MPEP § 909 — MPEP § 909
Current through: 2022-07-01

909-Routing and Docketing of Applications 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Chapter 0900 

 Section 909 
 

 
 
 
 
 
 909 Routing and Docketing of Applications [R-07.2022]

 
 909.01 Assignment, Transfer and Classification
 Challenges under Cooperative Patent Classification (CPC) [R-07.2022]
 

 The titles “management” and “assigned examiner,” as used in this
 Chapter
 900 , include in their definition any person designated by them
 to act on their behalf. 
 

 Assignment of a patent application in the Cooperative Patent Classification system is
 determined by the C-Star (C*) designations assigned to the application. C* is a binary
 designation given to the family level Cooperative Patent Classification (CPC) symbol(s)
 on an application that are representative of the claimed subject matter in an
 application. See MPEP § 905.03 .
 

 
 909.01(a) New Applications in CPC [R-07.2022]

 New nonprovisional utility applications are assigned
 directly to individual examiners by an automated routing system that uses the CPC
 symbols on an application to determine the best available examiner to work on that
 individual application. When a new application is received which, in the opinion of
 the assigned examiner, has one or more improper C* classifications on the
 application, the assigned examiner may submit a classification challenge to have a C*
 designation added and/or a C* designation removed. See MPEP §
 909.01(d) . 
 

 

 
 909.01(b) Classification and Assignment to Examiner in
 CPC [R-07.2022]
 

 Every nonprovisional utility application, new or
 amended, and including the drawings, if any, when first received by the USPTO must be
 fully classified and have C* designations assigned to those CPC symbols on the
 application that represent the subject matter claimed. Once the application has
 received these classifications, the automated routing system can assign the
 application to an examiner. Provisional applications are not classified or assigned
 since they are not examined.
 

 Utility applications are routed to an examiner using
 an automated routing system. The automated routing system takes into account the CPC
 classifications of an application and compares them to examiner portfolios (i.e. the
 classification areas to which the examiner has been assigned). Additional factors,
 such as the size of an examiner’s docket, case backlogs within a particular
 classification area, and the application’s status as a continuation or divisional
 application are weighted by the automated system prior to assignment of the
 application. 
 

 

 
 909.01(c) Immediate Inspection of
 Amendments [R-07.2022]
 

 Upon the receipt of an amendment which makes a C*
 classification challenge necessary, steps should be taken promptly in accordance with
 the C* classification challenge outlined in MPEP §
 909.01(d) . Generally, after a first action on the merits
 has been mailed C* classification will not be removed from an application’s
 classification picture.
 

 

 
 909.01(d) Classification Challenge Procedure in
 CPC [R-01.2024]
 
 I. CLASSIFICATION CHALLENGE
 PROCESS When, in the opinion of the assigned examiner, the
 C* designated CPC symbol(s) on a nonprovisional utility patent application are
 incorrect, they must initiate a C* challenge through the Classification Allocation
 Tool (CAT) ( https://cpc.uspto.gov/ mcc/secure/index.html#/home ) and
 complete the C* challenge form indicating any and all challenges to any C*
 designations including suggested additions of C* designations. Every challenge
 must also be accompanied by an explanation as to why each C* designation should be
 added or removed.
 

 If the examiner assigned the application believes
 the application has been improperly assigned to them, but is unable to determine
 the appropriate C* designations, a supervisory patent examiner, a search and
 classification expert, or quality nominee should be consulted. 
 

 If review of the C* challenge(s) results in a
 determination that change(s) should be made to the C* designation(s) on an
 application and a First Action on the Merits (FAOM) has not been submitted for
 credit at the time of the determination, the application may be rerouted by the
 automated routing system based on the new C* designations on the application.
 

 If management’s review of the C* challenge(s)
 results in no change(s) to the C* designations on an application the application
 will remain with the assigned examiner and a brief explanation as to why the C*
 designation(s) are appropriate or inappropriate will be provided to the examiner.
 
 

 II. CLASSIFICATION CHALLENGE AFTER
 ELECTION The examiner to which the application has been
 assigned will make the restriction requirement, unless the classification is not
 reasonably correct and complete. See MPEP § 812 . 
 

 If the classification picture on an application
 changes due to withdrawal of non-elected claims, an examiner may request
 modification of a C* designation, which may or may not result in redocketing of
 the application. 
 

 III. PATENT FILE
 WRAPPER SPEs and examiners must use the Classification
 Allocation Tool (CAT) classification challenge pages which create a record of the
 classification challenge history of each application and facilitates tracking of
 classification challenges of applications.
 

 

 

 
 909.02 Applications: Assignment and Transfer in
 USPC [R-07.2022]
 

 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 classified in USPC may be delegated when such authority is
 deserved.
 

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

 
 909.02(a) New Design and Plant Patent Applications
 under 35 U.S.C. 161 [R-07.2022]
 

 New nonprovisional design and plant applications are assigned to
 Technology Centers (TCs) 2900 and 1600, respectively, in the first instance by the
 Office of Patent Application Processing (OPAP). 
 

 

 
 909.02(b) Classification and Assignment to
 Examiner [R-07.2022]
 

 Every nonprovisional design and plant application, new or amended,
 and including the drawings, if any, when first assigned to a Technology Center (TC)
 must be classified and assigned to an examiner for examination. The supervisory
 patent examiner normally assigns the application to an examiner. Provisional
 applications (Plant only) are not classified or assigned since they are not
 examined.
 

 If an examiner other than the supervisory patent
 examiner is given the responsibility of assigning applications, time so spent may, at
 the TC Director’s discretion, be charged to “Other Time- Classify (non-PGPub) and
 assign cases”. 
 

 

 
 909.02(c) Reserved

 

 
 909.02(d) Transfer Procedure [R-07.2022]
 I. TRANSFER OF DESIGN APPLICATIONS Technology Center (TC) 2900 has developed internal procedures for
 transferring applications between examiners/art units and resolving application
 assignment disputes.
 

 When an examiner believes an application, either new or amended,
 does not belong in their customarily assigned art area, they may request transfer
 of the application from their docket (the “originating” examiner docket) to
 another examiner's docket or art unit (the “receiving” examiner or art unit
 docket). The originating examiner should determine the proposed classification of
 the application in question. If the classification is not easily determined, the
 examiner may need to perform a cursory search or place a call to the applicant to
 better understand the art area where the application should be placed. 
 

 To initiate the application transfer the examiner should send an email to the
 examiner who customarily examines the art of the proposed classification change
 (receiving examiner) and provide a full explanation of the reasons for the
 proposed classification. 
 

 If the receiving examiner has the authority to
 accept any application submitted to them that they believe is properly
 classifiable in a class in their customarily assigned art area, they classify and
 assign the application. 
 

 The decision as to the classification resolution
 and assignment of an application is customarily made by agreement between the
 examiners involved in the transfer. However, if no agreement can be reached
 between the examiners, the transfer request may be forwarded to the supervisors of
 the originating and receiving examiners for decision. If no agreement can be
 reached between the supervisors, the transfer request should be forwarded to the
 TC 2900 docketing POC for a final decision. 
 

 If an examiner encounters an assigned application
 that appears to be improper for their docket based on a factor other than the
 classification of the application (e.g. could be considered a utility
 application), the examiner should send an email to the TC 2900 docketing POC for
 evaluation of the application. If the application is deemed improper for that
 examiner’s docket, the application will be removed from the examiner’s docket, and
 will be appropriately reassigned by the TC 2900 docketing POC. In the event the
 application is deemed proper after reevaluation from the TC 2900 docketing POC,
 the case will be returned to the originating examiner’s docket and will be
 examined as a design application. 
 

 II. TRANSFER OF PLANT
 APPLICATIONS All plant patent applications under
 35 U.S.C.
 161 are assigned and examined in Art Unit (AU) 1661. If an
 application is accidently routed to the AU which is not a plant application, the
 application will be manually rerouted to OPAP for routing to the appropriate AU.
 
 

 

 
 909.02(e) General Guidelines Governing the Assignment
 of Nonprovisional Design and Plant Applications for Examination [R-07.2022]
 

 This section applies only to nonprovisional design and plant
 applications. It does not apply to provisional applications since such applications
 are not examined. For nonprovisional utility applications see MPEP §
 909.01 .
 

 The following are only general guides, and exceptions frequently
 arise because of some unusual condition. 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, and some on
 the material worked upon. The patent examiners cannot change this existing condition
 as each application comes up for assignment, but must seek to place the cases where
 they are appropriately assigned. An application will be assigned as follows:
 

 
 (A) The assignment of nonprovisional design and plant applications
 follows, as far as possible, the rules or principles governing the
 classification of patents. Applications are generally assigned on the basis of
 where the application would have an original classification, if the claims it
 contains were in a patent.
 

 (B) The criteria by which the original classification is
 determined are set forth in MPEP § 903.07 .
 

 (C) 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 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. Supervisory patent examiners (SPEs) cannot possess
 the specific knowledge of the state of the art in all the classes that the
 patent examiners collectively possess. Further, such questions are matters of
 merit for the examiners to determine and are often open to argument and are a
 subject for appeal.
 

 (D) Within a class, looking down from the top of the schedule, the
 OR subclass is chosen from among the classifications of the claimed disclosure
 according to whichever one is the most indented subclass of the first subclass
 array.
 

 (E) 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, obvious 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.)
 

 (F) 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. 
 

 (G) An examiner seeking the transfer of a case may make a search,
 both of their own class and the class to which they think the case should be
 transferred, and the examiner in charge of the art unit should ensure the
 record includes the result of the search.
 

 
 

 

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 901-Prior Art 
 901.01-Canceled Matter in U.S. Patent Files 
 901.01(a)-Ordering of Patented and Abandoned Provisional and Nonprovisional Application Files 

 
 

 901.02-Abandoned Applications 

 901.03-Pending Applications 

 901.04-U.S. Patents 
 901.04(a)-Kind Codes 

 
 

 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-Patent Family Information 

 901.08-Global Dossier Public Access 

 
 

 902-Search Tools and Classification Information 
 902.01-Classification Manual for the U.S. Patent Classification System 
 902.01(a)-Index to the U.S. Patent Classification System 

 
 

 902.02-Class and Subclass Definitions in USPC 
 902.02(a)-Definition Notes in USPC 

 902.02(b)-[Reserved] 

 
 

 902.03-Classification Information 
 902.03(a)-Patent Classification Home Page on the Internet 

 902.03(b)-Patent Classification Home Page on the USPTO Intranet 

 902.03(c)-[Reserved] 

 902.03(d)-[Reserved] 

 902.03(e)-Automated Search Tools: PE2E SEARCH 

 
 

 
 

 903-Classification in USPC 
 903.01-Statutory Authority 

 903.02-Basis and Principles of Classification in USPC 
 903.02(a)-[Reserved] 

 903.02(b)-Scope of a Class in the USPC 

 
 

 903.03-Availability of Foreign Patents 

 903.04-Classifying Applications for Publication as a Plant Patent Application Publication in USPC 

 903.05-Addition, Deletion, or Transfer of U.S. Design Patents by USPC Classification 

 903.06-Harmonized Subclasses 

 903.07-Classifying and Cross-Referencing Design and Plant Applications at Allowance 
 903.07(a)-Cross-Referencing Design and Plant Applications — Keep Systematic Notes During Prosecution 

 
 

 903.08-[Reserved] 
 903.08(a)-[Reserved] 

 903.08(b)-[Reserved] 

 903.08(c)-[Reserved] 

 903.08(d)-[Reserved] 

 903.08(e)-[Reserved] 

 
 

 903.09-[Reserved] 
 903.09(a)-[Reserved] 

 
 

 
 

 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 

 904.04-Search of Related Post-Grant Proceedings 

 
 

 905-Cooperative Patent Classification 
 905.01-Classification Scheme for CPC 
 905.01(a)-CPC Titles 
 905.01(a)(1)-References within CPC Titles 

 905.01(a)(2)-Notes Found in CPC schemes 

 905.01(a)(3)-Warnings Found in CPC schemes 

 905.01(a)(4)-Guidance Headings Found in CPC Schemes 

 
 

 
 

 905.02-CPC Definitions 

 905.03-Classifying in CPC 
 905.03(a)-The CPC Database 

 905.03(b)-Approach to classification in CPC 

 905.03(c)-Combination Sets 

 
 

 
 

 906-International Classification of Patents for Inventions 

 907-Locarno Classification Designations 

 908-[Reserved] 

 909-Routing and Docketing of Applications 
 909.01-Assignment, Transfer and Classification Challenges under Cooperative Patent Classification (CPC) 
 909.01(a)-New Applications in CPC 

 909.01(b)-Classification and Assignment to Examiner in CPC 

 909.01(c)-Immediate Inspection of Amendments 

 909.01(d)-Classification Challenge Procedure in CPC 

 
 

 909.02-Applications: Assignment and Transfer in USPC 
 909.02(a)-New Design and Plant Patent Applications under 35 U.S.C. 161 

 909.02(b)-Classification and Assignment to Examiner 

 909.02(c)-Reserved 

 909.02(d)-Transfer Procedure 

 909.02(e)-General Guidelines Governing the Assignment of Nonprovisional Design and Plant Applications for Examination 

 
 

 
 

 

 

 
 

 
 
 

 
 

 

 
 
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