
been given a  separate series of numbers preceded by  "Re."  
In citing, the letters and the number must be given, e.g., Re. 
1776.  The date that it is effective as a reference is the 
effective date of the original patent application, not the fil-
ing date of the reissue application.

Design reissue patents are numbered with the same num-
ber series as  "utility"  reissue patents.  The letter prefix 
does, however, indicate them to be design reissues.

A.I. Series. From 1838 to 1861, patents covering an 
inventor's improvement on his own patented device were 
given a separate series of numbers preceded by  "A.I."  to 
indicate Additional Improvement.  In citing, the letters and 
the number must be given, e.g., A.I. 113.  About 300 such 
patents were issued.

Plant Patent Series.  When the statutes were amended to 
provide for patenting certain types of plants (see  MPEP 
Chapter 1600) these patents were given a separate series of 
numbers.  In citing, the letters  "P.P."  and the number must 
be given, e.g., P.P. 13.

Design Patents. Patents for designs (see  MPEP Chapter 
1500) are issued under a separate series of numbers pre-
ceded by "D."  In citing, the letter  "D."  and the number 
must be given, e.g., D. 140,000.

NUMBERS FOR IDENTIFICATION OF BIBLIO-
GRAPHIC DATA ON THE FIRST PAGE OF PATENT 
AND LIKE DOCUMENTS >INCLUDING INDUS-
TRIAL DESIGNS< (INID NUMBERS)

The purpose of INID Codes ("INID"  is an acronym for  
"Internationally agreed Numbers for the Identification of 
(bibliographic) Data") is to provide a means whereby the 
various data appearing on the first page of patent and like 
documents >,including industrial designs,< can be identi-
fied without knowledge of the language used and the laws 
applied.  They are now used by most patent offices and 
have been applied to U.S. patents since Aug. 4, 1970.  
Some of the codes are not pertinent to the documents of a 
particular country and some which are may, in fact, not be 
used. See list in  MPEP ? 901.05(b).

901.05	Foreign Patent Documents [R-1]

All foreign patents, published applications, or any other 
published derivative material containing portions or sum-
maries of the contents of published or unpublished patents 
(e.g., abstracts) which have been disseminated to the public 
are available to U.S. examiners.  See  MPEP ? 901.06(a), 
paragraphs I.C. and IV.C.  In general, a foreign patent, the 
contents of its application, or segments of its content 
should not be cited as a reference until its date of patenting 
or publication can be confirmed by an examiner's review of 
a copy of the document. Examiners should remember that 
in some countries, there is a delay between the date of the 
patent grant and the date of publication.

Information pertaining to those countries from which the 
most patent publications are received are given in the fol-
lowing sections and in  MPEP ? 901.05(a).  Additional 
information can be obtained from the Scientific and Tech-
nical Information Center.

See  MPEP ? 707.05(e) for data used in citing foreign 
references.

I.	PLACEMENT OF FOREIGN PATENT EQUIV-
ALENTS IN THE SEARCH FILES

There are approximately 25 countries in which the speci-
fications of patents are published in printed form either 
before or after a patent is granted.

UNTIL OCTOBER 1, 1995, THE FOLLOWING 
PRACTICE WAS USED IN PLACING FOREIGN 
PATENT EQUIVALENTS IN THE SEARCH FILES:

When the same invention is disclosed by a common 
inventor(s) and patented in more than one country, it is 
called a family of patents.  Whenever a family of patents or 
published patent disclosures existed, the Office selected 
from a prioritized list of countries a single family member 
for placement in the examiners' search file and selected the 
patent of the country with the earliest patent date.  If the 
U.S. was one of the countries granting a patent in the "fam-
ily" of patents, none of the foreign "equivalents" was 
placed in our search file.  See paragraph III., below. How-
ever, foreign patents or published patent disclosures within 
a common family which issued prior to the final highest 
priority patent (e.g., U.S.) may have been placed in our 
paper search file and these copies were generally not 
removed when the higher priority patent was added to our 
search files at a later date.

Beginning in October 1995, paper copies of foreign pat-
ents were no longer classified into the U.S. Classification 
System by the U.S. Patent and Trademark Office.  See  
MPEP ? 901.05(c) for search of recently issued foreign pat-
ents.

II.	OVERVIEW OF FOREIGN PATENT LAWS 

This section includes some general information on for-
eign patent laws and summarizes particular features and 
their terminology. Some additional details on the most 
commonly cited foreign patent publications may be found 
under the individual country in paragraph V., below. Exam-
iners should recall, by way of contrast, that in the United 
States our patent law requires that a number of different 
events all occur on the issue date of a U.S. patent. These 
events include the following: 

(A)	a patent document, the "letters patent'' which 
grants and thereby creates the legal rights conferred by a 
patent, is executed and sent to the applicant; 

(B)	the patent rights come into existence;

(C)	the patent rights can be exercised;

(D)	the specification of the patent becomes available 
to the public;

(E)	the patented file becomes available to the public; 

(F)	the specification is published in printed form; and

(G)	an issue of an official journal, the Official Gazette, 
containing an announcement of the patent and a claim, is 
published.  

In most foreign countries, various ones of these events 
occur on different days and some of them may never occur 
at all.

The following list catalogs some of the most significant 
variations from U.S.  practices:

A.	Applicant 

In most countries, the owner of the prospective rights, 
derived from the inventor, may also apply for a patent in 
the owner's name as applicant; in a few, other persons may 
apply as well or be joined as coapplicants. Hence applicant 
is not synonymous with inventor, and the applicant may be 
a company. Some countries require the inventors' names to 
be given and regularly print them on the published copies. 
Other countries may sometimes print the inventors' names 
only when available or when requested to do so.

B.	Application

The word "application" is commonly used in the U.S. to 
refer to the entire set of papers filed when seeking a patent. 
However,  in many countries and in PCT cases,  the word 
application refers only to the paper, usually a printed form,  
which is to be "accompanied by" or have "attached" to it 
certain other papers, namely a specification, drawings 
when necessary,  claims, and perhaps other papers.  Unless 
it is otherwise noted in the following portions of this sec-
tion, the term "application" refers to the entire set of papers 
filed.

C.	Publication of Contents of Pending Applications

In general, pending applications are confidential until a 
certain stage in the proceedings (e.g., upon patent grant), or 
until a certain date (e.g., 18 months after filing), as may be 
specified in a particular law. 

Many countries have adopted the practice of publishing 
the specification, drawing, or claims of pending applica-
tions.  In these countries, the contents of the application are 
published at a certain time, usually 18 months after filing.  
The applicant is given certain provisional rights upon pub-
lication even though examination has not been completed 
or in some cases has not even begun at the time of publica-
tion.

This publication may take either of two forms.  In the 
first form, some countries publish a notice giving certain 
particulars in their official journal and thereafter any one 
may see the papers at the patent office or order copies.  This 
procedure is referred to as "laying open for public inspec-
tion". There is no printed publication of the specification, 
although an abstract may be published in printed form. If 
anyone can inspect or obtain copies of the laid open appli-
cation, then it is sufficiently accessible to the public to con-
stitute a "publication" within the meaning of  35 U.S.C.  
102(a) and (b).  The full application is thus available as 
prior art as of either the date of publication of its notice or 
its laying open to public inspection if this is a later date. In 
re Wyer, 655 F.2d 221, 210 USPQ 790 (CCPA 1981).  See  
MPEP ? 2127, paragraph III.

In the second form, several other countries publish the 
specifications of pending applications in printed form at a 
specified time, usually 18 months after filing. These docu-
ments, of course, constitute references as printed publica-
tions.

D.	Administrative Systems

Patent law administration varies from country to coun-
try.  In some countries, all that is undertaken is an inspec-
tion of the papers to determine if they are in proper form.  
Other countries perform an examination of the merits on 
the basis of an extensive search of the prior art, as is done 
in the U.S.  The former are referred to as nonexamining or 
registration countries, although some systems allow for a 
rejection on matters apparent on the face of the papers, such 
as matters of form or statutory subject matter.

Of the examining countries, the extent of the material 
searched prior to issue varies greatly.  Only a few countries 
include both their own patents and a substantial amount of 
foreign patent material and nonpatent publications in their 
search files.  Some countries specifically limit the search by 
rule, or lack of facilities, to their own patents with very lit-
tle or no additional material.  An increasing number of 
countries are requiring applicants to give information con-
cerning references cited in corresponding applications filed 
in other countries.

E.	Opposition

Some examining countries consider participation by the 
public as an inherent feature of their examining system. 
When an application is found to be allowable by the exam-
iner, it is "published" for opposition. Then there is a period, 
usually 3 or 4 months, within which members of the public 
can oppose the grant of the patent.  In some countries, the 
opposing party can be any person or company.  In other 
countries, only those parties who are affected by the out-
come can participate in the opposition. The opposition is an 
inter partes proceeding and the opposing party can ordi-
narily raise any ground on the basis of which a patent 
would be refused or held invalid, including any applicable 
references.

The publication for opposition may take the form of a 
laying open of the application by the publication of a notice 
in the official journal with the application being then open 
to public inspection and the obtaining of copies.  Otherwise 
publication occurs by the issue of the applications in 
printed form. Either way, these published documents con-
stitute printed publications which are available as refer-
ences under  35 U.S.C. 102(a) and (b).

F.	The Patent 

Practices and terminology vary worldwide regarding 
patents. In  some countries, there is no "letters patent" doc-
ument which creates and grants the rights.  In other coun-
tries, the examiner grants the patent by signing the required 
paper. In a few countries, the patent is granted by operation 
of law after certain events have occurred. The term "grant-
ing the patent" is used here for convenience, but it should 
be noted that 35 U.S.C. 102(a) and 102(b) do not use this 
terminology.

A list of granted patents is ordinarily published in each 
country's official journal and some of these countries also 
print an abstract or claims at or after the granting date.  Not 
all countries publish the granted patent.  Where the specifi-
cations of granted patents are issued in printed form, publi-
cation seldom occurs simultaneously with the day of grant; 
instead, publication occurs a short time thereafter. There 
also are a few countries in which publication does not take 
place until several years after the grant.

The length of time for which the patent is enforceable 
(the patent term) varies from country to country.  The term 
of the patent may start as of the grant of the patent, or as of 
the filing date of the application.

Most countries require the payment of periodic fees to 
maintain a patent in force.  These fees often start a few 
years after filing and increase progressively during the term 
of the patent. If these fees are not paid within the time 
allowed, the patent lapses and is no longer in force. This 
lapsing does not affect the use of the patent as a reference.

G.	Patents of Addition

Some countries issue patents of addition which should 
be identified as such and, when separately numbered as in 
France, the number of the addition patent should be cited. 
"Patents of addition" generally cover improvements of a 
patented parent invention and can be obtained by the owner 
of the parent invention.  Inventiveness in relation to the 
parent invention need not be demonstrated and the term is 
governed by the term of the parent patent.

III.	CORRESPONDING SPECIFICATIONS IN A 
FAMILY OF PATENTS

Since a separate patent must be obtained in each country 
in which patent rights are desired (except for EP, the Euro-
pean Patent Convention, * AP, the African Regional Indus-
trial Property Organization, >OA, African Intellectual 
Property Organization, GC, Patent Office of the Coopera-
tion Council for the Arab States of the Gulf, and EA, Eur-
asian Patent Office,< whose members issue a common 
patent), there may be a large number of patents issued in 
different countries for the same invention. This group of 
patents is referred to as a family of patents. 

All of the countries listed in paragraph V. below are par-
ties to the Paris Convention for the Protection of Industrial 
Property and provide for the right of priority.  If an applica-
tion is filed in one of these countries, an application for the 
same invention thereafter filed in another country, within 1 
year of the filing of the first application, will be entitled to 
the benefit of the filing date of the first application on ful-
filling various conditions.  See  MPEP ? 201.13. The pat-
ents or published specifications of the countries of later 
filing are required to specify that priority has been claimed 
and to give the country, date, and number of the priority 
application. This data serves the purpose, among others, of 
enabling any patent based on the priority application to be 
easily located.

In general, the specification of the second application is 
identical in substance to the specification of the first. In 
many instances, the second, if in another language, is sim-
ply a translation of the first with perhaps some variation in 
purely formal parts.  But in a minority of cases, the two 
may not be identical.  For instance, sometimes two applica-
tions filed in one country are combined into one second 
application which is filed in another country.  Alternatively, 
a second application could be filed for only part of the dis-
closure of the priority application. The second application 
may have the relationship to the first which we refer to as a 
continuation-in-part (e.g., the second application includes 
additional subject matter discovered after the first was 
filed).  In some instances, the second application could 
have its disclosure diminished or increased, to meet the 
requirements or practices of the second country.

Duplicate or substantially duplicate versions of a foreign 
language specification, in English or some other language 
known to the examiner, can sometimes be found.  It is pos-
sible to cite a foreign language specification as a reference, 
while at the same time citing an English language version 
of the specification with a later date as a convenient transla-
tion if the latter is in fact a translation.  Questions as to con-
tent in such cases must be settled based on the specification 
which was used as the reference.

If a U.S. patent being considered as a reference claims 
the priority of a previously filed foreign application, it may 
be desirable to determine if the foreign application has 
issued or has been published, to see if there is an earlier 
date.  For example, it has occurred that an examiner 
rejected claims on the basis of a U.S. patent and the appli-
cant filed affidavits to overcome the filing date of the refer-
ence; the affidavits were controversial and the case went to 
appeal, with an extensive brief and an examiner's answer 
having been filed.  After all this work, somebody noticed 
that the U.S. patent reference claimed the priority of a for-
eign application filed in a country in which patents were 
issued fairly soon, checked the foreign application, and dis-
covered that the foreign patent had not only been issued, 
but also published in printed form, more than 1 year prior 
to the filing date of the application on appeal.

If a foreign patent or specification claims the priority of 
a U.S. application, it can be determined whether the latter is 
abandoned, still pending, or patented. Even if the U.S. case 
is or becomes patented, however, the foreign documents 
may still be useful as supplying an earlier printed publica-
tion date.

If a foreign patent or specification claims the priority of 
an application in another foreign country, it may sometimes 
be desirable to check the latter to determine if the subject 
matter was patented or published at an earlier date.  As an 
example, if a British specification being considered as a 
reference claims the priority of an application filed in Bel-
gium, it is known at once that a considerably earlier effec-
tive date can be established, if needed, because Belgian 
patents issue soon after filing.  In addition, if the applica-
tion referred to was filed in one of the countries which pub-
lish applications in printed form 18 months after filing, the 
subject matter of the application will be available as a 
printed publication as of the 18 month publishing date.  
These remarks obviously also apply to a U.S. patent claim-
ing a foreign priority.

The determination of whether a foreign patent has been 
issued or the application published is a comparatively sim-
ple matter for some countries, but for some it is quite labo-
rious and time-consuming and may not even be possible 
from the sources maintained by the Scientific and Techni-
cal Information Center.  Other sources for this data which 
are not maintained by the Office do exist and can be uti-
lized for locating corresponding patents. One source is 
Chemical Abstracts which publishes abstracts of patents 
from a large number of countries.  Only one patent or pub-
lished specification from a family is abstracted in full and 
any related family members issued or published are cross-
referenced.  Its annual indexes include lists of patent num-
bers, and also include patentees' and inventors' names in the 
alphabetical author index.  A concordance of corresponding 
patents appearing during five year periods has also been 
published.  Other sources for this family data are the INPA-
DOC and DERWENT data files.

When an application is filed outside the convention year 
from an earlier application, the later application may not 
refer to the first application.  It is hence possible that there 
will be duplicate specifications published without any indi-
cation revealing the fact.  These may be detected when the 
two copies come together in the same subclass.  Because 
the later application is filed outside the convention year, the 
earlier application may be prior art to the latter if it has 
been published or issued.

IV.	VALIDITY OF DATES DISPLAYED ON FACE  
OF FOREIGN PATENT DOCUMENTS

The examiner is not required to prove either the date or 
the occurrence of events specified on specifications of pat-
ents or applications, or in official journals, of foreign patent 
offices which the Office has in its possession.  In a court 
action, certified copies of the Office copies of these docu-
ments constitute prima facie evidence in view of  28 U.S.C. 
1745. An applicant is entitled to show the contrary by com-
petent evidence, but this question seldom arises.

The date of receipt of copies by the Office, as shown by 
Office records or stamped on the copies, need only to be 
stated by the examiner, when necessary.

V.	NOTES ON INDIVIDUAL COUNTRIES 

The following table gives some data concerning the pub-
lished patent material of a number of countries to assist in 
their use and citation as references.  The countries listed 
were selected based on the current level of material pro-
vided for the examiner search files.  Together, the countries 
and organizations account for over 98% of the patent mate-
rial that was added to the examiner files each year.  This 
table reflects only the most current patent office practice 
for each foreign county specified and is not applicable for 
many older foreign patent documents.  The Scientific and 
Technical Information Center staff can help examiners 
obtain data related to any documents not covered by this 
table.  Note that the citation dates listed in the following 
table are not necessarily the oldest possible dates. Some-
times an earlier effective date, which is not readily apparent 
from the face of the document, is available.  If an earlier 
date is important to a rejection, the examiner should consult 
STIC staff who will attempt to obtain further information 
regarding the earliest possible effective date. 

How To Use Table

Each horizontal row of boxes contains information on 
one or more distinct patent document from a specified 
country available as a reference under  35 U.S.C. 102(a) 
and (b). If several distinct patent documents are included 
within a common box of a row, these documents are related 
to each other and are merely separate documents published 
at different stages of the same invention's patenting pro-
cess. Usually, this related group of documents includes a 
published application which ripens into an issued patent.  
Within each box of the second column of each row, the top 
listed document of a related group is the one that is "pub-
lished" first (e.g., made available for public inspection by 
laying open application, or application printed and dissemi-
nated to the public).  Once an examiner determines the 
country or organization publishing the documents, the 
name of the document can be located in the second column 
of the table and the examiner can determine if a document 
from the related group containing the same or similar dis-
closure having an earlier date is available as a reference.  
Usually, the documents within a related group have identi-
cal disclosures, sometimes, however, there are differences 
in the claims or minor differences in the specification.  
Therefore, examiners should always verify that the earlier 
related document also includes the subject matter necessary 
for the rejection.  Some countries issue more than one type 
of patent and for clarity, in these situations, separate rows 
are provided for each type.

ISSUING/ 
PUBLISHING 
COUNTRY OR 
ORGANIZATION
	DOCUMENT NAME IN 
LANGUAGE OF ISSUING 
COUNTRY (TYPE OF 
DOCUMENT)
	FOREIGN LANGUAGE 
NAME DESIGNATING 
THE DATE  USED FOR 
CITATION PURPOSES 
(TYPE OF DATE)
	GENERAL COMMENTS

EP
			
European Patent 
Office 
	European patent application
	Date application  made 
available to public
	Printing of application  
occurs 18 months after 
*>priority< date.

	European patent specification 
	Date published
	 EP dates are in  day/month/
year order.

	New European patent  specifica-
tion (above specification 
amended)
	Date published
	
FR
			
France
	Demande de brevet d'invention 
(patent application)
	Disposition du public de la 
demande (date of laying 
open application)/date pub-
lished 
	Date of laying open the 
application is the earliest 
possible date.  This usually 
occurs 18 months after the 
filing or priority date but 
can occur earlier at  appli-
cant's request.  The applica-
tion is printed a short time 
after being laid open. 

	Brevet d'invention (patent)
	**>Disposition du public 
du brevet d' invention< 
(date of publication of the 
notice of patent grant)
	
			FR dates are in  day/month/
year order

FR
			
France
	Demande de certificat d'utilite 
(utility certificate application 
1st level publication) 
	Disposition du public de la 
demande (date published)
	
	Certificat d'utilite (utility certifi-
cate, 2nd publication)
	Disposition du public du  
certificat d'utilite (date pub-
lished)
	
DE
			
Germany
	Offenlegungschrift (unexam-
ined patent application)
	Offenlegungstag (date 
application printed)
	Patentschrift are printed (up 
to four different times) after 
examination and at various 
stages of  opposition.

	Patentschrift (examined patent)
	Ver?fentlichung-stag der 
patenterteilung (date 
printed)
	DE dates are in day/month/
year order

DE
			
Germany
	Patentschrift (Ausschlie?ungs-
patent) (exclusive type patent 
based on former East German 
application and published in 
accordance with E. German 
laws)
	First printing coded "DD" 
(date of first publication 
before examination as to 
novelty)
	Several more printings (up 
to four) occur as examina-
tion proceeds and patent is 
granted.  Separate DD num-
bering series is used.

DE
			
Germany
	Patentschrift (Wirtschaft-patent) 
(economic type patent published 
in accordance with East German 
laws)
	First printing coded "DD" 
(date of first printing before 
examination as to novelty)
	Another printing occurs 
after examination.  Separate 
DD numbering series is 
used.

DE
			
Germany
	Gebrauchsmuster (utility model 
or petty patent)
	Eintragungstag (date laid 
open after registration as a 
patent) 
	Copy is supplied only on 
request.

		Bekanntmachung im pat-
entblatt (date published for 
public) 
	Published from No.
DE-GM 1 186 500J.

			 

JP
			
Japan
	Kokai Tokkyo koho (unexam-
ined patent application) Kohyo 
Tokkyo koho (unexamined  
patent application based on 
international)
	Upper right corner beneath 
number (date laid open and 
printed)
	INID codes (41)-(47) 
include first date listed in 
terms of the year of the 
Emperor.  To convert yrs. 
prior 1989, add 1925. To 
convert yrs. after 1988,  add  
1988.

	Tokkyo  koho (examined patent 
application)
	Upper right corner beneath  
number (date laid open and 
printed; 1st publication 
when Kokai Tokkyo koho 
or Kohyo Tokkyo koho not 
published)
	Newer documents also 
include second date follow-
ing the first  given in OUR 
Gregorian Calendar in year/
month/day sequence in 
Arabic numerals intermixed 
with their equivalent JP 
characters. 

			
JP 
Japan  (Continued)		
	Tokkyo  shinpan  seikyu kokoku 
(corrected patent specification)
	Upper right corner beneath 
number (date laid open and 
printed)
	
JP
			
Japan
	Kokai jitsuyo shin-an koho 
(unexamined utility model 
application) or Kohyo jitsuyo 
shin-an koho (unexamined  util-
ity model application based on 
international)
	Upper right corner beneath 
number (date laid open and 
printed)
	
	Jitsuyo shin-an koho  (examined 
utility model application)
	Upper  right corner beneath 
number (date laid open and 
printed; 1st publication 
when Kokai or Kohyo not 
published) 
	
			 

JP
			
Japan   
	Toroku jitsuyo shin-an >shin-
pan< seikyu kokoku (corrected 
registered utility model)
	**
	
JP
			
Japan
	Isyo  koho (registered design 
application)
	**
	
RU
			
Russian Federation
	Zayavka Na Izobretenie (unex-
amined application for inven-
tion)  Patent Na Izobreteniye 
(Patent)
	Date application printed 
(1st publication)   Date 
printed (normally 2nd pub-
lication, but 1st publication 
when application not pub-
lished)
	
RU
			
Russian Federation
	Svidetelstvo Na Poleznuyu 
Model (utility model)
		Supplied upon request only 

RU
			
Russian  Federation
	Patent Na Promishlenniy 
Obrazec (design patent)
		Supplied upon request only 

GB
			
United Kingdom
	Published patent application 
(searched, but unexamined)  
Patent Specification (granted 
examined patent)
	(date of printing the appli-
cation)  (date of printing) 
	
GB
			
United Kingdom   
(Continued)
	Amended or Corrected Patent 
Specification (amended granted 
patent)
	(date of printing)
	
WO
			
World Intellectual 
Property Organiza-
tion 
	International * application (PCT 
patent application)
	(date of printing the appli-
cation)
	
			 

901.05(a)	Citation Data [R-1]

Foreign patent publications that use Arabic and Roman 
numerals in lieu of names to indicate the date show in order 
the day, month, and year>, or alternatively, the year, month, 
and day<. Roman numerals always refer to the month.

Japanese patent application publications show the date in 
Arabic numerals by indicating in order the year of the reign 
of the Emperor, the month, and the day.  To convert the Jap-
anese year of the Emperor to the Western calendar year, for 
years prior to 1989, add 1925 to the JAPANESE YEAR.  
For example: 40.3.6 = March 6, 1965. For years after 1988, 
add 1988 to the JAPANESE  YEAR.

Alphabetical lists of the foreign language names of the 
months and of the names and abbreviations for the United 
States of America follow. The lists set forth only selected 
commonly encountered foreign language names and do not 
include those which are similar to the English language 
names and thus easily translatable.

In using the lists, identification of the foreign language 
(except for Russian), is not necessary.  The translation into 
English is ascertained by alphabetically locating the foreign 
language name on the list.

The list of the foreign language names and abbreviations 
for the United States is useful in determining whether a for-
eign language patent publication indicates the filing of a 
similar application in the United States.

ALPHABETICAL LIST OF SELECTED FOREIGN 
LANGUAGE NAMES OF MONTHS

agosto
	August

aout
	August

augusti
	August

avril
	April

brezen
	March

Cerven
	June

Cervenec
	July

czerwiec
	June

decembre
	December

dicembre
	December

duben
	April

elokuu
	August

febbraio
	February

Feber [Februar]
	February

februari
	February

fevrier
	February

gennaio
	January

giugno
	June

grudzieN
	December

heinakuu
	July

helmikuu
	February

huhtikuu
	April

Janner [Januar]
	January

janvier
	January

joulukuu
	December

juillet
	July

juin
	June

kesakuu
	June

kvEten
	May

kwiecieN
	April

leden
	January

lipiec
	July

listopad
	November

lokakuu
	October

luglio
	July

luty
	February

maaliskuu
	March

maart
	March

maggio
	May

Mai
	May

maj
	May

maraskuu
	November

marzec
	March

mars
	March

marts
	March

Marz
	March

marzo
	March

mei
	May

ottobre
	October

paZdziernik
	October

prosinec
	December

rijna
	October

settembre
	September

sierpieN
	August

srpen
	August

styczeN
	January

syyskuu
	September

tammikuu
	January

toukokuu
	May

unora
	February

wrzesieN
	September

zari
	September

LIST OF SELECTED FOREIGN LANGUAGE 
NAMES AND ABBREVIATIONS FOR THE UNITED 
STATES OF AMERICA

Amerikas Forenta Stater;

[Forenta Staterna av Amerika]

De forenete stater av Amerika

De vorenede Stater av Amerika

EE.UU.

E.U.

E.U.A.

E.U.d Am.

Etats-Unis d'Amerique

Sp. St. A.

Spoj. St. Am.

Spojene Staty Americke

Stany Zjednoczone Ameriki

Stati Uniti d'America

S.U.A.

S.Z.A.

V.St.A.

V.St.v.A.

Ver. St. v. Am(erika)

de Vereinigde Staten van Amerika

Vereinigde Staaten van Noord-Amerika

Vereinigten Staaten von Amerika

Vorenede Stater i Amerika

901.05(b)	Other Significant Data  [R-1]

NUMBERS FOR IDENTIFICATION OF BIBLIO-
GRAPHIC DATA ON THE FIRST PAGE OF PATENT 
AND LIKE DOCUMENTS >INCLUDING INDUS-
TRIAL DESIGNS< (INID NUMBERS)

The purpose of INID Codes ("INID" is an acronym for  
"Internationally agreed Numbers for the Identification of 
(bibliographic) Data") is to provide a means whereby the 
various data appearing on the first page of patent and like 
documents or in patent gazettes can be identified without 
knowledge of the language used and the laws applied.  
They are now used by most patent offices and have been 
applied to U.S. patents since Aug. 4, 1970.  Some of the 
codes are not pertinent to the documents of a particular 
country and some which are may, in fact, not be used. 
>INID codes for industrial designs are similar to, but not 
identical to, those used for patents and like documents. 
INID codes for industrial designs are provided separately 
below.<

INID Codes and Minimum Required for the 
Identification of  Bibliographic Data >for Patent and Like 
Documents (based on WIPO Standard ST.9)<

(10) Identification of the patent, SPC or patent document

?(11) Number of the patent, SPC or patent document

?(12) Plain language designation of the kind of document

?(13) Kind of document code according to WIPO Standard 
ST.16

>?(15) Patent correction information<

??(19) WIPO Standard ST.3 code, or other identification, of 
the office or organization publishing the document

Notes:

(i) For an SPC, data regarding the basic patent should be 
coded by using code (68).

(ii) ?? Minimum data element for patent documents only.

(iii) With the proviso that when data coded (11) and (13), or 
(19), (11) and (13), are used together and on a single line, cate-
gory (10) can be used, if so desired.

(20) Data concerning the application for a patent or SPC

?(21) Number(s) assigned to the application(s), e.g., "Numero 
d'enregistrement national," "Aktenzeichen"

?(22) Date(s) of filing the application(s)

?(23) Other date(s), including date of filing complete specifi-
cation following provisional specification and date of exhibition

(24) Date from which industrial property rights may have 
effect

(25) Language in which the published application was origi-
nally filed

(26) Language in which the application is published

*>Notes:<

>(i)<Attention is drawn to the Appendix >3 of WIPO Stan-
dard ST. 9< which contains information on the term of protection 
and on the date from which industrial property rights referred to 
under code (24) may have effect.

>(ii) The language under code (25) and (26) should be indi-
cated by using the two-letter language symbol according to Inter-
national Standard ISO 639:1988.<

(30) Data relating to priority under the Paris Convention

?(31) Number(s) assigned to priority application(s)

?(32) Date(s) of filing of priority application(s)

?(33) WIPO Standard ST.3 code identifying the national 
industrial property office allotting the priority application number 
or the organization allotting the regional priority application 
number; for international applications filed under the PCT, the 
code "WO" is to be used

(34) For priority filings under regional or international 
arrangements, the WIPO Standard ST.3 code identifying at least 
one country party to the Paris Convention for which the regional 
or international application was made

Notes:

(i) With the proviso that when data coded (31), (32), and (33) 
are presented together, category (30) can be used, if so desired. If 
an ST.3 code identifying a country for which a regional or inter-
national application was made is published, it should be identi-
fied as such using INIDCode (34) and should be presented 
separately from  elements coded (31), (32) and (33) or (30).

(ii) The presentation of priority application numbers should 
be as recommended in WIPO Standards ST.10/C and in ST.34.

(40) Date(s) of making available to the public

??(41) Date of making available to the public by viewing, or 
copying on request, an unexamined patent document, on which 
no grant has taken place on or before the said date

??(42) Date of making available to the public by viewing, or 
copying on request, an examined patent document, on which no 
grant has taken place on or before the said date

??(43) Date of making available to the public by printing or 
similar process of an unexamined patent document, on which no 
grant has taken place on or before the said date

??(44) Date of making available to the public by printing or 
similar process of an examined patent document, on which no 
grant >or only a provisional grant< has taken place on or before 
the said date

??(45) Date of making available to the public by printing or 
similar process of a patent document on which grant has taken 
place on or before the said date

(46) Date of making available to the public the claim(s) only 
of a patent document

??(47) Date of making available to the public by viewing, or 
copying on request, a patent document on which grant has taken 
place on or before the said date

>?(48) Date of issuance of a corrected patent document<

Note:

??Minimum data element for patent documents only, the min-
imum data requirement being met by indicating the date of mak-
ing available to the public the patent document concerned.

(50) Technical information

?(51) International Patent Classification or, in the case of a 
design patent, as referred to in subparagraph 4(c) of [WIPO Stan-
dard ST.9], International Classification for Industrial Designs

(52) Domestic or national classification

**

?(54) Title of the invention

**

(56) List of prior art documents, if separate from descriptive 
text

(57) Abstract or claim

(58) Field of search

Notes:

(i) The presentation of the classification symbols of the Inter-
national Classification for Industrial Designs should be made in 
accordance with paragraph **>4< WIPO Standard ST.10/C.

(ii) With regard to code (56) attention is drawn to WIPO Stan-
dard ST.14 in connection with the citation of references on the 
front page of patent documents and in search reports attached to 
patent documents.

(60) References to other legally or procedurally related 
domestic or previously domestic patent documents including 
unpublished applications therefor

?(61) Number and, if possible, filing date of the earlier appli-
cation, or number of the earlier publication, or number of earlier 
granted patent, inventor's certificate, utility model or the like to 
which the present document is an addition

?(62) Number and, if possible, filing date of the earlier appli-
cation from which the present patent document has been divided 
up

?(63) Number and filing date of the earlier application of 
which the present patent document is a continuation

?(64) Number of the earlier publication which is "reissued"

(65) Number of a previously published patent document con-
cerning the same application

(66) Number and filing date of the earlier application of 
which the present patent document is a substitute, i.e., a later 
application filed after the abandonment of an earlier application 
for the same invention

(67) Number and filing date of a patent application, or num-
ber of a granted patent, on which the present utility model appli-
cation or registration (or a similar industrial property right, such 
as a utility certificate or utility innovation) is based

(68) For an SPC, number of the basic patent and/or, where 
appropriate, the publication number of the patent document

Notes:

(i) Priority data should be coded in category (30).

(ii) Code (65) is intended primarily for use by countries in 
which the national laws require that republication occur at vari-
ous procedural stages under different publication numbers and 
these numbers differ from the basic application numbers.

(iii) Category code (60) should be used by countries which 
were previously part of another entity for identifying biblio-
graphic data elements relating to applications or grants of patents 
which data had initially been announced by the industrial prop-
erty office of that entity.

(70) Identification of parties concerned with the patent or SPC

??(71) Name(s) of applicant(s)

(72) Name(s) of inventor(s) if known to be such

??(73) Name(s) of grantee(s), holder(s), assignee(s) or 
owner(s)

(74) Name(s) of attorney(s) or agent(s)

??(75) Name(s) of inventor(s) who is (are) also applicant(s)

??(76) Names(s) of inventor(s) who is (are) also applicant(s) 
and grantee(s)

Notes:

(i) ??For patent documents for which grant has taken place on 
or before the date of making available to the public, and gazette 
entries relating thereto, the minimum data requirement is met by 
indicating the grantee, and for other documents by indication of 
the applicant.

(ii) (75) and (76) are intended primarily for use by countries 
in which the national laws require that the inventor and applicant 
be normally the same. In other cases (71) or (72) or (71), (72) and 
(73) should generally be used.

(80) Identification of data related to International Conven-
tions other than the Paris Convention and to legislation

(90) with respect to SPC's

(81) Designated State(s) according to the PCT

(83) Information concerning the deposit of microorganisms, 
e.g., under the Budapest Treaty

(84) Designated Contracting States under regional patent con-
ventions

(85) Date of **>commencement of the national phase pursu-
ant to PCT Article 23(l) or 40(l)<

(86) Filing data of the ** PCT >international< application, 
i.e., *>international< filing date, >international< application 
number, and, optionally, the language in which the published 
>international< application was originally filed

(87) Publication data of the ** PCT >international< applica-
tion, i.e., >international< publication date, >international< publi-
cation number, and, optionally, the language in which the 
application is published

(88) Date of deferred publication of the search report

**

(91) Date on which an international application filed under 
the PCT no longer has an effect in one or several designated or 
elected States due to failure to enter the national or regional 
phase or the date on which it has been determined that it had 
failed to enter the national or regional phase

(92) For an SPC, number and date of the first national authori-
zation to place the product on the market as a medicinal product

(93) For an SPC, number, date and, where applicable, country 
of origin, of the first authorization to place the product on the 
market as a medicinal product within a regional economic com-
munity

(94) Calculated date of expiry of the SPC or the duration of 
the SPC

(95) Name of the product protected by the basic patent and in 
respect of which the SPC has been applied for or granted

>(96) Filing date of the regional application, i.e., application 
filing date, application number, and, optionally, the language in 
which the published application was originally filed

(97) Publication data of the regional application (or of the 
regional patent, if already granted), i.e., publication date, publica-
tion number, and, optionally, the language in which the applica-
tion (or, where applicable, the patent) is published<

Notes:

(i) The codes (86)*>,< (87)>, (96), and (97)< are intended to 
be used:

? on national documents when identifying one or more of the 
relevant filing data or publication data of a ** PCT >interna-
tional< application, or >of the regional application (or of the 
regional patent, if already granted), or<

? on regional documents when identifying one or more of the 
relevant filing data or publication data of ** >the< PCT >interna-
tional< application >or of another regional application (or the 
regional patent, if already granted)<.

(ii) All data in code (86), **>(87), (96), or (97)< should be 
presented together and preferably on a single line.  >The applica-
tion number or publication number should comprise the three 
basic elements as shown in the example in paragraph 17 of WIPO 
Standard ST.10/B, i.e., the two letter code identifying the repub-
lishing office, the document number, and the kind of document 
code.<

(iii) When data to be referenced by INID Codes (86) or (87) 
refer to two or more regional and/or PCT applications, each set of 
relevant filing or publication data of each such application should 
be displayed so as to be clearly distinguishable from other sets of 
relevant data, e.g., by presenting each set on a single line or by 
presenting the data of each set grouped together on adjacent lines 
in a column with a blank line between each set. >When data to be 
referenced by codes (86), (87), (96), or (97) refer to two or more 
PCT international applications and/or regional applications (or 
regional patents, if already granted), each set of relevant filing or 
publication data of each such application (or granted patent) 
should be displayed so as to be clearly distinguishable from other 
sets of relevant data, e.g., by presenting each set on a single line 
or by presenting the data of each set grouped together on adjacent 
lines in a column with a blank line between each set.<

(iv) **>The languages under codes (86), (87), (96), and (97) 
should be indicated by using the two-letter language symbols 
according to International Standard ISO 639:1988.<

(v) The country of origin in code (93), if mentioned, should be 
indicated by using the two letter code according to WIP Standard 
ST.3.

(vi) Attention is drawn to the Appendix which contains infor-
mation on the term of protection and on the date from which 
SPCs referred to under code (94) may have effect.

>NUMBERS FOR IDENTIFICATION OF BIBLIO-
GRAPHIC DATA ON THE FIRST PAGE OF INDUS-
TRIAL DESIGNS (INID NUMBERS)

 INID codes for industrial designs are similar to, but not 
identical to, those used for patents and like documents. 
INID codes for industrial designs may be of most interest to 
design patent examiners.

INID Codes and Minimum Required for the Identifica-
tion of Bibliographic Data for Industrial Designs (based 
on WIPO Standard ST.80)

(10) Data concerning the registration/renewal

?(11) Serial number of the registration and/or number of the 
design document

 ??(12) Plain language designation of the kind of published 
document

?(14) Serial number of the renewal where different from ini-
tial registration number

?(15) Date of the registration/Date of the renewal

(17) Expected duration of the registration/renewal

(18) Expected expiration date of the registration/renewal

??(19) Identification, using the two-letter code according to 
WIPO Standard ST.3, of the authority publishing or registering 
the industrial design.

Note:

??Minimum data element for design documents only

(20) Data concerning the application

?(21) Serial number of the application

?(22) Date of filing of the application

?(23) Name and place of exhibition, and date on which the 
industrial design was first exhibited there (exhibition priority 
data)

(24) Date from which the industrial design right has effect

(27) Kind of application or deposit (open/sealed)

(28) Number of industrial designs included in the application

(29) Indication of the form in which the industrial design is 
filed, e.g., as a reproduction of the industrial design or as a speci-
men thereof 

(30) Data relating to priority under the Paris Convention

?(31) Serial number assigned to the priority application

 ?(32) Date of filing of the priority application

(33) Two-letter code, according to WIPO Standard ST.3, iden-
tifying the authority with which the priority application was 
made

Notes:

(i) With the proviso that when data coded (31), (32) and (33) 
are presented together, category code (30) can be used, if so 
desired. 

(ii) For international deposits made under the Hague Agree-
ment, the two-letter code "WO" is to be used. 

(40) Date(s) of making information available to the public

(43) Date of publication of the industrial design before exam-
ination by printing or similar process, or making it available to 
the public by any other means

(44) Date of publication of the industrial design after exami-
nation, but before registration, by printing or similar process, or 
making it available to the public by any other means

(45) Date of publication of the registered industrial design by 
printing or similar process, or making it available to the public by 
any other means

(46) Date of expiration of deferment 

(50) Miscellaneous Information

?(51) International Classification for Industrial Designs (class 
and subclass of the Locarno Classification)

(52) National classification

(53) Identification of the industrial design(s) comprised in a 
multiple application or registration which is (are) affected by a 
particular transaction when not all are so affected

?(54) Designation of article ( ) or product ( ) covered by the 
industrial design or title of the industrial design

??(55) Reproduction of the industrial design (e.g., drawing, 
photograph) and explanations relating to the reproduction

(56) List of prior art document, if separate from descriptive 
text

(57) Description of characteristic features of the industrial 
design including indication of colors

(58) Date of recording of any kind of amendment in the Reg-
ister (e.g., change in ownership, change in name or address, 
renunciation to an international deposit, termination of protec-
tion)

 Notes:

(i) Code (52) should be preceded by the two-letter code, 
according to WIPO Standard ST.3, identifying the country whose 
national classification is used (the two-letter code should be indi-
cated within parentheses).

(ii) ??Minimum data element for design documents only.

(60) References to other legally related application(s) and reg-
istration(s)

(62) Serial number(s) and, if available, filing date(s) of appli-
cation(s), registration(s) or document(s) related by division

(66) Serial number(s) of the application, or the registration, of 
the design(s) which is (are) a variant(s) of the present one

Note:

Category code (60) should be used by countries which were 
previously part of another entity for identifying bibliographic 
data elements relating to applications or registrations of industrial 
designs, which data had initially been announced by the indus-
trial property office of that entity.

 (70) Identification of parties concerned with the application 
or registration

??(71) Name(s) and address(es) of the applicant(s)

(72) Name(s) of the creator(s) if known to be such

??(73) Name(s) and address(es) of the owner(s)

(74) Name(s) and address(es) of the representative(s)

(78) Name(s) and address(es) of the new owner(s) in case of 
change in ownership

 Note: 

??If registration has taken place on or before the date of mak-
ing the industrial design available to the public, the minimum 
data requirement is met by indicating the owner(s); in other 
cases, by indicating the applicant(s).  

 (80) Identification of certain data related to the international 
deposit of industrial designs under the Hague Agreement Con-
cerning the International Deposit of Industrial Designs and data 
related to other international conventions.

Designated State(s)/State(s) concerned:

(81) Designated State(s) according to the 1960 Act

(82) State(s) concerned according to the 1934 Act

(84) Designated Contracting State(s) under regional conven-
tion.

Information regarding the owner(s):

(86) Nationality of the owner(s)

(87) Residence or headquarters of the owner(s)

(88) State in which the owner(s) has (have) a real and effec-
tive industrial or commercial establishment

Note: 

The data to be referenced by INID codes (81) to (88) should 
be indicated by using the two-letter code according to WIPO 
Standard ST.3.<

901.05(c)	Obtaining Copies  [R-1]

Until October 1, 1995, the Patent and Trademark Office 
received copies of the published specifications of patents 
and patent applications from nearly all the countries which 
issue them in printed form. The Patent and Trademark 
Office now receives all foreign patents from these countries 
in the form of CD-ROM disks >and other electronic 
media<. The foreign patents so obtained are available to 
examiners >from the PTO's automated search systems 
and< from the foreign patents branch of the Scientific and 
Technical Information Center (STIC) through the Foreign 
Patent Access System (FPAS). The U.S. has agreements 
with these countries to exchange patent documentation.

Until October 1995, it was the  practice in the Patent and 
Trademark Office to classify and place only a single patent 
family member for each invention in the examiner search 
files.  In addition, all non-English language patent docu-
ments placed in the examiner files were accompanied, to 
the extent possible, by an English language abstract. For 
countries where the specification is printed twice, once dur-
ing the application stage and again after the patent has been 
granted, only the first printing was in general placed in the 
search files, since the second printing ordinarily does not 
vary from the first as to disclosure.

Copies of various specifications not included in the 
search files, whether non-English-language patent docu-
ments or documents not printed or available for exchange, 
may come to the examiner's attention. For example, they 
may be cited in a motion to dissolve an interference, be 
cited by applicants, or turn up in an online search. Upon 
request, the Scientific and Technical Information Center 
will obtain a copy from its extensive collection, or if neces-
sary, from the patent office of the particular country.  In the 
case of unprinted patent documents, the Scientific and 
Technical Information Center will request that the date of 
granting and the date the specification was made available 
to the public be indicated on the copies provided by the 
country of origin.

Examiners can order copies of any foreign patent docu-
ments from the Foreign Patent Branch.  If examiners so 
choose, they can make copies themselves.  The most cur-
rent patent documents are accessible through the >PTO's 
automated search systems and through the< Foreign Patent 
Access System (FPAS), a CD-ROM-based local area net-
work that allows public and PTO users to look up, view, 
and print foreign documents.  Older documents can be 
found on microfilm in the Microfilm Room or in the paper 
collection in the stacks.  Examiners may place a photocopy 
or translation in the shoes of the class which he or she 
examines if the patents are particularly relevant.  See  
MPEP ? 903.03.

901.05(d)	Translation  

Examiners may  consult the translators in the Translation 
Branch of the Scientific and Technical Information Center 
(STIC) for oral assistance in translating foreign patents or 
literature that are possible references for an application 
being examined. Examiners may also request written trans-
lations of pertinent portions of references being considered 
for citation or already cited in applications.  See  
MPEP ? 901.06(a), STIC Services - Translations, and  
MPEP ? 903.03, Availability of Foreign Patents.

Examiners can request written translations at any point 
in the examination process, at the discretion of the individ-
ual examiner, but are encouraged to use oral assistance and/
or language reference resources as much as possible in the 
early phases of examination.

Equivalent versions of foreign specifications, that is, 
members of the same patent family, are often available in 
English or other languages known to the examiner.  In addi-
tion, copies of previously translated documents are stored 
in the Translation Branch.  Before any translation request is 
processed, the staff of the Translation Branch checks for 
equivalents or previous translations.  The staff of STIC's 
Foreign Patents Branch or the Translation Branch can assist 
examiners in locating equivalents or abstracts. See  
MPEP ? 901.06(a), STIC Services - Foreign Patent Ser-
vices. 

901.06	Nonpatent Publications [R-1]

All printed publications may be used as references, the 
date to be cited being the publication date. ** See  
MPEP ? 2128 - ? 2128.02.

There are some publications kept or circulated in every 
group and each examiner should ascertain which are avail-
able in his or her group and whether or not any of 
them is likely to bear on any assigned class. >See MPEP ? 
707.05(e) for information on how to cite 
such publica tions.<

**

901.06(a)	Scientific and Technical 
Information Center (STIC) [R-1]

The Scientific and Technical Information Center, for-
merly known as the Scientific Library, is located at CP3/4, 
Room 2C01.  The STIC maintains three additional satellite 
information centers: the Biotechnology/Chemical Library 
in CM1, Room 1C19, the Electronic Information Center in 
CPK2, Room 4B40, and the Lutrelle F. Parker, Sr. Memo-
rial Law Library in **>CP 3/4, Room 3D62<.

35 U.S.C. 8.  Library.

The Commissioner shall maintain a library of scientific and other 
works and periodicals, both foreign and domestic, in the Patent and Trade-
mark Office to aid the officers in the discharge of their duties.

Technical literature, foreign patent documents, and refer-
ence and online search services available in the Scientific 
and Technical Information Center (STIC) are all important 
resources for the patent examiner to utilize.  These 
resources provide material which must be known or 
searched to determine whether claims of applications are 
directly anticipated and therefore unpatentable under the 
provisions of  35 U.S.C. 102.  STIC handbooks, textbooks, 
periodicals, reports, and other materials assist examiners in 
deciding the question of patentable invention in cases in 
which the primary search indicates that there is some nov-
elty as compared to any single reference in the art 
(35 U.S.C. 103).  These resources enable the examiner to 
determine whether the features novel in the particular com-
bination searched would be obvious to a person skilled in 
the art from the general state of knowledge as reflected in 
the technical literature. 

I.	STIC COLLECTIONS

A.	Books

The Scientific and Technical Information Center 
carefully selects and purchases primarily English-language 
publications in all fields of applied technology.  There is a 
modest collection in French and German, mostly in the 
field of chemistry.  Collections of books and trade catalogs 
are also purchased by STIC for permanent location in 
specific examining groups.  For instance, the Design Patent 
Group has a great many manufacturer's catalogs.  Books 
may be ordered by examiners for location in the groups by 
addressing a memorandum to the Manager of STIC via the 
Group Director.  The STIC is also developing a collection 
of  materials in electronic formats (i.e., CD-ROM) in order 
to provide more timely delivery of requested references.  
The locations of all acquired publications are recorded in 
STIC so that users will know where to look for a particular 
publication, be it in the Information Center or in an 
examining group.  All publications, regardless of location, 
are processed in STIC's Technical Services Branch. 

Reference works including encyclopedias, dictionaries, 
handbooks, and abstracting and indexing services are also 
available in the Information Center to assist examiners in 
finding information pertinent to the subject matter of a 
patent application.  STIC does not circulate reference mate-
rials.  Books in the reference collection are so labeled.

The staff of the Scientific and Technical Information 
Center makes every effort to obtain current, useful publica-
tions.  However, all suggestions for additional purchases 
that come in from the Examining Corps are welcomed.

B.	Periodicals

Approximately 1,300 technical periodical titles are 
received in STIC, including publications of many important 
scientific and technical societies.  Incorporated into the col-
lection are a number of titles pertinent to the examination 
of design patent applications and titles of interest to nonex-
amining areas of the PTO.  Many of the periodical holdings 
in STIC are in microfilm or CD-ROM formats.

Requests for the purchase of new subscription titles are 
accepted at any time throughout the year, with subsequent 
purchase dependent on demonstrated need and availability 
of funds.  STIC staff is alert to new periodical titles and 
often acquires sample copies which are sent to appropriate 
examining groups for review and recommendation.

Current issues of periodicals are arranged alphabetically 
and located on shelves near the reference collection.  
Bound periodicals are interfiled with the book collection by 
their library classification numbers. Periodicals on micro-
film and CD-ROM are housed in cabinets.  A list of  peri-
odicals is available in STIC.

C.	Foreign Patent Documents

The United States Patent and Trademark Office receives 
foreign patent documents through exchange agreements 
with almost all countries that print >or otherwise publish< 
their patent documents. This makes STIC's collection of 
foreign patent documents the most comprehensive in the 
United States.

The collection is located in the Foreign Documents Divi-
sion.  The most current part of the collection is made avail-
able to examiners and the public through the >PTO's 
automated search system and through the< Foreign Patent 
Access System (FPAS), a CD-ROM-based local area net-
work in STIC that allows users to look up, view and print 
documents.  The documents from the major industrial 
countries for the period 1969 to 1990 are found on 16 mm 
microfilm in the Microfilm Room.  The earliest patent doc-
uments, back as far as 1617, and documents from smaller 
countries are found in the paper collection in the stacks or 
at remote sites. 

Most foreign countries issue official patent and trade-
mark journals corresponding to the Official Gazette of the 
United States Patent and Trademark Office.  These journals 
are shelved under country name.  Most countries issue 
name indexes; some also issue classified indexes.  Indexes 
are shelved with the journals.  Much of the index informa-
tion is also available on FPAS.

The official journals of a few countries include abstracts 
of the disclosures of the patents announced or applications 
published. 

In addition, the Foreign Patents Branch acquires English 
language abstracts of foreign patent documents for selected 
countries published by Derwent.  Holdings are in 16mm 
format from 1972 to date.  Earlier holdings are in paper.  
The Branch also has unexamined Japanese patent applica-
tions abstracted by the Japanese Patent Office, the Patent 
Abstracts of Japan,  from 1977 to date in paper.

Many countries, e.g., China, are providing abstracts of 
their patent documents on CD-ROM>and other electronic 
media<.  These abstracts will also be accessible through 
FPAS.

Many technical abstracting publications include patent 
literature; the most notable of these is Chemical Abstracts.  
The annual indexes of Chemical Abstracts include, in addi-
tion to the subject matter index, an author index in which 
the patentee's and inventor's names appear, and patent num-
ber lists; corresponding patents of different countries are 
identified.  Specifications of unprinted, or as yet unprinted, 
patents may be included in some of these abstracting ser-
vices.

D.	Special Collections

Biotechnology/Chemical

With the formulation of a new biotechnology examining 
group in 1988 came a mandate to improve STIC resources 
in this area.  The former Chemical Library, located with the 
biotechnology and chemical examining groups, was 
replaced by the Biotech/Chemical Library.  The library 
staff has been developing a collection to reflect the needs of 
the examiners in the biotechnology and chemical arts.  
Besides the usual journals and books in print, the library 
has been collecting backfiles of journals in microfilm and 
in CD-ROM format.

Government Publications

In 1986, the Scientific and Technical Information Center 
was designated a Federal Depository Library which means 
that it now receives a selected number of documents pub-
lished by various U.S. government agencies.  Many of 
these publications are on microfiche or CD-ROM.  The pri-
mary search aids are the Monthly Catalog of U.S. Govern-
ment Publications and the   List of Classes.  All the 
documents received in the STIC have been cataloged into 
the STIC's online catalog system and interfiled with the 
main collection.

Project XL Materials

This collection of books, games, puzzles, and manipula-
tives relate to the teaching of thinking skills whether they 
are classified as creative thinking, critical thinking, deci-
sion making, innovation and invention, or problem-solving 
skills. The collection is primarily aimed at, but not limited 
to, elementary education and is a result of a PTO initiative 
in the mid-1980's to emphasize the importance of encour-
aging creativity in America's youth. Access to the collec-
tion is through STIC's online catalog.  All Project XL 
materials are available for loan.

II.	HOW TO LOCATE MATERIALS IN STIC

The STIC Online Catalog

The primary vehicle for locating books and other materi-
als is the STIC online catalog.  The online catalog contains 
a record of all materials held by the STIC collections, 
including location, call number, and availability.  Worksta-
tions for accessing the online catalog are located in the 
STIC branches.

Materials acquired by the STIC are classified according 
to the Library of Congress classification system, which 
employs a combination of letters and numbers.  Books and 
bound periodicals are intershelved in the stacks according 
to this classification system.  New unbound periodical 
issues are shelved in a separate area of each branch, in 
alphabetical order by title.

III.	LOAN POLICY

All STIC materials except noncirculating items may be 
charged out at the Circulation Desk.  (Noncirculating mate-
rial includes reference publications, foreign patent docu-
ments, and microfilm.) Books circulate for a period of 
4 weeks and can be renewed on request.  Extended loan 
periods are available on request. Examiners may use the 
Department of Commerce Libraries as well as other Fed-
eral Government libraries in the area. STIC's staff can 
answer questions regarding the accessibility and lending 
practices of other libraries. If books are needed from 
another library for official use, the request should go 
through the Scientific and Technical Information Center by 
means of an interlibrary loan request. (See  "Interlibrary 
Loans"  under STIC SERVICES.)

IV.	STIC SERVICES

A.	Reference Services

The staff of the Scientific Reference Branch, the Elec-
tronic Information Center, the Lutrelle F. Parker, Sr. Memo-
rial Law Library, and the Biotechnology/Chemical 
Information Branch assist examiners in the use of the STIC.  
Upon request, they provide guidance on finding informa-
tion in the collection.  If any problems are encountered in 
locating materials, using the catalogs or indexing services, 
or finding answers to informational needs, please check 
with the staff.  They are ready and willing to assist.  Que-
ries may be made in person or by telephone.

B.	Online Searching

Online computer data base searching is provided by the 
Scientific Reference Branch, the Electronic Information 
Center, the Lutrelle F. Parker, Sr. Law Library, and the Bio-
technology/Chemical Information Branch.  All branches 
have access via modems or the in-house system to a num-
ber of vendors' commercial data base search systems.  
These vendors' databases extensively cover the field of 
knowledge and make it possible for online searchers to 
retrieve bibliographic information with abstracts, chemical 
structures, DNA sequences, and sometimes the full text of 
the articles, depending on the database.  This online search 
service provides a valuable screen of the nonpatent litera-
ture for the examiner intending to make a search of the sec-
ondary sources of his/her area of interest.

Vendors accessed by STIC staff include DIALOG, 
ORBIT, DOE/RECON, Chemical Abstracts Services 
(STN), INPADOC, DataTimes, DATASTAR, DTIC/
DROLS, IntelliGenetics, and Mead Data Central.  When 
they are identified as meeting the needs and requirements 
of the Office, new data base vendors are added.  A list of 
the data bases offered by each vendor is available in the 
vendors' manuals located in each STIC branch. Examiners 
may request a computer search by submitting a request 
form to the appropriate  branch. Searches are usually com-
pleted and ready for pickup within 1-2 days.

Examiners are allowed to conduct searches of online 
commercial databases independently of STIC staff.  Train-
ing is provided through the Patent Academy and individual 
assistance is available from the STIC staff, especially for 
searching chemical structures and DNA sequences.

Online searching of nucleic and amino acid sequences is 
conducted by the staff of the Biotechnology/Chemical 
Information Branch through the use of an in-house com-
puter network developed for this purpose.  Examiners who 
wish to access the Automated Biotechnology Sequence 
Search (ABSS) system located in Group 1600 must apply 
through their SPE to the Biotechnology/Chemical System 
Branch for an ID and password.  On an as needed basis, 
introductory classes are conducted by STIC staff to assist 
examiners in understanding the sequence search results.

C.	Foreign Patent Services

The staff of the Foreign Patents Branch of the Foreign 
Document Division is available to assist with any problem 
or informational need regarding foreign patent searching or 
foreign patent documents.

Online search services on Orbit/Questel and Dialog (on 
the basis of Derwent databases) or INPADOC are per-
formed for patent examiners by the Foreign Patents Branch.  
The services provided include:  identification of English-
language or preferred-language equivalents; determination 
of priority dates and publication dates; searches by inventor 
name or abstract number; other patent family and biblio-
graphic searches; and foreign classification information.

Examiners who choose to perform their own patent 
searches after receiving appropriate training through the 
Patent Academy can consult foreign patent experts for dif-
ficult searches.  In using the Derwent versus the INPADOC 
databases, examiners should be aware that the systems 
overlap in coverage and have other similarities, but also 
differ in format, kinds of searches that can be performed, 
and patent document and country coverage.  Derwent main-
tains superior coverage of chemical patent documents, 
while INPADOC includes earlier documents and more 
countries and has more extensive coverage of mechanical 
and electrical patent documents than Derwent databases.

The staff of the Foreign Patents Branch can supplement 
the online searching effort with manual searches of foreign 
patent journals, including   Official Gazette(s), patent con-
cordances, and/or indexes.  The staff also provides training 
in the use of the Foreign Patents Access System (FPAS) 
and information of use of the foreign patent collections.

SPECIAL NOTE:  Members of the public can order cop-
ies of foreign patent documents.  Procedures are outlined in 
a brochure entitled, "Foreign Patent Document Copy 
Orders"  available in STIC.

D.	Translations

Examiners may consult the translators in the Trans 
lations Branch of STIC's Foreign Document Division for 
oral assistance in translating foreign language patents and 
other literature sources that are possible ref erences for 
applications being examined. Oral translations are per-
formed for the major European languages and for Japanese. 
Examiners may also request written translations of perti-
nent portions of references being considered for citation or 
already cited in applications.  Full translations are also 
made upon request.  Written translations can be made from 
virtually all foreign languages into English.

There is a computerized database located in the Transla-
tions Branch listing all translations which have been made 
by the Branch, and a few others gathered from miscella-
neous sources.  This database lists over 30,000 translations 
of foreign patents and articles, all of which are located in 
the Translations Branch.  Patent translations are indexed by 
country and patent number; articles are indexed by lan-
guage and author or title.  Any copies of translations com-
ing to examiners from outside the Office should be 
furnished to the Translations Branch so that it may make 
copies for its files. 

E.	Interlibrary Loans

When needed for official business purposes, STIC will 
borrow materials not available in-house from other librar-
ies.  Requests are initially submitted to the Reference Ful-
fillment Branch.  Those that can be filled by libraries in the 
metropolitan area are handled by staff who go out on a 
daily basis to retrieve requested materials.  Those that must 
be filled by libraries elsewhere in the country are requested 
electronically via numerous networks and commercial ven-
dors.  Law books cannot be borrowed by STIC for use by 
examiners in connection with law courses.

When a book or periodical is borrowed from another 
library, and cited in an Office action, a photocopy of the 
portion cited should be placed in an appropriate class and 
subclass.  This class and subclass should be cited in the 
Office action.

STIC also loans its materials to other libraries around the 
country so that occasionally an examiner may find that the 
item he/she desires is unavailable.  Materials which are out 
on interlibrary loan may be recalled for the examiner if 
required for immediate use.

F.	On-Site Photocopying

For the convenience of the Examining Corps, photocopy 
machines are available for employee use in STIC. These 
are to be used for photocopying STIC materials which do 
not circulate, or for materials which examiners do not wish 
to checkout.

G.	Obtaining Publication Dates

Requests pertaining to the earliest date of publication or 
first distribution to the public of publications should be 
made to the Scientific Reference Branch or the Biotechnol-
ogy/Chemical Information Branch.  For U.S. publications, 
the staff can obtain the day and month of publication 
claimed by the copyright owner.  The same information can 
be obtained for foreign publications through correspon-
dence although it will take a little longer.

H.	Tours

Special tours of the STIC can be arranged for examiners 
or for outside groups.  Contact the Scientific Reference 
Branch.

I.	STIC Brochure

A brochure detailing location, hours, holdings, telephone 
numbers, and services of the Scientific and Technical Infor-
mation Center is available from STIC.

901.06(b)	Borrowed Publications  

See  MPEP ? 901.06(a), STIC Services - Interlibrary 
Loans.

901.06(c)	Alien Property Custodian 
Publications  

Applications vested in the Alien Property Custodian dur-
ing World War II were published in 1943 even though they 
had not become patents.

Care must be taken not to refer to these publications as 
patents; they should be designated as A.P.C. published 
applications.

An A.P.C. published application may be used by the 
examiner as a basis for rejection only as a printed publica-
tion effective from the date of publication, which is printed 
on each copy.

The manner of citing one of these publications is as fol-
lows: A.P.C. Application of ............, Ser. No. ............, Pub-
lished ............

The Public Search Room contains a complete set of 
A.P.C. published applications arranged numerically in 
bound volumes.

901.06(d)	Abstracts, Abbreviatures, and 
Defensive Publications 

Abstracts and Abbreviatures are Patent and Trademark 
Office publications of abandoned applications. Defensive 
Publications (the O.G. defensive publication and search 
copy) are Patent and Trademark Office publications of a 
provisionally abandoned application wherein the applicant 
retains his rights to an interference for a limited time period 
of 5 years from the earliest effective U.S. filing date.  On 
May 8, 1985, the Patent and Trademark Office stopped 
accepting Defensive Publication requests and began 
accepting applications for Statutory Invention Registrations 
(SIRs), although there was an overlap period where both 
Defensive Publications and Statutory Invention Registra-
tions were processed; see  MPEP ? 711.06 and  ? 711.06(a). 
Statutory Invention Registrations have now replaced the 
Defensive Publication program. Statutory Invention Regis-
trations are numbered with document category "H," begin-
ning with "H1."  Defensive Publications and Statutory 
Invention Registrations are included in subclass lists and 
subscription orders.

Distinct numbers are assigned to all Defensive Publica-
tions published December 16, 1969 through October 1980.

For Defensive Publications published on and after 
November 4, 1980, a different numbering system is used.

A conversion table from the application serial number to 
the distinct number for all Defensive Publications pub-
lished before December 16, 1969 appears at 869 O.G. 687.  
The distinct numbers are used for all official reference and 
document copy requirements.

901.07	Arrangement of Art in Examining 
Groups 

In the examining groups,  the U.S. patents are arranged 
in shoes bearing appropriate labels, each showing the class, 
subclass, and usually the lowest and highest numbered pat-
ents put in the respective shoe. The patents are arranged in 
numerical order. White labels denote U.S. patents, pink 
labels denote foreign patents filed according to U.S. classi-
fications, blue labels denote non-patent literature, and yel-
low labels denote foreign patents filed according to IPC 
classifications.

One copy of a U.S. patent is designated as "original"  
and is classified in a specific subclass, based on the control-
ling claim.  Other copies may be placed in other subclasses 
as cross-references, based on additional claimed inventions 
and/or pertinent unclaimed disclosure.  Cross-reference 
copies are filed in numerical order along with the copies of 
original patents to simplify the tasks of searching and fil-
ing.

Copies of foreign patents are usually kept in shoes sepa-
rate from and immediately following the U.S. patents.

All foreign patent documents (patents and published 
applications) involved in a reclassification project issued 
between January 1, 1974 and October 1, 1995 are filed by a 
computer-generated sequence number within each sub-
class.  Each such foreign patent document has the year of 
publication indicated in the upper right-hand corner of the 
front page.

Nonpatent publications or photocopies thereof contain-
ing disclosures for particular subclasses, if numerous, 
should be filed in shoes following the foreign patents; oth-
erwise, they should be filed at the bottom of the last shoe of 
foreign patents.

In most reclassification projects undertaken after Octo-
ber 1, 1995, foreign patents associated with the reclassified 
art have not been reclassified into the new classification 
schedule created for the U.S. patents.

Foreign patents in this category are available for search-
ing in a "foreign patent art collection," which appears at the 
end of the class which includes the newly created classifi-
cation schedule.  The "foreign patent art collection" is iden-
tified by reference to the subclass portion of the main 
schedule to which it pertains.  Its subclasses are character-
ized by the prefix "for" followed immediately by a three 
digit number.

The "foreign patent art collection" maintains the foreign 
patents classified in the former classification schedule, i.e., 
the schedule which was the subject of the reclassification 
project.  At the end of each subclass in the "foreign patent 
art collection", there appears in parentheses the subclass 
number under which the foreign patents had been classified 
prior to the reclassification project.

Subclass definitions for the "foreign patent art collec-
tion," exactly corresponding to those of said former classi-
fication schedule, are maintained.

901.08	Borrowing References

The search files in each examining group should at all 
times be complete.  Where they are incomplete, the exam-
iners using such files and relying on their completeness 
may miss valuable references.  References removed from 
the files whether for use in the group or otherwise should, 
of course, be promptly returned.

901.09	Missing Copies - Replacement 

To expedite the handling of requests for replacement 
copies and thereby ensure the quickest response, the fol-
lowing routing procedures should be adhered to:

(A)	Use designated collection drops within each group 
for copy orders.

(B)	Clerical personnel from the Office of Classifica-
tion Support (OCS) will visit designated collection drops at 
least twice each week to pick up PTO-14C orders.  

Alternatively, the orders may be mailed or otherwise deliv-
ered to the Search File Improvement Division, OCS, cur-
rently located in Crystal Mall, Building 2, Room 967.

The attorneys' drop slot at the Public Service Window  
should not be used nor should the forms be mailed to Copy 
Fulfillment Services as consequent rerouting to Office of 
Classification Support for processing will result in unnec-
essary delay.

All replacement copies ordered through the PTO-14C 
program are returned to the requesting examiner as notifi-
cation of order fulfillment.  The examiner should then place 
the copies in the designated file drop location for filing by 
the contractor in the search file.

902	Search Tools and Classification 
Information

902.01	Manual of Classification

The Manual of Classification is the key to the U.S. 
Patent Classification System.  It is published in full as the 
Basic Manual every 2 years. Basic Manuals reflect current 
classifications as of December of even-numbered years. 
Revisions to the Basic Manual occur at 6-month intervals.  
Pages of the Manual revisions are inserted as replacements 
to update the previous versions.

There are over 400 classes in the U.S. Patent Classifica-
tion System, each having a title descriptive of its subject 
matter and each being identified by a class number.  Each 
class is subdivided into a number of subclasses.  Each sub-
class bears a descriptive title and is identified by a subclass 
number. The subclass number may be an integral number or 
may contain a decimal portion and/or alpha characters.  A 
complete identification of a subclass requires both the class 
and subclass number and any alpha or decimal designa-
tions; e.g., 417/161.1A identifies Class 417, Subclass 
161.1A.

The Manual of Classification contains ordered arrange-
ments of the class and subclass titles, referred to as class 
schedules. These titles are necessarily brief, although they 
are intended to be as suggestive as possible of subject mat-
ter included.  Therefore, it is best not to depend exclusively 
upon titles to delineate the subject matter encompassed by a 
class or subclass.  Reference to respective definitions and 
notes is essential.  If a search is to be expeditious, accurate, 
and complete, the Manual of Classification should be used 
only as a key to the class or subclass definition and 
appended notes.

The Manual of Classification has the following parts:

(A)	A list of classes revised in the most recent revision 
to the Manual and the reason for the revision to each class.

(B)	A list of the contents of the Manual showing the 
current page date for each class and the year in which the 
class was originally established.

(C)	Overview of the classification system.

(D)	A hierarchical arrangement of class titles orga-
nized into three main groups by related subject matter.  It 
should be noted that this hierarchy is to be used to deter-
mine document placement only as a last resort, (i.e., when 
none of the other classification criteria, such as comprehen-
siveness, etc., allow placement.  This part also includes an 
exact hierarchical listing of the synthetic resin and chemi-
cal compound classes.

(E)	A list, in numerical order, of each Examining 
Group and Art Unit indicating Examining Group personnel, 
their location, and phone numbers.

(F)	A list, in numerical order, by art unit indicating the 
classification(s) assigned to each.

(G)	A list of classifications in numerical order by class 
number giving the class title, the art unit to which the art is 
assigned, and the examiner search room in which the art 
can be found.

(H)	A list of classes in alphabetical order by class title 
with associated class numbers.

(I)	The class schedule for PLANTS.

(J)	Class schedules for utility patent classes arranged 
in numerical sequence by class number.

(K)	The class schedules for the Design classes.

The Manual of Classification is available to PTO person-
nel online from the "Patent Examiner's Toolkit" toolbar.

902.01(a)	Index to the U.S. Patent 
Classification System

The Index to the U.S. Patent Classification System is an 
alphabetic listing of technical and common terms referring 
to specific classes and subclasses of the U.S. Patent Classi-
fication System.  It is intended as an initial entry into the 
system and should not be considered exhaustive.  All 
appropriate class schedules should be scanned for specifi-
cally related subclasses and the definitions and associated 
notes of the pertinent classifications must also be reviewed, 
even when the citation found in the Index appears to be 
restricted to a specific subject matter area.

The Index is published every year reflecting classifica-
tion as of December of the year. Suggestions or changes to 
the Index are encouraged and should be directed to the 
Classification Groups.  

The Index is available to PTO personnel online from the 
"Patent Examiner's Toolkit" toolbar.

902.02	Class and Subclass Definitions 

All of the utility classes (i.e., classes devoted to technol-
ogy) and the plant class have definitions. The design 
classes do not have definitions.

Definitions state the subject matter of the classes and 
subclasses much more explicitly than it is possible to state 
in short class and subclass titles.  A study of the definitions 
is essential to determine the proper classification of subject 
matter within the U.S. Patent Classification System.

A complete set of definitions of all classes and sub-
classes in the U.S. Classification System is available to 
PTO personnel online from the "Patent Examiner's Tool-
Kit" toolbar. These definitions are revised every June and 
every December.

Definitions are available as full sets on microfiche. The 
microfiche is revised every 6 months, with full (basic) sets 
being issued in December of each even numbered year.  
Each examining  group has at least one set of definitions on 
microfiche and a microfiche reader. There are several sets 
of microfiche and a paper set of definitions in the Public 
Search Room.

Definitions of individual classes in paper form or on 
floppy disc are available from the Office of Classification 
Support.  It is noted that classification orders frequently 
affect existing definitions.  Personal sets of definitions used 
by examiners should be periodically revised to reflect these 
changes.

902.02(a)	Definition Notes 

Many of the definitions have accompanying notes. 
These notes are of two types:  notes that supplement defini-
tions by explaining terms or giving examples, and notes 
referring to related disclosures located in other classes or 
subclasses. 

These latter notes are termed search notes and are help-
ful in explaining the limits of a class or subclass. They gen-
erally state the relationship to, and difference from, other 
identified subject matter collections. It is intended that each 
note should guide a user to the extent necessary to reach a 
decision either to include or exclude an area containing rel-
evant subject matter.

Search notes are not exhaustive and should be regarded 
as suggestive of additional fields of search, but not as limit-
ing the search.  Additionally, since a search note which 
applies to a particular subclass is rarely repeated for sub-
classes indented thereunder, it is advisable to review the 
search notes of all parent subclasses.

902.02(b)	Search Cards

Many older subclasses have "search cards" containing 
the subclass definition in the first shoe of each defined sub-
class in both the examining group and the Public Search 
Room.

902.03	Classification Information

Current classification information for U.S. patents is 
available from the sources indicated below.

902.03(a)	Master Classification File (MCF) 
on Microfilm

A patent number index of domestic patents giving their 
current original and cross-reference classification is avail-
able on microfilm in the Public Search Room.  Patent num-
bers are arranged in both numeric and classified array.  The 
microfilm is updated semiannually, in June and December.

902.03(b)	Patent Index  

Original and cross-reference classification information 
for individual patents can be obtained by use of computer  
terminals located in the Public Search Room or by calling 
the Patent Index telephone service (see MPEP ? 1730). 
This data is updated bimonthly with new issues and reclas-
sifications.

902.03(c)	Subclass Listings  

Computer printout listings of patents contained in sub-
classes may be obtained by request from the Office of Clas-
sification Support.  Listings can be inclusive or limited by 
use of a cutoff date or patent number.  This data is updated 
bimonthly with new issues and reclassifications.

902.03(d)	Patent Information and Search 
Tools:  the Cassis CD-ROM Series

Access to a great deal of patent information as well as 
various search tools is available in the Cassis CD-ROM 
series.  These include:

Patents CLASS:  Provides a list of all classifications of 
a patent number and a list of all patent numbers in a 
classification, showing ORs and XRs.

Patents BIB:  Bibliographic information for utility pat-
ents issued since 1969 (other patents, since 1977), 
including issue date, title, current classifications, 
assignee at time of issue, status (withdrawn, reexam-
ined, extended term, certificate of correction issued or 
expired due to nonpayment of maintenance fee), and 
abstracts for the most recent 2 1/2 - 3 years depending 
on disc space.

Patents ASSIGN:  Shows assignment of patent rights 
recorded at the USPTO from August 1980 to present.

Patents ASSIST:  This disc provides a variety of files: 
Manual of Classification; Manual of Patent Examining 
Procedure; Index to the U.S. Patent Classification Sys-
tem; Attorneys and Agents Registered to Practice 
before the U.S. Patent and Trademark Office; Classifi-
cation Orders Index showing Classes/subclasses abol-
ished or established since 1976; IPC-USPC 
Concordance; Classification, Art Unit, Supervisory 
Patent Examiner and Telephone Number (CAST) 
showing which Art Units examine which art according 
to classification; Classification Definitions; and Paten-
tee-Assignee File showing assignment of patent rights 
at time of issue since 1969 for utility patents (other pat-
ents, since 1977), and inventor names since 1975.

The above CD-ROMs are text-searchable.  Search 
results can be viewed on-screen, printed, or down-loaded to 
diskette.  Patents CLASS and Patents BIB are updated with 
new information every two months; Patents ASSIGN and 
Patents ASSIST are updated every three months.

In addition to the text-searchable discs, USAPat offers 
full facsimile images on CD-ROM of U.S. patents issued 
weekly.  The backfile includes patents issued since January 
1994.  Intended as a document delivery system, USAPat 
allows retrieval of patents by document number only.  
Excellent printed copies can be obtained using a laser 
printer.

902.03(e)	Automated Patent System (APS)

APS is the PTO online system which allows access to the 
full text of U.S. patents granted since 1970.  In addition, 
APS provides access to current classification information 
for all U.S. patents.

902.04	Classification Orders  

Classification Orders issue once a month, each Order 
detailing the changes resulting from a classification project 
effected that month.

Since classification projects issue monthly throughout 
the year, orders are used to bridge the gap between the time 
a project issues and the time the other search tools (Manual, 
Index, Definitions) are updated.

The order includes the following:

(A)	Either the new class schedules or changes to exist-
ing class schedules necessitated by the project;

(B)	The changes to the definitions necessary to sup-
port the changes in (A), above;

(C)	Source and disposition lists showing how the old 
art has been distributed into the newly established sub-
classes; and 

(D)	A revised concordance showing the relationship 
between the newly established subclasses and their Interna-
tional Patent Classification (IPC) counterparts.

Classification Orders are distributed to classifiers and 
examiners associated with the reclassification project of the 
order, to Patent Depository Libraries, and to the Public 
Search Room.  Copies can be obtained through the Group 
Post Classifier or from the Office of Classification Support. 

902.04(a)	Reclassification Alert Report  

The Reclassification Alert Report is distributed to exam-
iners, classifiers, and technicians each quarter.  It lists 
numerically the classes and subclasses affected by classifi-
cation orders which issued during the quarter, indicating if 
the classifications were established, abolished, or had defi-
nition changes.

Copies of definitions of newly established subclasses, 
definition changes to existing subclasses, or entire classifi-
cation orders are available from the Office of Classification 
Support.

903	Classification 

903.01	Statutory Authority

The statutory authority for establishing and maintaining 
a classification system is given in the following statute, 
which states:

35 U.S.C. 9.  Classification of patents.

The Commissioner  may revise and maintain the classification by sub-
ject matter of United States letters patent, and such other patents and 
printed publications as may be necessary or practicable, for the purpose of 
determining with readiness and accuracy the novelty of inventions for 
which applications for patent are filed.

903.02	Basis and Principles of 
Classification 

The basis of classification used in the U.S. Patent and 
Trademark Office, the principles followed, and the reasons 
why such principles were adopted are set forth in the book-
let Development and Use of Patent Classification Systems, 
which is available in each art unit.  The booklet is also 
available from the Editorial Division of the Office of Clas-
sification Support.  Since classification is the basic tool of 
every examiner, this booklet, particularly as it relates to the 
present classification system, should be carefully studied.  
Also available is the "Examiner Handbook to the U.S. 
Patent Classification System" which can be accessed on the 
PTO Home Page.

903.02(a)	New and Revised Classes  

The establishment of new classes or subclasses and the 
revision of old classes are done under the supervision of a  
patent classifier.

The classifier performing the reclassification is provided 
with a set of patent copies of the present classification. 
With these copies, by study and successive groupings, he or 
she develops an arrangement of the patents which is satis-
factory for searching.  Usually expert examiner opinion is 
sought.

The definition of the new class or revised class is written 
or modified, the lines between the class and other classes 
are drawn up, and the subclass definitions are established.

The Index to the U.S. Classification System and the 
Classification Data System files are also updated.

Notification of the new class or subclass is published in a 
Classification Order, and Supplementary sheets necessary 
to correct the looseleaf Manual of Classification are pub-
lished.

Definitions of all revised classes and subclasses are 
included in Classification Orders.

903.02(b)	Scope of a Class

In using any classification system, it is necessary to ana-
lyze the organization of the class or classes to be included 
in the search.

The initial analysis should determine which one or ones 
of the several types of subject matter (manufacture, art, 
apparatus, or stock material) are contained in the class 
being considered.

Further, relative to each type of subject matter, it is nec-
essary to consider each of the various combinations and 
subcombinations set out below:

Basic Subject Matter Combined with Feature for Some 
Additional Purpose.  The added purpose is in excess of the 
scope of the subject matter for the class, as defined in the 
class definition; e.g., adding a sifter to a stone crusher 
which gives the added function of separating the crushed 
stone.

Basic Subject Matter Combined with Perfecting Feature.  
Features may be added to the basic subject matter which do 
not change the character thereof, but do perfect it for its 
intended purpose; e.g., an overload release means tends to 
perfect a stonecrusher by providing means to stop it on 
overload and thus prevent ruining the machine.  However, 
this perfecting combined feature adds nothing to the basic 
character of the machine.

Basic Subject Matter.  The combination of features nec-
essary and essential to the fundamental character of the 
subject matter treated; e.g., a stonecrusher requires a mini-
mum number of features as essential before it can function 
as such.

Subcombinations Specialized to Basic Subject Matter. 
Each type of basic subject matter may have subcombina-
tions specialized to use therewith; e.g., the crushing ele-
ment of a stonecrusher.

Subcombinations of General Utility.  Each type of basic 
subject matter may have subcombinations which have util-
ity  with other and different types of subject matter; e.g., the 
machine elements of a stonecrusher.  Subcombinations of 
this character usually are provided for in some general class 
so that the examiner should determine in each instance 
where they are classified.

903.02(c)	Establishing Subclasses and 
Cross-Reference Art Collections 

When an examiner finds it desirable to create a new sub-
class or cross-reference art collection, the appropriate post 
classifier must be consulted before work is begun. The post 
classifier will assist the examiner in establishing any new 
subclass or cross-reference art collection by providing 
appropriate instructions on how to mark patents to be trans-
ferred from an existing subclass to a new subclass, obtain-
ing any additional cross-reference copies that might be 
needed, determining the title of the newly established sub-
class or cross-reference art collection, and assigning the 
numeric designation to be placed on the new subclass or 
cross-reference art collection.

All newly created subclasses will be made official so as 
to be a part of the defined classification system and will 
thus  appear in both the examiners' and Public Search 
Room files. The intent is to accomplish this with a mini-
mum amount of disruption to the examiners.  Any examiner 
having the Group Director's approval to create new sub-
classes should contact the group post classifier for his or 
her group.  As workload permits, the classifier will be 
assigned to cooperate with the examiner on the arrange-
ment of the subclasses he or she wishes to establish and the 
definitions thereof.  Then, the examiner will physically 
establish the subclasses or provide a marked-up computer 
printout of the patents in the subclass or subclasses being 
affected.  On a time available basis, the examiner may be 
aided in this task by classification personnel.

At this point, the Office of Classification Support will 
withdraw the corresponding Search Room copies, and 
using data gathered from the examiners' newly created sub-
classes or computer printout, conduct the final processing 
of the Search Room patents.  After this is complete (i.e., the 
Search Room copies are arranged by the new classifica-
tion), the examiners' copies will be withdrawn for a short 
period to go through final clerical processing into new sub-
classes and then returned to the examiners.

The above procedures will not only be beneficial to the 
Search Room file but will also provide the examiners with 
defined subclasses.

903.03	Availability of Foreign Patents     
[R-1]

All foreign patent documents received in the Office 
before October 1, 1995 were placed in the shoes in the 
examining groups, according to either the United States 
Patent Classification System or, in relatively few instances, 
an IPC classification. Foreign patents received by the 
Office after October 1, 1995 are available >on the PTO's 
automated search systems and< on CD-ROM from the For-
eign Patents Division of the Scientific and Technical Infor-
mation Center (STIC) through the Foreign Patent Access 
System (FPAS).

If the examiner desires to update the classification of a 
foreign patent by changing, canceling, or adding copies, he 
or she should forward the patent to his or her post classifier 
with a request for the desired transaction attached.

The Scientific and Technical Information Center retains 
copies of foreign patents (see  MPEP ? 901.06(a)) so that 
foreign patents, known by country, number, and publication 
date, can be inspected in the Scientific and Technical Infor-
mation Center or photocopies ordered.

Examiners confronted with language problems in classi-
fying foreign-language patents may call upon the Transla-
tion Branch of the Scientific  and Technical Information 
Center for assistance (see  MPEP ? 901.06(a)).

903.05	Transfer of U.S. Patents

The transfer of official copies of U.S. patents, either 
original or cross-reference, from one class or subclass to 
another requires the approval of a classifier.

Examiners must submit to the appropriate classification 
group all questions of transfer of patents.

When an examiner desires to transfer official copies of 
domestic patents to a different class or subclass, he or she 
should have a memorandum list prepared for signature of 
the primary examiner of the numbers of all patents which 
are to be transferred indicating only the class and subclass 
into which each is to be placed.  Both originals and prop-
erly identified official cross-references may be included in 
the same list and these may involve transfers to or from any 
number of different classes or subclasses. Additional cross-
reference copies of any listed patent may also be requested 
by merely indicating where the cross reference copies 
should be placed. This list with the examiner's copies of the 
patents is routed through any other group involved for its 
prompt approval or comment and is forwarded to the 
appropriate classification group.

In those instances where a transfer is approved by a 
patent classifier, the class and subclass designations on 
both the examiner and Patent Search Room copies of the 
patents are changed and the classification data files are 
altered to agree with the new classification. When the trans-
fer is not approved, the copies of the patents will be 
returned with a notification thereof.

Unauthorized transfers render the subclasses in the 
Patent Search Room no longer duplicates of those in the 
examiners' rooms, and also render incorrect the classifica-
tion data files.

The procedure for transferring an entire class or subclass 
from one group to another is given in the Manual of      
Clerical Operations.

903.06	Practice To Be Followed in 
Ordering Official Cross-References  

Patents which are useful as references may be found 
either in the course of a search or from inspection of the 
Official Gazette each week. All patent copies in official 
subclasses, cross-reference art collections, and digests are 
now recorded on the Master Classification File (MCF).  In 
order that the search file be complete as to patent copies 
and to ensure the accuracy of the MCF, it is necessary that 
each patent copy subsequently added to the search file be 
recorded.

The informal placement of cross-references as "Unoffi-
cial Patents" into the examiner's search file is prohibited.  
All patent copies now placed in the examiner's search file 
are official cross-references. Requests for additional cross-
references will be utilized by the Office of Classification 
Support to ensure the placement of labeled copies in the 
examiner's search file and the Patent Search Room.

To order new or additional cross-references, the exam-
iner should submit a pink-colored form, PTO-14B, com-
pleted as follows:

(A)	Enter the "DATE OF ORDER," "PATENT NUM-
BER,"  "EXAMINER'S NAME," and "ART UNIT" in the 
appropriate boxes.

(B)	Enter the "CLASS" and "SUBCLASS/DIGEST" 
information for each location where a copy of the requested 
patent should be placed.

(C)	Enter the number of "TOTAL COPIES" 
requested. This number is determined by multiplying the 
total number of unique classifications listed times two.  
This ensures a sufficient number of copies will be obtained 
to place a labeled copy in both the Examiner Search File 
and the Patent Search Room.

When cross-references for more than three different 
patent numbers are desired, the examiner can prepare a list 
of the patent numbers and their associated classifications.  
One copy of form PTO-14B should be completed to reflect 
the Date of Order, Art Unit, and Examiner's Name and 
should be attached to the list.

To expedite the handling of requests for additional cross-
references and thereby ensure the quickest response, the 
following routing procedures should be adhered to:

(A)	Designated collection drops within each group for 
copy orders should be used.

(B)	Clerical personnel from the Office of Classifica-
tion Support (OCS) will visit designated collection drops at 
least twice each week to pick up PTO-14 orders. 

Alternatively, the orders may be mailed or otherwise deliv-
ered to the Search File Improvement Division, OCS, cur-
rently located in Crystal Mall, Building 2, Room 967.

The attorneys' drop slot at the Public Service Window 
should not be used, nor should the forms be mailed to Copy 
Fulfillment Services as consequent rerouting to the Office 
of Classification Support for processing will result in 
unnecessary delay.

903.07	Classifying and Cross-Referencing 
at Allowance [R-1]

It is the duty of each primary examiner to personally 
review the original classification and cross-referencing 
made by his or her assistants in the issuing classification 
boxes on the face of the file wrapper, or on the blue issue 
classification slip for series 08/ and earlier applications, of 
every application passed for issue. Both the blue issue clas-
sification slip (PTO-270) and the file wrapper provide 
space for the full name of the  "Primary Examiner" to show 
that the review has been made. 

An examiner with full signatory authority who acts per-
sonally on an application and sends it to issue should stamp 
and sign his or her name on the file wrapper ONLY in the 
"Primary Examiner" space. A line should be drawn through 
the "Assistant Examiner" space on the file wrapper or blue 
issue slip, as appropriate, to make it clear that the absence 
of information in the box was not an oversight.

The initial classification of pending applications and the 
drawings thereof will have been indicated in pencil by the 
supervisory patent examiner. See  MPEP ? 903.08(b).

However, an application, properly classified at the start 
of examination, may be classified differently when it is 
ready for allowance.  The allowed claims should be 
reviewed in order to determine the subject matter covered 
thereby.  It is the disclosed subject matter covered by the 
allowed claims that determines the original and any manda-
tory cross-reference classification of U.S. patents.

The procedure for determining the classification of an 
issuing application is as follows: every claim, whether 
independent or dependent, must be considered separately 
for classification. A separate mandatory classification is 
required for each claim which is classifiable in a different 
class or subclass; some claims, particularly in chemical 
areas, may require plural classifications. After all manda-
tory classifications have been determined,  the classifica-
tion to be designated as the original (OR) is determined. If 
all mandatory classifications are in the same class, the man-
datory classification that appears first (highest) in the class 
schedule is the original classification; in certain circum-
stances (e.g., the genus-species array), however, modifica-
tions of this rule may apply.  See the "Examiner Handbook 
to the U.S. Patent Classification System" for an explanation 
of genus-species classification.

If the mandatory classifications are in different classes, 
the original classification is determined by considering, in 
turn, the following criteria:

(A)	selection based on the most comprehensive claim, 

(B)	selection based on priority of statutory category of 
invention,

(C)	selection based on superiority of types of subject 
matter, >and<

**>

(D)	<selection among classes in the "related subject" 
listing at the front of the manual of classification.

It should be noted that the criteria, supra, may be super-
seded by

(A)	special circumstances, e.g., superconductor tech-
nology and biotechnology are superior to all other subject 
matter,

(B)	prior placement of patents for a particular body of 
art, or 

(C)	particular class lines and class notes.

Once the controlling class is determined, classification 
within said class is determined by the hierarchy of the 
class.

For a more complete discussion of this subject, see the 
"Plan and Use of the Manual of Classification" on page I-1 
et seq. of the Manual of Classification, or the "Examiner 
Handbook to the U.S. Patent Classification System."

Once the original classification is determined, all 
remaining mandatory classifications are designated as 
cross-references, as are any additional discretionary classi-
fications that the examiner wishes to apply to the patent.

Only the correct original classification should be left 
on the file and drawing of each application when passed 
for issue.

The examiner must legibly fill out the issuing classifica-
tion boxes on the face of the file wrapper (or a blue issue 
classification slip (PTO-270) for series 08/ and earlier 
applications) to indicate the class and subclass in which the 
patent should be classified as an original and also the clas-
sifications in which it should appear as a cross-reference.  
In those unusual cases involving more than 31 cross refer-
ences, an addendum issue slip will be used and attached to 
the left inside of the file wrapper. The examiner should be 
certain that all subclasses into which cross-references are 
placed are still valid. 

All examiners are requested to fill in the original class 
and subclass on the drawings in large numerals using as 
much of the space provided as feasible.  In this way, the fil-
ing of drawings and subsequent retrieval by the Publishing 
Division will be greatly aided. See also  MPEP ? 1302.10.

All examiners must include alpha subclass designators in 
the issuing classification boxes on the file wrapper or on 
the blue issue slips (PTO-270) at the time of issue when 
appropriate.  This applies to both the original  classification 
and the cross-reference classification. Any time that a 
patent is being issued in or cross-referenced to a subclass 
containing alpha subclasses, the alpha designation for the 
proper alpha subclass must be included. No other designa-
tion is permissible.  Inclusion of only the numeric designa-
tion of a subclass which includes an alpha subclass 
designation is an incomplete and improper entry.  A 
numeric subclass from which alpha subclasses have been 
created is designated with an "R" (denoting residual) and if 
the patent does not fit an indented alpha subclass, the  "R"  
designation must be included.  It is permissible to place 
multiple copies of a patent into a single set of alpha sub-
classes.

When the original patent is classified in an alpha sub-
class (including the  "R"  subclass), the drawing should 
also include the alpha designation.

Digests and cross-reference art collections should also 
be included in the issuing classification boxes on the face 
of the file wrapper or on the blue issue slip, but the original 
classification must never be a digest or cross-reference art 
collection. The indication for a copy of a patent in a digest 
or cross-reference art collection must be in the cross-refer-
ence area of the issuing classification boxes. A digest must 
be identified by class number, alpha characters DIG, and 
appropriate digest number.

APPLICATIONS IN ISSUE

Where an official Classification Order affects an appli-
cation already passed to issue, the classification group 
makes the necessary changes on the file wrapper, blue slip, 
and drawing, if any. 

Patents issuing from applications which already have 
been sent to the printer will be reclassified by the classifica-
tion group at the time the patent issues.

903.07(a)	Cross-Referencing - Keep 
Systematic Notes During 
Prosecution  

Throughout the examination of an application, system-
atic notes should be kept as to cross-references needed 
either due to claimed or unclaimed disclosure. Examiners 
handling related subject matter should be consulted during 
prosecution (whether they handle larger unclaimed combi-
nations or claimed or unclaimed, but disclosed, subcombi-
nations), and asked if cross-references are needed.

Each consultation involving a question of the propriety  
of the classification of subject matter and/or the need for a 
cross-reference must be recorded in the SEARCH NOTES 
box on the file wrapper and must include: the name of each 
examiner consulted, the date that the consultation took 
place, and the results of the consultation including the con-
sulted examiners' or examiner's indication of where 
claimed subject matter is properly classified and where 
subject matter disclosed but unclaimed is properly classi-
fied and whether or not a cross-reference is needed. 

A cross-reference MUST be provided for all CLAIMED 
disclosure where possible and inserted in the issuing classi-
fication boxes at time of issue.

903.07(b)	Issuing in Another Examining 
Group Without Transfer

When an examiner issues a prospective patent in another 
examining group, he or she notes in the space provided on 
the issuing classification area on the face of the file wrap-
per (or on the blue issue classification slip in series 08/ and 
earlier applications), in red ink, the class and subclass of the 
other group, and in parentheses the number of said other 
group. (The initials of said other primary examiner must 
appear in the area to the right of the original classification.) 
When the patent issues, the classification group will, as a 
matter of routine, send the necessary notices to the group 
involved.

The sending of cases to issue from one group and assign-
ing them to classes in another group is restricted to those 
situations where both examiners concur in the proposed 
classification of the patent, which must be shown by the 
concurring primary examiner initialing the area to the right 
of the original classification on the issuing classification 
area on the face of the file wrapper (or the issue classifica-
tion slip in series 08/ and earlier applications), or where 
there has been a ruling by a patent classifier, who must ini-
tial the same space.

When primary examiners disagree on the proper original 
classification of the allowed claims, the application should 
be submitted for resolution to the post classifier having 
jurisdiction over the art area to which the application is 
presently assigned. The post classifier shall give the appli-
cation a high priority.

903.08	Applications: Assignment and 
Transfer

The titles  "supervisory patent examiner"  and "primary 
examiner," as used in this  Chapter 900, include in their 
definition any person designated by them to act on their 
behalf.  It is recognized that authority to accept or refuse 
the transfer of an application may be delegated when such 
authority is deserved.

The examining group to which an application is assigned 
is responsible for its examination until such time as the 
application is officially transferred to another group by the 
classification group.

The primary examiners have full authority to accept any 
application submitted to them that they believe is properly 
classifiable in a class in their art unit.

Applicants may be advised of expected application 
transfers by using Form Paragraph 5.03.

?  5.03 Reassignment Affecting Application Location

The Art Unit location of your application in the PTO has changed.  To 
aid in correlating any papers for this application, all further correspon-
dence regarding this application should be directed to Art Unit [1].

Examiner Note:

This paragraph should be used in all Office actions when the location 
of an application is changed due to a reassignment of the art, transfer of 
the application to a different Art Unit, or transfer of an examiner and the 
examiner's docket.

903.08(a)	New Applications 

New nonprovisional applications are assigned to the var-
ious examining groups in the first instance by the Office of 
Initial Patent Examination. Upon receiving an application 
from the Office of Initial Patent Examination, the technical 
support staff in charge of processing new applications 
should wand the application on the PALM bar code reader 
to the art unit to which it has been assigned and  date stamp 
the file wrapper  on the day the file is to be delivered to the 
supervisory patent examiner. The complete application (file 
and drawing) are then given to the appropriate supervisory 
patent examiner. The technical support staff should not per-
mit these cases to remain overnight before distributing.

If the supervisory patent examiner decides that the appli-
cation properly belongs in his or her art unit, it is processed 
as a new receipt. See  MPEP ? 903.08(b).

When a new application is received which, in the opin-
ion of the primary examiner, does not belong to his or her 
group, he or she may request transfer of it to another group. 
See  MPEP ? 903.08(d).

Form PTO-447A,  "Transfer Request"  consists of two 
copies and is used as a transmittal and notification form.

If the search in connection with the first action develops 
art showing proper classification elsewhere, the transfer is 
usually initiated before the first action is prepared and 
mailed.

903.08(b)	Classification and Assignment  to 
Examiner [R-1]

Every nonprovisional application, new or amended, and 
including the drawings, if any, when first assigned to a 
group must be classified and assigned to an examiner for 
examination.  The supervisory patent examiner normally 
assigns them, noting in lead pencil in the space provided on 
the face of the file the assigned class and subclass and also 
the name of the examiner. The application file is then 
turned over to the technical support staff for processing.  
Provisional applications are not classified or assigned since 
they are not examined.

If an examiner other than the supervisory patent exam-
iner is given the responsibility of assigning applications, 
time so spent may, at the Group Director's discretion, be 
charged to  "Assisting SPE."

>CLASSIFICATION AND ASSIGNMENT OF 
APPLICATIONS FILED UNDER THE PATENT 
COOPERATION TREATY (PCT)

  Applications filed under the Patent Cooperation Treaty 
(PCT) are normally classified on the basis of the first 
claimed invention in the application. The following special 
situations, however, apply:

(A)	if a U.S. national application has been acted upon 
by an examiner to whom the national application was 
assigned on the basis of the controlling (not necessarily the 
first) claim, a subsequent PCT application claiming priority 
of the national application will normally be assigned to the 
same examiner, or to the examiner's art unit in his/her 
absence;

(B)	in all other situations where a U.S. national appli-
cation and a corresponding PCT application are copending, 
irrespective of which application was filed first, every 
effort should be made to ensure that both applications are 
assigned for search and examination to the examiner to 
whom the PCT application would normally be assigned on 
the basis of the first claimed invention, or to the examiner's 
art unit in his/her absence;

(C)	if a PCT application has been the subject of inter-
national search and possibly international 
preliminary examination outside the U.S., a U.S. national 
phase application or a U.S. national application claiming 
benefit of the PCT application will be assigned like any 
other application, i.e., on the basis of the controlling claim.

  The object of having the U.S. national and PCT appli-
cations assigned to the same examiner is to promote consis-
tent search and examination results.

 Should a PCT application be submitted to a classifica-
tion unit for resolution of an assignment dispute, the PCT 
application must:

(A)	be hand-carried throughout the dispute resolution 
process; and

(B)	be returned to an examining unit within three 
working days of receipt in the classification unit.

  See MPEP ? 903.08(d) for a discussion of transfer pro-
cedures.< 

903.08(c)	Immediate Inspection of 
Amendments

Upon the receipt of an amendment which makes a trans-
fer proper, steps should be taken promptly in accordance 
with the transfer procedure outlined in  MPEP ? 903.08(d).

903.08(d)	Transfer Procedure [R-1]

TRANSFER BETWEEN ART UNITS WITHIN THE 
SAME GROUP

All  within the group  transfers must be called to the 
attention of the group technical support staff so that the 
PALM system may be updated to correctly indicate the 
assignment of the nonprovisional application. 

Where there is a difference of opinion among the super-
visory patent examiners as to assignment within the same 
group, the matter is submitted to the post classifier assigned 
to that group for resolution by use of form PTO-447A.  
Note  MPEP ? 903.10.

TRANSFERS BETWEEN DIFFERENT GROUPS

Where a supervisory patent examiner (SPE) believes an 
application, either new or amended, does not belong in his 
or her art unit, he or she may request transfer from his or 
her art unit (the  "originating"  art unit) to another art unit 
of a different examining group (the "receiving"  art unit) 
using form PTO-447A.  The supervisory patent examiner of 
the originating art unit dates and completes Section I of the 
PTO-447A giving a full explanation of the reasons for clas-
sification in the other art unit.

In the space provided on the form, at least one of the fol-
lowing must be included:

(A)	Identification of the controlling claim examinable 
in another group;

(B)	Identification of any existing informal transfer 
agreement; or

(C)	Other reasons - with full explanation.

Each application must be fully reviewed before it is sent 
to the receiving art unit of a different examining group or a 
post classifier.  In order to ensure that the application has 
been thoroughly reviewed by the originating examining 
group prior to the transfer, the SPE of the originating art 
unit requesting the transfer of the application must send the 
application to an individual designated by his or her exam-
ining group for review of the application before the appli-
cation leaves the originating examining group.  The 
designated individual will be responsible for ensuring that 
the written record is clear and that all appropriate areas in 
the originating examining group have been considered with 
respect to the classification of the application.  

In all cases when transfer is initiated the application 
must be sent to another art unit.  It cannot be sent directly to 
a classification group.  Even if the application is informal, 
confusing, or contains unfamiliar subject matter, the exam-
iner must make his or her best judgment as to where the 
application should be classified and attempt to transfer it 
there.

Where an application's claims include a combination of 
limitations for plural disciplines (chemical, electrical, or 
mechanical), a primary examiner may request transfer to 
another discipline, notwithstanding the fact that the control-
ling claims are properly classified in his or her art unit, on 
the ground that the application is  "best examinable"  in the 
other discipline.  In this instance, the examiner requesting 
transfer should cite art showing the limitations classifiable 
in his or her discipline. For discussion of the situations in 
which assignment of an application on a  "best examinable"  
basis may be proper, see  MPEP ? 903.08(e).

PROCESS FOR TRANSFER

When the supervisory patent examiner or primary exam-
iner determines that transfer is proper, he or she staples the 
form PTO-447A to the face of the file and gives it to the 
technical support staff for forwarding.

If the receiving examiner agrees to accept the applica-
tion, he or she classifies and assigns the application and ini-
tials the form PTO-447A.  The transfer is effected by the 
technical support staff in the group which accepts the appli-
cation for transfer.

If the receiving art unit refuses to accept the application, 
the reasons for refusal, the date, and the examiner's 
name are placed on the form PTO-447A in Section II 
 "DISPOSITION BY RECEIVING TC." Where an appli-
cation is refused by the receiving art unit based upon the 
classification of any claim, the application will be for-
warded to a post classifier in the receiving examining group 
for resolution of any classification issues.  The post classi-
fier will consider the statements and evidence of both the 
originating and receiving art units and will assign the appli-
cation to the art unit which has jurisdiction over the art in 
which the controlling claims of the application are properly 
classified.  This may be the originating, receiving, or 
another art unit as appropriate.  The post classifier writes 
the assigned class and art unit number and his or her initials 
on the face of the file wrapper or PALM bib. data sheet and 
on form PTO-447A, briefly giving reasons for assignment 
of the application in the space of the form.

In order for the post classifiers to assign an application 
outside of their examining group, a concurring signature of 
an SPE or designated examiner/classifier for the particular 
class or art unit where the application is being assigned will 
be required.  The group receptionist will have a current list 
of all people designated to accept applications for each art 
unit or class.  

Under certain circumstances, a post classifier may, con-
trary to controlling classification rules, assign an applica-
tion to a class or group which in his or her judgment is 
better equipped to examine the application. This is fully 
described in paragraphs 6 and 9 of  MPEP ? 903.08(e).  

Any application assignment disputes that cannot be 
resolved by post classifiers in the examining groups will be 
resolved by a panel which consists of designated represen-
tatives from each examining group.  Where an application 
assignment dispute cannot be resolved by a post classifier, 
the post classifier will check the appropriate box on the 
form PTO-447A and forward the application to a desig-
nated panel member of the examining group for decision.  
The decisions of the panel will be final.  Request for recon-
sideration of the decision of the panel will be considered 
ONLY in the event that an examining group has not have 
the opportunity to review the application prior to the deci-
sion from the panel.  Reconsideration must be requested 
within 2 calendar weeks of the receipt in an art unit of a 
decision of the panel.  There will be no reconsideration of 
application assignments by classification units once an 
application assignment has been accepted by another exam-
ining group.  

In the assignment of applications, it must be realized that 
every application, no matter how peculiar or confusing, 
must be assigned somewhere for examination.  Thus, in 
contesting the assignment of an application, it may be more 
successful to point out another class that is thought to be a 
better place to classify the application at hand than simply 
to argue that the application does not fit the examiner's 
class.

Where an application is refused by the receiving art unit 
solely for reasons within the purview of the examining 
corps, e.g., propriety of a restriction requirement, timeli-
ness of transfer, etc., and there is no dispute as to the classi-
fication of any claim, the application should be returned 
directly to the originating art unit using the appropriate line 
in Section II of the PTO-447A.

If an application contains both classification issues and 
examining corps issues, e.g., a dispute both as to the classi-
fication of claims and the propriety of restriction, etc., the 
examining issues should be resolved first. If thereafter clas-
sification issues still need to be addressed, use of Form 
PTO-447A, as above, is appropriate. For the procedure in 
the classification groups for applications which contain 
examining corps issues, see  MPEP ?  903.08(e), paragraph 
13.

The time limits for requesting or refusing transfer are as 
follows.  In a new application, transfer must be requested 
within 2 calendar weeks of the group receipt date of the 
application. In an amended application transfer must be 
requested within 2 calendar weeks of the group receipt date 
of the amendment upon which the request for transfer is 
based.  The time limit for refusal of a transfer request is 
2 calendar weeks from the receipt of the transfer request in 
the receiving art unit.

Exceptions to these time limits are:

(A)	All new applications (docketed and undocketed) 
transferred to Group 3640 purely for security reasons.

(B)	New reissue applications should be retained in the 
group indicated by the notice of filing in the Official 
Gazette for 2 months following the notice before transfer. 

(C)	PCT applications and other special applications 
for which a different time limit is set by competent author-
ity. 

Failure to fill in the date on the form by either the origi-
nating examiner or the receiving examiner may result in the 
assignment of the application to his or her art unit.

If a request for transfer is not made or refused within the 
2-week time limit, the art unit having physical possession 
of the application must keep it for purposes of examination.  
However, if the Group Directors having authority over the 
art units involved agree that strict adherence to the 2-week 
time limit would not provide the best examination for the 
application, they may waive the requirement.

The question of need for a restriction requirement does 
not influence the determination of transfer.

The regular messenger service may be used to effect the 
transfer of applications, with the exception that applications 
filed under the Patent Cooperation Treaty and such other 
special applications designated  by competent authority 
must be hand-carried throughout the transfer process.  If an 
application is hand-carried at any stage of the transfer pro-
cess, care must be taken that it is wanded in or out on the 
PALM system as appropriate so that the PALM system will 
always have an accurate record of the location of the appli-
cation.

**

PTO Form 447A. Application Transfer Request

903.08(e)	General Regulations Governing 
the Assignment of Nonprovisional 
Applications for Examination   
[R-1]

This section applies only to nonprovisional applications.  
It does not apply to provisional applications since such 
applications are not examined.

The fact should be borne in mind that the following reg-
ulations are only general guides, and exceptions frequently 
arise because of some unusual condition. The fact should 
also be kept in view that the post classifiers as well as the 
patent examiners are confronted with an already existing 
classification made up of newly revised classes, those 
revised years ago and which have somewhat outgrown their 
definitions and limits, and still others made a generation 
ago and never changed.  Also, these classes are based on 
different theories and plans, some on art, some on structure, 
some on functions, some on the material worked upon, and 
some apparently on no theory or plan at all. The post classi-
fiers cannot change this existing condition as each applica-
tion comes up for assignment, but must seek to dovetail the 
cases into the patchwork and try to get the applications 
where they will be best handled.  To do this may violate the 
post classifier's views as to what constitutes a really proper 
classification.

1. The assignment of nonprovisional applications fol-
lows, as far as possible, the rules or principles governing 
the classification of patents. Applications are assigned, as 
far as possible, on the basis of the original classification of 
the application.

2.  The criteria by which the original classification is 
determined are set forth in  MPEP ? 903.07.

3. The claims and statement of invention are generally 
taken as they read; however, claims must be read in light of 
the disclosure (claimed disclosure).  Any attempt of a post 
classifier to go behind the record and decide the case upon 
what is deemed the  "real invention" would, it is believed, 
introduce more errors than such action would cure.  The 
post classifiers cannot possess the specific knowledge of 
the state of the art in all the classes that the patent examin-
ers collectively possess. Further, such questions are matters 
of merit for the examiners to determine and are often open 
to argument and are subject for appeal.

4. Within a class, the first coordinate subclass that will 
take any claim controls classification.

5. As stated in  MPEP ? 903.07, the location of the 
United States patents constituting the prior art is generally 
controlling over all else. (Note: Where time permits, obvi-
ous misplacements of the patents constituting the prior art 
are corrected, but to straighten all lines as the cases come 
up for assignment would require the time of several people 
and would often involve a reclassification of an entire 
class.)

6. Ordinarily, an application cannot be assigned to a 
class which includes one element or part only of several 
claimed in combination. The claim is treated in its entirety. 
The question of aggregation is not reviewed by the post 
classifiers.

7. The post classifiers are authorized in all cases, where 
they evaluate the facts as warranting it, to assign applica-
tions for examination to the group best able to examine the 
same. Since assignment for examination on this basis will 
at times be contrary to classification of patents containing 
the same character of claims, the post classifiers will indi-
cate the proper classification of the patent, if such claims 
are allowed.

Thus, in cases where there is a claim drawn to hybrid or 
mixed subject matter and the supervisory patent examiner 
in one discipline feels that the application requires consid-
eration by, or may be best examined by, a group in one of 
the other technical disciplines, chemical, electrical, or 
mechanical, he or she may submit the application to his or 
her post classifier who may assign the application on a  
"best examinable"  basis, in accordance with this subsec-
tion.

Some examples of applications which may be thus sub-
mitted include the following:

(a) An application containing a hybrid claim wherein, 
for instance, a product is defined merely in terms of the 
process for producing it. See  MPEP ? 705.01(e), situation 
(A).

(b) Where an application properly assigned to a mechan-
ical or electrical class contains at least one claim to mixed 
subject matter, a part of which is chemical, the application 
may be assigned to the appropriate chemical art unit for 
examination; or where the application is properly assigned 
to a mechanical class and a claim therein contains electrical 
subject matter, the application may be assigned to the 
appropriate electrical art unit for examination.

As indicated earlier, when an application which had been 
assigned for examination in accordance with this subsec-
tion ultimately is allowed, it will be classified according to 
the controlling claim.  In effect, assignment for examina-
tion may be on a  "best examinable"  basis, but the patent 
will issue and be classified according to the rules of superi-
ority in classification; thus, the search file will have a con-
stant set of rules governing placement of patents therein.

Where an application is being reassigned from one 
examining discipline to another, under the provisions of the 
"best examinable" practice, the post classifiers are autho-
rized to require the first or transferring examiner to cite ref-
erences pertinent to the claimed features falling under the 
jurisdiction of the art within his or her discipline.  In those 
cases wherein the application of the reference(s) is not evi-
dent or clear, the transferring examiner should include a 
brief statement explaining the relation and possible applica-
tion of the reference(s) to the claim(s); in case of dispute as 
to the necessity of this procedure, the post classifier has 
power to require the statement.

8. See MPEP *>? 903.08(b)< for a discussion of how to 
properly assign PCT international applications and U.S. 
national applications associated therewith.

9. When an application has been taken up by an exam-
iner for action and a requirement to restrict is found neces-
sary, a part of the claims being directed to matter 
classifiable in the group where the case is being examined, 
an action requiring restriction should be made without 
seeking a transfer of the case to another group. The action 
of the applicant in reply to the requirement for restriction 
may result in making a transfer of the application unneces-
sary.

10. Ordinarily, where all the claims of an application are 
for an article made of a specific composition or alloy with 
no other structure of the article recited, the application will 
be assigned to the composition or alloy class.

11. A class of cases exists in which either no art or a 
divided art is found and in which no rule or principle is 
involved.  Such cases are placed where, in the judgment of 
the post classifiers, they will be best searched and adjudi-
cated.  It is often impossible to so explain a decision in this 
class of cases as to satisfy, or in any way aid, the examiners 
interested. Indeed, the reasons for or against sending such 
cases one place or another may be so evenly balanced that 
no reason of any value can be given.

12. An examiner seeking the transfer of a case may make 
a search, both of his or her own class and the class to which 
he or she thinks the case should be transferred, and the  
examiner in charge of the art unit should exhibit the result 
of such search to the appropriate classification group.  This 
is the way the expert knowledge of the examiners involved 
is utilized.

13. When an application is received in a classification 
group in which there is a matter under dispute which is not 
related to the classification of a claim but which is in the 
purview of the examining corps, e.g., propriety of a restric-
tion requirement, timeliness of submission for transfer, etc., 
as well as a dispute over the classification of claims, the 
application will be treated as follows.

The classifier will check the appropriate box on the 
PTO-447A indicating that the application is being returned 
(not assigned) to the originating group to resolve the non-
classifying issues involved.  The classifier will indicate on 
the PTO-447A the proper classification of any claims under 
dispute.  If any claims under dispute are outside the juris-
diction of the classifier associated with the originating 
group, that classifier will obtain concurrence of the classi-
fier having jurisdiction of the claims in question who will 
sign the PTO-447A as the concurring classifier. Multiple 
concurrences may be required for application with claims 
classifiable in different art areas.

It is important that newly received applications be imme-
diately screened for these situations so that the applications 
may be promptly returned to the originating group.

If after resolution of the nonclassifying issues there is 
still a dispute as to which group should examine the appli-
cation, the originating group may return the application to 
classification for assignment.

903.08(f)	Post Classifier's Decision  

A post classifier decides the question of the proper clas-
sification of the application, and either (1) returns the appli-
cation to the group which submitted it if he or she denied 
the transfer request, or (2) forwards the application to the 
group to which it is transferred. See also MPEP ? 903.10.

903.08(g)	Transfer to Another Examining 
Group After Decision 

If the application is to remain in the group which submit-
ted it for classification, no further procedure is necessary. If 
assigned to another group, the classification group pro-
cesses the application as described in the Manual of Cleri-
cal Procedures.

If the application is one which has been taken up for 
action by an examiner according to its effective filing date, 
it should be treated as special by any examiner, art unit, or 
group to which it is transferred. See  MPEP ? 708.01.

903.09	International Classification of 
Patents for  Inventions  [R-1]

In accordance with the Strasbourg Agreement Concern-
ing the International Patent Classification, the United States 
is required to indicate on its issuing documents the classifi-
cation symbols of the International Patent Classification 
**>1999 (Seventh Edition)<, hereinafter referred to as "Int. 
*>Cl.7<."

The complete Int. *>Cl.7< symbols must be placed in the 
indicated space on the face of the file wrapper (or on the 
Issue Classification Slip (form PTO-270) for series 08/ and 
earlier applications) when an application  is issued.

INT. *>Cl.7<LAYOUT

The layout of the Int.*>Cl.7<  is explained below with 
reference to the sample page.

Section

The Classification represents the whole body of knowl-
edge which may be regarded as proper to the field of pat-
ents for invention, divided into eight sections.

(A)	Section Symbol -  Each section is designated by 
one of the capital letters A through H.

(B)	Section Title -  The section title is to be consid-
ered as a very broad indication of the contents of the sec-
tion. The eight sections are entitled as follows:

A. Human Necessities

B. Performing Operations; Transporting

C. Chemistry; Metallurgy

D. Textiles; Paper

E. Fixed Constructions

F. Mechanical Engineering; Lighting; Heating; Weap-
ons; Blasting

G. Physics

H. Electricity

(C)	Contents of Section -  Each section title is fol-
lowed by a summary of the titles of its main subdivisions.

(D)	Subsection - Within sections, informative head-
ings form subsections, which are titles without classifica-
tion symbols.

Example: Agriculture

Class

Each section is subdivided into classes.

(A)	Class Symbol - Each class symbol consists of the 
section symbol followed by a two digit number.

Example: A 01

(B)	Class Title - The class title gives an indication of 
the content of the class.

Example: A 01  Agriculture; Forestry; Animal Hus-
bandry; Hunting; Trapping; Fishing

Subclass

Each class comprises one or more subclasses.

(A)	Subclass Symbol - Each subclass symbol con-
sists of the class symbol followed by a capital letter.

Example: A 01 B

(B)	Subclass Title - The subclass title indicates as 
precisely as possible the content of the subclass.

Example: A 01 B Soil Working in Agriculture or For-
estry; Parts,  Details, or Accessories of Agricultural 
Machines or Implements, in General

(C)	Subclass Index - Some subclasses have an index 
which is merely an informative summary giving a broad 
survey of the content of the subclass.

Group

Each subclass is broken down into subdivisions referred 
to as  "groups," which are either main groups or subgroups.

(A)	Group Symbol - Each group symbol consists of 
the subclass symbol followed by two numbers separated by 
an oblique stroke.

(B)	Main Group Symbol  - Each main group symbol 
consists of the subclass symbol followed by a one to three 
digit number, the oblique stroke, and the number 00.

Example: A 01 B 1/00

(C)	Main Group Title - The main group title defines 
a field of subject matter considered to be useful in search-
ing for inventions.

Example: A 01 B 1/00 Hand tools

(D)	Subgroup Symbol -  Subgroups form subdivi-
sions under the main groups. Each subgroup symbol con-
sists of the subclass symbol followed by the one to three 
digit number of its main group, the oblique stroke, and a 
number of at least two digits other than 00.

Example: A 01 B 1/02

Any third or fourth digit after the oblique stroke is to be 
read as a decimal subdivision of the second or third digit, 
respectively; e.g. 3/426 is to be read as  "three slash forty-
two point six", not  three slash four hundred and twenty six  
and is to be found after 3/42 and before 3/43, and 5/1185 is 
to be read as  "five slash eleven point eight five,"  and is to 
be found after 5/118 and before 5/119.

(E)	Subgroup Title - The subgroup title defines a 
field of subject matter within the scope of its main group 
considered to be useful in searching for inventions. The 
title is preceded by one or more dots indicating the hierar-
chical position of the subgroup, i.e., indicating that each 
subgroup forms a subdivision of the nearest group above it 
having one dot less. The subgroup title is often a complete 
expression, in which case it begins with a capital letter. A 
subgroup title begins with a lower case letter if it reads as a 
continuation of the title of the next higher, less-indented 
group, i.e., having one dot less.   In all cases, the subgroup 
title must be read as being dependent upon, and 
restricted by, the title of the group under which it is 
indented.

Examples

A 01 B 1/00 
1/24
	Hand tools for treating 
meadows or lawns (The title 
of 1/24 is to be read as: 
Hand tools for treating 
meadows or lawns.)

A 01 B 1/00 
1/16
	Hand tools Tools for uproot-
ing weeds (The title of 1/16 
is a complete expression, 
but owing to its hierarchical 
position, the tools for 
uprooting weeds are 
restricted to hand tools.)

Complete Classification Symbol

A complete classification symbol comprises the com-
bined symbols representing the section, class, subclass, and 
main group or subgroup.

Guide Headings

The main groups in each subclass are arranged in a 
sequence intended to assist the user. It has not however, 
been found practicable to standardize the sequence. Where 
several successive main groups relate to common subject 
matter, it is usual to provide before the first of such main 
groups a  "guide heading"  which is underlined, indicating 
this subject matter (see, for example, the guide heading  
"Ploughs"  before group A 01 B 3/00).  The series of 
groups covered by such a heading extends to the next guide 
heading or to a line in heavy type extending across the col-
umn, which is used when the following group or groups 
relate to different subject matter for which no guide head-
ing is provided.  (See, for example, the line after A 01 B 75/
00.)

CLASSIFYING IN THE INT. *>Cl.7< SYSTEM

A.	Selecting Subclasses Corresponding to U.S. 
Classes

The effective scope of a subclass is defined by the fol-
lowing, taken together:

(A)	The subclass title which describes, as precisely as 
is possible in a small number of words, the main character-
istic of a portion of the whole body of knowledge covered 
by the Classification, this portion being the field of the sub-
class to which all its groups relate;

(B)	Any references which follows the subclass title or 
the hierarchically higher class title. These references often 
indicate certain parts of the field described by the title 
which are covered by other subclasses and are therefore 
excluded. These parts may constitute a substantial part of 
the field described by the title and, thus, the references are 
in some respects as important as the title itself. For exam-
ple, in subclass A 47 D - FURNITURE SPECIALLY 
ADAPTED FOR CHILDREN - a considerable part, 
namely school benches or desks, of the subject matter cov-
ered by the title is excluded in view of a reference to partic-
ular groups of subclass A 47 B, thus considerably altering 
the scope of subclass A 47 D;

(C)	Any references which appear in groups or guide 
headings of a subclass and which refer subject matter to 
another class or subclass may also affect  the scope of the 
subclass in question. For example, in subclass B 43 K - 
INSTRUMENTS FOR WRITING; DRAWING-PENS - 
writing points for indicating or recording apparatus are 
referred out of group 1/00 to group 15/16 of subclass G 01 
D, thereby reducing the scope of the subject matter covered 
by the title of subclass B 43 K;

(D)	Any notes or definitions appearing under the sub-
class title or its class, subsection or section title.  Such notes 
or definitions may define terms or expressions used in the 
title, or elsewhere, or clarify the relation between the sub-
class and other places.  Examples are 

(1)	Note (1) appearing under the title of the subsec-
tion "ENGINES OR PUMPS," embracing classes F 01 to F 
04, which notes define the terms used throughout the sub-
section, 

(2)	the notes appearing under the title of subclass F 
01 B, which define its scope in relation to subclasses F 01 
C to F 01 P, and 

(3)	the note following the title of section C which 
defines groups of elements.

B.	Selecting Main Groups Corresponding to U.S. 
Mainline Subclasses

The scope of a main group is to be interpreted only 
within the effective scope of its subclass (as indicated 
above). Subject to this, the effective scope of a main group 
is determined by its title as modified by any relevant refer-
ences or notes associated with the main group or with any 
guide heading covering it.  For example, a group for  "bear-
ings"  in a subclass whose title is limited to a particular 
apparatus must be read as covering only features of bear-
ings peculiar to that apparatus, e.g., the arrangement of 
bearings in the apparatus. Attention is drawn to the fact that 
guide headings are intended to be only informative and, as 
a rule, do not modify the scope of the groups covered by 
them, except where it is otherwise clear from the context. 
By contrast, references in the guide headings modify the 
scope of the associated groups.

C.	Selecting Subgroups Corresponding to U.S. 
Indented Subclasses

The scope of a subgroup is likewise to be interpreted 
only within the effective scope of its main group and of any 
subgroup under which it is indented.  Subject to this, the 
scope of a subgroup is determined by its title as modified 
by any relevant references or notes associated therewith.

Attention is invited to volume 9 of the International 
Patent Classification, entitled "Guide, Survey of Classes 
and Summary of Main Groups"  for detailed procedures for 
classifying into and searching Int. *>Cl.7<.

U.S. INT. *>Cl.7< CONCORDANCE, *>1999<

The Office of International Patent Classification has pre-
pared a revised Concordance between the U.S. classes and 
subclasses and the Int. *>Cl.7<.  In many areas, the two 
systems are conceptually different. With this in mind, it 
will be seen that a complete one-to-one correspondence 
between the two systems cannot be attained.  An indication 
in the Concordance may refer to only one relevant group 
and not  necessarily the only group in which the patent can 
or should be classified.  For some inventions, the Concor-
dance may not indicate any truly relevant group.  Accord-
ingly, the Concordance must be recognized as a guide to be 
used in conjunction with the Int. *>Cl.7<, and not as a 
translation list.

The *>printed version of the 1999< Concordance 
includes all changes in the International Classification cor-
responding to changes in the United States Classification 
through **>August, 19999.  The electronic Concordance is 
updated monthly, and is available to PTO personnel online 
from the "Patent Examiner's Toolkit" toolbar<.

The Concordance may be incomplete in some areas and 
contain errors in other areas. Therefore, if corrections need 
to be made in the Concordance, members of the examining 
corps are requested to **>e-mail< suggested changes to the 
**>International Liaison Staff (ILS) via their SPE<.

903.09(a)	Locarno Classification 
Designations

U.S. design patents prepared for issue after June 30, 
1996 include a Locarno International Classification desig-
nation as part of the bibliographic data.  The purpose of the 
international design classification designation is to enhance 
accessibility of design patents in foreign design search files 
as well as commercial databases.

The Locarno International Classification system was 
developed by members of the Paris Convention for the Pro-
tection of Industrial Property and is administered by the 
International Bureau of the World Intellectual Property 
Office (WIPO).

A Locarno International Classification designation con-
sists of two pairs of numbers separated by a hyphen.  The 
first pair of numbers designates a design class; the second 
pair of numbers indicates a particular subclass within the 
design class.  The Locarno Classification manual, available 
from WIPO, delineates the individual classes and sub-
classes and includes:  (1) a general list of classes of indus-
trial designs divided into broad subclasses; and (2) an 
alphabetical  list of specific industrial designs with an indi-
cation of the classes and subclasses into which they should 
be classified.

The Locarno designation included with design patent 
bibliographic data  indicates the original classification of 
the patented design only.  There is no provision for cross-
reference designations within the Locarno system.

Locarno International Classifications are periodically 
revised by the Committee of Experts of the World Intellec-
tual Property Organization.  The present (sixth) edition of 
the system which incorporates all the revisions in and 
before March, 1993 became effective on January 1, 1994.

The design patent issue slip (PTO-328) includes an area 
with the heading "International Classification".  A Locarno 
International Classification designation must be included 
on the issue slip when a design application is prepared for 
issue.  The Locarno designation is printed on the design 
patent preceded by INID  code [51] in compliance with 
ST.9 of the International Bureau.  The abbreviation "LOC 
(6) CL." follows INID code [51] and complies with the rec-
ommended abbreviation by the International Bureau.

An example Locarno designation as it appears on a U.S. 
Design Patent is as follows:

[51] LOC (6) CL. 02-02

The Office of International Patent Classification has pre-
pared a Concordance between the U.S. Design Classifica-
tion classes and subclasses and the sixth edition of the 
Locarno International  Classification.  In many areas of 
design subject matter, the U.S. Design Classification and 
Locarno Classification systems are parallel.  For others, the 
two systems are conceptually different.  For example, there 
is no specific provision within the Locarno system for 
designs which are simulative of other objects.  The Interna-
tional Classification is generally based on the nature of the 
design rather than ornamental appearance.  Accordingly, a 
one-to-one relationship between the two classification sys-
tems is not always possible.

Each suggested designation in the Concordance refers to 
a single Locarno International class and subclass.  This des-
ignation, however, is not necessarily the only pertinent 
class and subclass in which the design could be properly 
classified since for some U.S. Design Classification desig-
nations, there is no direct parallel within the Locarno sys-
tem.  Accordingly, the Concordance may not indicate the 
most specific relevant class and subclass, and should not be 
considered a translation list.

903.10	Duties of the Post Classifier

Examiners should contact their post classifier on all clas-
sification problems.

A post classifier is responsible for:

(A)	The technical accuracy, adequacy, and complete-
ness of all search systems in his or her group including the 
monitoring of any need for major and minor reclassifica-
tion projects including mechanized systems.

(B)	The full range of classification administration 
functions including the resolution of classification disputes 
on pending applications, guidance on classification matters 
to both examiners and the public, which includes outlining 
fields of search and answering examiner's requests for 
advice as to the proper classification of allowed applica-
tions.

(C)	The inspection of issuing applications to deter-
mine the accuracy and adequacy of original and cross-ref-
erence classification by working closely with the 
supervisory patent examiners and Group Directors to 
ensure feedback to correct problem areas.

(D)	Determination of the training needs of the person-
nel in his or her assigned group relative to principles of 
classification and supplying this training through formal 
and informal channels.

Generally, the post classifiers are to aid the examiners in 
the use, maintenance, and perfection of the classification 
system.

904	How to Search [R-1]

The examiner, after having obtained a thorough under-
standing of the invention disclosed and claimed in the non-
provisional application, then searches the prior art as 
disclosed in patents and other *>published< documents>, 
i.e., nonpatent literature (NPL)<.  Any such document used 
in the rejection of a claim is called a  reference. 

In all continuing applications, the parent applications 
should be reviewed by the examiner for pertinent prior art. 
Where the cited prior art of a parent application has been 
reviewed, this fact should be made of record in accordance 
with the procedure set forth at paragraph II.(E) of  
MPEP ? 719.05.

The first search should be such that the examiner need 
not ordinarily make a second search of the prior art, unless 
necessitated by amendments to the claims by the applicant 
in the first *>reply<, except to check to determine whether 
any reference which would appear to be substantially more 
pertinent than the prior art cited in the first Office action 
has become available subsequent to the initial prior art 
search.  *>The first search< should cover the invention as 
described and claimed, including the inventive concepts 
toward which the claims appear to be directed.  It should 
not be extended merely to add immaterial variants.

 >In the first action on the merits of an application, the 
examiner shall make an initial endorsement in black ink, in 
the space provided on the right outside panel of the file 
wrapper, of the classes and subclasses of domestic and for-
eign patents, abstract collections, and publications in which 
the search for prior art was made. Other information collec-
tions and sources in which the search for prior art was made 
must also be identified by the examiner. The examiner must 
also indicate the date(s) on which the search was con-
ducted. Note MPEP ?  719.05.

In subsequent actions, where the search is brought up to 
date and/or where a further search is made, the examiner 
must endorse and initial on the file wrapper that the search 
has been updated and/or identify the additional field of 
search. See MPEP ?  719.05. Any search updates should 
include all of the databases and the search queries and clas-
sifications employed in the original search.<

904.01	Analysis of Claims [R-1]

 The breadth of the claims in the application should 
always be carefully noted; that is, the examiner should be 
fully aware of what the claims do not call for, as well as 
what they do require.  **>During patent examination, the 
claims are given the broadest reasonable interpretation con-
sistent with the specification. See In re Morris, 127 F.3d 
1048, 44 USPQ2d 1023 (Fed. Cir. 1997).<  See 
MPEP ? 2111 -  ? 2116.01 for case law pertinent to claim 
analysis.

904.01(a)	Variant Embodiments Within 
Scope of Claim [R-1]

Substantially, every claim includes within its breadth or 
scope ** one or more variant embodiments >that are< not 
disclosed **>in the application, but< which would antici-
pate the **>claimed invention if found in a reference<. The 
claim must be so analyzed and ** any such variant encoun-
tered during the search *>should< be recognized**.

In each type of subject matter capable of such treatment 
(e.g., a machine or other apparatus), the subject matter as 
defined by the claim may be sketched >or diagrammed< in 
order to clearly delineate the limitations of the claim.  Two 
or more sketches, each of which is as divergent from the 
particular disclosure as is permitted by claim recitation, 
will assist the examiner in determining the claim's actual 
breadth or scope.  However, an applicant will not be 
required to submit such sketches of claim structure. In re 
Application filed November 16, 1945, 89 USPQ 280, 1951 
C.D. 1, 646 O.G. 5 (Comm'r Pat. 1951).

904.01(b)	Equivalents [R-1]

All subject matter that is the * equivalent of the subject 
matter as defined in the claim, even though specifically dif-
ferent from the definition in the claim, must be considered 
>unless expressly excluded by the claimed subject matter<.  
See  MPEP ? 2181 -  ? 2184 for a discussion of equivalents 
when a claim employs means or step plus function termi-
nology.

904.01(c)	Analogous Arts [R-1]

Not only must the art be searched within which the 
invention claimed is classifiable, but also all analogous arts 
regardless of where classified.

The determination of *>what< arts are analogous >to a 
particular claimed invention< is at times difficult. It 
depends upon the necessary essential function or utility of 
the subject matter covered by the claims, and not upon 
what it is called >by the applicant<.

For example, a tea mixer and a concrete mixer ** >both 
relate to< the mixing art, this being the necessary function 
of each.  Similarly a brick-cutting machine and a biscuit 
cutting machine have the same necessary function. See  
MPEP ? 2141.01(a) for a discussion of analogous and 
nonanalogous art in the context of establishing a prima 
facie case of obviousness under 35 U.S.C. 103.  >See 
MPEP ?  2131.05 for a discussion of analogous and nonan-
alogous art in the context of 35 U.S.C. 102.< 

**>

904.02	General Search Guidelines  [R-1]

 In the examination of an application for patent, an 
examiner must conduct a thorough search of the prior art. 
Planning a thorough search of the prior art requires three 
distinct steps by the examiner: (A) identifying the field of 
search; (B) selecting the proper tool(s) to perform the 
search; and (C) determining the appropriate search strategy 
for each search tool selected. Each step is critical for a com-
plete and thorough search. 

When determining the field of search, three reference 
sources must be considered - domestic patents, foreign 
patent documents and nonpatent literature (NPL). None of 
these sources can be eliminated from the search unless the 
examiner has and can justify a reasonable certainty that no 
references, more pertinent than those already identified, are 
likely to be found in the source(s) eliminated. The search 
should cover the claimed subject matter and should also 
cover the disclosed features which might reasonably be 
expected to be claimed. The field of search should be prior-
itized, starting with the area(s) where the invention would 
most likely be found in the prior art. 

Having determined the field of search, the examiner 
should then determine what search tools should be 
employed in conducting the search. Examiners are pro-
vided access to a wide variety of both manual and auto-
mated search tools. Choice of search tools is a key factor in 
ensuring that the most relevant prior art is found during the 
search. The choice of search tools to be used is based on the 
examiner's knowledge of the coverage, strengths and 
weaknesses of the available search tools that are appropri-
ate for use in an examiner's assigned art. For example, a 
search tool may cover foreign patent documents; but, if 
that coverage does not meet the examiner's current search 
needs, this should be taken into consideration by the exam-
iner who will take recourse to employ other search tools in 
order to remedy the deficiency. 

Search tool knowledge is particularly important for 
examiners in arts (e.g., very active, high technology) where 
patent documents may seriously lag invention and, conse-
quently, represent a reference source of limited value. 
These examiners must take special care to ensure that their 
searches include consideration of NPL and employ the 
effective use of tools specialized to cover NPL pertinent to 
their search needs. 

Search needs in some technologies, e.g., chemical struc-
tures, DNA sequences, are very specialized and can only be 
met through use of specific search tools specially con-
structed and maintained to respond to those needs. These 
tools cover all three reference sources - domestic and for-
eign patents, NPL - and their use may be deemed sufficient 
for search of claimed inventions in such technologies.

In recognition that there are many available NPL search 
tools and their use is often complex, examiners have been 
provided and are encouraged to use the services of trained 
professional on-line search personnel located in the Tech-
nology Centers (Information Technology Resource Person 
(ITRP)) and in the Scientific and Technical Information 
Center (STIC) for NPL searching. See MPEP ? 901.06(a) 
for services available in STIC.

In crowded, highly developed arts where most claimed 
inventions are directed to improvements, patent documents 
may serve as the primary reference source. Search tool 
selection in such arts may focus heavily on those providing 
patent document coverage.

Automated search tools covering patent documents usu-
ally provide both a classified and text search capability. 
Text search can be powerful, especially where the art 
includes well-established terminology and the search need 
can be expressed with reasonable accuracy in textual terms. 
However, it is rare that a text search alone will constitute a 
thorough search of patent documents. Some combination of 
text search with other criteria, in particular classification, 
would be a normal expectation in most technologies. 

Examiners will recognize that it is sometimes difficult to 
express search needs accurately in textual terms. This 
occurs often, though not exclusively, in mechanical arts 
where, for example, spatial relationships or shapes of 
mechanical components constitute important aspects of the 
claimed invention. In such situations, text searching can 
still be useful by employing broader text terms, with or 
without classification parameters. The traditional method 
of browsing all patent documents in one or more classifica-
tions will continue to be an important part of the search 
strategy when it is difficult to express search needs in tex-
tual terms.

Having determined what search tool(s) should be used to 
conduct the search, the examiner should then determine the 
appropriate search strategy for each search tool selected. 
The appropriate search strategy should be determined by 
the examiner on a case-by-case basis along with consulta-
tion with other examiners and/or supervisory patent exam-
iners, where appropriate.

In order for examiners to acquire specialized skills 
needed to determine an appropriate field of search in their 
specific arts, each Technology Center may develop supple-
mental specific guidance and training for its examiners. 
This training will augment general training and information 
on search tools that is normally provided through the Patent 
Academy and Search and Information Resources Adminis-
tration.

904.02(a)	Classified Search [R-1]

 A proper field of search normally includes the subclass 
in which the claimed subject matter of an application would 
be properly classified. It is not necessary to search areas in 
which it could reasonably have been determined that there 
was a low probability of finding the best reference(s).

In outlining a field of search, the examiner should note 
every class and subclass under the U.S. Patent Classifica-
tion system and other organized systems of literature that 
may have material pertinent to the subject matter as 
claimed. Every subclass, digest, and cross-reference art col-
lection pertinent to each type of invention claimed should 
be included, from the largest combination through the vari-
ous subcombinations to the most elementary part. The field 
of search should extend to all probable areas relevant to the 
claimed subject matter and should cover the disclosed fea-
tures which might reasonably be expected to be claimed. 
The examiner should consult with other examiners and/or 
supervisory patent examiners, especially with regard to 
applications covering subject matter unfamiliar to the 
examiner.

The areas to be searched should be prioritized so that the 
most likely areas of finding relevant prior art are searched 
first.

904.02(b)	Search Tool Selection [R-1]

 Detailed guidance on the choice and use of specific 
search tools can be established only within the context of 
the special requirements of each Technology Center (TC). 
However, a general methodology following a "decision 
tree" process, set forth below, for making broad decisions 
in search tool selection is suggested.

904.02(c)	Internet Searching  [R-1]

 The Office published a Patent Internet Usage Policy to 
establish a policy for use of the Internet by the Patent 
Examining Corps and other organizations within the PTO. 
See Internet Usage Policy, 64 F.R. 33056 (June 21, 1999). 
The Articles of the Patent Internet Usage Policy pertinent 
to Internet searching and documenting search strategies are 
reproduced below. See MPEP ?  707.05(e) for information 
pertaining to the citation of electronic documents and 
MPEP ?  502.03 for information pertaining to communica-
tions via electronic mail.

INTERNET SEARCHING (ARTICLE 9)

 The ultimate responsibility for formulating individual 
search strategies lies with individual Patent Examiners, Sci-
entific and Technical Information Center (STIC) staff, and 
anyone charged with protecting proprietary application 
data. When the Internet is used to search, browse, or 
retrieve information relating to a patent application, other 
than a reissue application or reexamination proceeding, 
Patent Organization users MUST restrict search queries to 
the general state of the art unless the Office has established 
a secure link over the Internet with a specific vendor to 
maintain the confidentiality of the patent application. Non-
secure Internet search, browse, or retrieval activities that 
could disclose proprietary information directed to a specific 
application, other than a reissue application or reexamina-
tion proceeding, are NOT permitted.

This policy also applies to use of the Internet as a com-
munications medium for connecting to commercial data-
base providers.

DOCUMENTING SEARCH STRATEGIES (ARTI-
CLE 10)

 All Patent Organization users of the Internet for patent 
application searches shall document their search strategies 
in accordance with established practices and procedures as 
set forth in MPEP ?  719.05 II.(F).<

*>

904.03	< Conducting the Search [R-1]

It is a prerequisite to a speedy and just determination of 
the issues involved in the examination of an application 
that a careful and comprehensive search, commensurate 
with the limitations appearing in the most detailed claims in 
the case, be made in preparing the first action on the merits 
so that the second action on the merits can be made final or 
the application allowed with no further searching other than 
to update the original search.  It is normally not enough that 
references be selected to meet only the terms of the claims 
alone, especially if only broad claims are presented; but the 
search should, insofar as possible, also cover all subject 
matter which the examiner reasonably anticipates might be 
incorporated into applicant's amendment. * >Applicants 
can facilitate a< complete search ** >by including<, at the 
time of filing, claims varying from the broadest to which 
they believe they are entitled to the most detailed that they 
would be willing to accept.

**>In doing a complete search, the examiner should find 
and cite references that, while not needed for treating the 
claims, would be useful for forestalling the presentation of 
claims to other subject matter regarded by applicant as his 
or her invention, by showing that this other subject matter 
is old or obvious.<.

In selecting the references to be cited, the examiner  
should carefully compare the references with one another 
and with the applicant's disclosure to avoid the citation of 
an unnecessary number.  The examiner is not called upon to 
cite all references that may be available, but only the  
"best."  (37 CFR 1.104(c).)  Multiplying references, any 
one of which is as good as, but no better than, the others, 
adds to the burden and cost of prosecution and should 
therefore be avoided. The examiner must fully consider all 
the prior art references cited in the application, including 
those cited by the applicant in a properly submitted Infor-
mation Disclosure Statement.

The best reference should always be the one used.  
Sometimes the best reference will have a publication date 
less than a year prior to the application filing date, hence it 
will be open to being overcome under 37 CFR 1.131. In 
these cases, if a second reference exists which cannot be so 
overcome and which, though inferior, is an adequate basis 
for rejection, the claims should be additionally rejected 
thereon.

In all references considered, including nonpatent, for-
eign patents, and domestic patents, the examiner should 
study the specification or description sufficiently to deter-
mine the full value of the reference disclosure relative to 
the claimed or claimable subject matter.

905	Miscellaneous

905.02	Soft Copy Orders

Soft copies of U.S. patents for the examiner's personal 
use may be ordered by the examiner on blue-colored order 
form PTO-14A.  These copies are not to be placed in the 
official search file. To complete the form PTO-14A, the 
examiner should indicate the number of copies desired in 
the  box marked "NO. OF COPIES" and should also com-
plete the "PATENT NUMBER," "EXAMINER'S NAME," 
"ART UNIT," and "DATE OF ORDER" boxes.

When soft copies for more than three different patent 
numbers are desired, the examiner can prepare a list of the 
patent numbers and attach it to one copy of Form PTO-14A 
which has been completed to reflect the Examiner's Name, 
Art Unit, and Date of Order.

To expedite the handling of requests for personal copies 
and thereby ensure the quickest response, the following 
routing procedures should be adhered to:

(A)	Designated collection drops within each group for 
copy orders should be used.

(B)	Clerical personnel from the Office of Classifica-
tion Support (OCS) will visit designated collection drops at 
least twice each week to pick up PTO-14 orders.  

Alternatively, the orders may be mailed or otherwise deliv-
ered to the Search File Improvement Division, OCS, cur-
rently located in Crystal Mall, Building 2, Room 967.

The attorneys' drop slot at the Customer Service Win-
dow should not be used nor should the forms be mailed to 
Copy Fulfillment Services as consequent rerouting to the 
Office of Classification Support for processing will result 
in unnecessary delay.

Copies provided for personal use will be stamped "DO 
NOT PLACE IN SEARCH FILE;" any such copy found in 
the search file will be removed by refiling personnel.  
Because of the cost of printing copies of patents, economy 
should be exercised in their use.  Personal use soft copies 
no longer desired by examiners should be destroyed.

In view of the high cost of printing patents with color 
drawings, orders by examiners for plant patents and other 
patents with color drawings for personal use will normally 
not be filled.

905.03	Ordering of Patented and 
Abandoned Provisional and 
Nonprovisional Application Files

In the examination of an application it is sometimes nec-
essary to inspect the application papers of some previously 
abandoned application (provisional or nonprovisional) or 
granted patent.  This is always true in the case of a reissue 
application and reexamination proceeding.

Patented and abandoned files are stored at the Files 
Repository located near the other PTO buildings in Crystal 
City (Arlington, Virginia).  Older files are housed in remote 
warehouses located in Maryland and Virginia.

Patented and abandoned files are ordered by means of a 
PALM video display or PALM intranet site transaction.  To 
place such an order, the examiner is required to input his/
her PALM location code, employee number, and patent 
number(s) and/or application number(s) of the file(s) that 
are needed.  After transmission of the request transaction 
by the examiner, a  "response"  screen appears on the video 
display terminal or workstation browser which informs 
him/her of the status of the request for each file.  The exam-
iner is informed that the request

(A)	is accepted; 

(B)	is accepted, but for which the file is located at a 
remote warehouse (in which case delivery time is 
increased); 

(C)	is not accepted because the file is not located at 
the repository or warehouse;

(D)	is not accepted because a previous request for the 
file has not yet been filled; or

(E)	is not accepted because the patent or application 
number inputted is not valid.

Periodically each day, personnel at the Files Repository 
perform a PALM print transaction which produces a list of 
all accepted requests in patent number order and, for 
requests for abandoned files, in application number order.  
The printed record of each request is detached from the list 
when its associated file is found.  It is then stapled to it. 
Throughout the day, periodic deliveries of files are made 
directly to the offices of their requesters by Files Reposi-
tory personnel.  Upon delivery of files at the various loca-
tions, files that are ready to be returned to the repository are 
picked up.

With the exception of certain older files, the drawings of 
patented and abandoned files, if any, are now stored within 
their respective application file wrappers.  Since it is 
desired not to separate one from the other, both the file and 
its drawings are delivered when a file is ordered.

905.04	Marking Examiners' Copies of 
Patents

When the examiners'  copies of patents are sent to their 
respective art units to be filed, they should be routed across 
the appropriate examiners'  desks prior to placement in the 
shoes. The assistant examiners who examined the applica-
tion should mark in pencil on the face of the drawings, or 
the specifications where there are no drawings, such fea-
tures as may be deemed advantageous in aiding under-
standing of the patents in future searches.

905.05	Application File Location

All files should be returned promptly to their proper 
location.

Whenever an application file is moved from one PALM 
location to another; e.g., removed from a group's central 
files or moved from one examiner to another, the PALM 
record should be updated with its current location. The 
appropriate bar code transaction should be performed. For 
example, if the examiner to whom the application is dock-
eted obtains it, he/she should perform PALM transaction 
1023 by pressing the F2  key on the bar code reader (BCR) 
and scanning the bar code label of the file with the light 
wand of the BCR. If an examiner other than the one to 
whom the application is docketed obtains the file, he/she 
should perform transaction 1036 which requires the input 
of his/her group number and his/her employee number 
before the label is scanned.  All files should be returned 
promptly to their proper location. 

905.06	Family of Patent Information  [R-1]

Patent family information is available at the United 
States Patent and Trademark Office primarily through com-
mercial databases.  Examiners have access to this informa-
tion either directly >through the automated search system< 
or >indirectly< through the search services of the Scientific 
and Technical Information Center (STIC).

AVAILABLE DATABASES

Derwent's World Patents Index (WPI) and International 
Patent Documentation Center (INPADOC) are two data-
bases used for retrieving foreign patent information.

>The WPI database is loaded in-house at the Office and 
is integrated with the Office's automated search system.  
WPI in-house is used whenever abstracts are needed or 
when searches in addition to publication date or patent fam-
ily are required, such as searches on inventor name or IPC 
(International Patent Classification).  WPI in-house is also 
the first choice for searches for publication dates or patent 
families because of its ease of use and low cost.<

INPADOC is **>used< for quick searches for publica-
tion dates or patent families **. The Office enjoys cost 
effective rates for INPADOC due to an agreement between 
the Office and the International Patent Documentation Cen-
ter (now part of the European Patent Office) negotiated 
several years ago. The agreement applies only to INPA-
DOC as accessed directly on the INPADOC computer in 
Austria, not to INPADOC as available on other commercial 
database systems such as ORBIT, DIALOG, or STN.

**

ACCESS TO FOREIGN PATENT INFORMATION

Patent examiners ** may directly search >WPI in-house 
or< INPADOC ** or both. **

Examiners may also request foreign patent searches 
through the Scientific and Technical Information Center 
(STIC).  Trained searchers in both the Reference and For-
eign Patents sections of STIC perform patent family 
searches on demand, with a short turnaround time. The For-
eign Patents section can also help examiners get copies of 
foreign patents found through online searching.

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