chapter 4 Patent classification
1. Introduction
The patent office adopts the International patent classification to conduct the classification for a patent application for invention and a patent application for utility model. The latest chinese version of the “International patent classification (Ipc, including the Guide to the Ipc)”shall be the working text. where there is discrepancy in inter- pretation, the same version of English or French shall prevail.
The purposes of classification areas follows:
(1 )establishment of patent application files which are advanta- geous to patent search;
(2)distribution of patent applications for invention or for utility model to the corresponding examination departments;and
(3)classifying the patent applications for invention or for utility model according to the classification symbols so as to make them pub- lished or announced in a systematicalway.
This chapter only involves the classification for patent applica- tions for invention and utility model. The classification for design shall follow the provisions in chapter3 , section 12 of this part.
2. contents of classification
when the technical subject of each patent application for inven- tion or utility model is classified, the complete classification symbols which represent the invention information of an invention or a utility modelshall be provided. It is desirable that any additional information be classified. The classification symbol which most adequately repre- sents the invention information shall be listed first.
Invention information is technical information in the whole text of apatent application (for example, the claims, description and drawings) that represents contribution to the prior art. The technical information contributing to the prior art means all novel and nonobvious technical information specially disclosed in a patent application.
Additional information does not in itself represent contribution to the prior art, but it might be useful to the search. The additional infor- mation includes the technical information which is identified by the indexing code. The additional information complements the invention information. For example, the components of a composition or mix- ture, elements or components of a processor structure, or features of use or application of a classified technical subject.
3. Technical subject
3. 1 Category of Technical subject
Technical subjects of inventions-creations may refer to processes, products, apparatus or materials, including the way these are used or applied. The scope of these technical subjects shall be interpreted in their widest sense.
(1 )processes, such as polymerization, fermentation, separation, shaping, conveying, treating of textiles, transfer and transformation of energy, building, preparation of foodstuffs, testing, methods of operat- ing equipments and ways in which they work, processing and transmit- ting information.
(2)products,such as chemical compounds, compositions, fabrics, articles of manufacture.
(3)Apparatus, such as installations used in chemical or physical processes,tools, implements, machines, devices for performing opera- tions.
(4)Materials, such as ingredients of mixtures.
Material includes any substance, intermediate product, or compo-
sition for making product. The examples of material areas follows: [Example1]
concrete. Its component materials are cement,sand, rock and wa- ter.
[Example2]
plywood used for manufacturing furniture. It is a material com- posed of multiple layers that are of even thickness, in more or less continuous contact with one another, and bonded together.
It shall be noted that an apparatus may be regarded as a product, since it is produced by a process. The term “apparatus”is associated with an intended use or purpose,e.g. , apparatus for generating gases, apparatus for cutting. However, the term “product”is only used to de- note the result of a process regardless of the function of the product,e. g. , the endproduct of a chemical or manufacturing process. Materials perse may constitute products.
3.2 Determination of Technical subject
The technical subjectshall be determined according to the whole text of a patent application (for example, the claims, description and drawings). when the technical subject is determined on the basis of the claims,the unclaimed technical subjectshall also be determined on the basis of the description and drawings.
3. 2. 1 circumstances in Which Technical subject is Determined on the Basis of claims
where the technical subject is determined on the basis of the claims, the technical contents described in the claims shall be construed as a whole. For example, when the technical subject is determined by the independent claim, the technical features indicated in the preamble portion shall be combined with the technical features indicated in the characterizing portion.
Furthermore, the contents of the description and drawings shall be combined to correctly construe or clarify the technical features consti- tuting the claimed technical solution indicated in the claims.
(1)Generally, the technical features in the preamble portion of the independent claimshall be the major technical features, while the tech- nical features in the characterizing portion shall be regarded as restric- tion to the preamble portion.
[Example1]
Abuilding board used for wall or roof, characterized in that it consists of sheets, each of which is rectangle and comprises four parts, the surface shape of each part is hyperbolic paraboloid.
The technical subject is a sheet building board, used for wall or roof,and characterized in shape.
[Example2]
Acrude oil composition with an improved pour-point which com- prises wax-bearing crude oil and an effective amount of pour-point de- pressant additive, wherein the additive consists of polymer of ethene and acrylonitrile and tripolymer.
The technical subject is:a crude oil composition characterized in an additive consisting of the polymer of ethene and acrylonitrile and tripolymer.
[Example3]
Amechanical shock absorber of cotton textile machine, characterized in that viscoelastic materials are stuck on the steel plate so that the two combine as one entire piece.
The technical subject is:a mechanical shock absorber of cotton textile machine with viscoelastic materials stuck on steel plate com- bined as one entire piece.
[Example4]
Aloudspeaker, the piezoelectric ceramic sheet being connected at one end of the tubular shell by press, and the loudspeaker opening be- ing at the other end, with two metal contacts being on the piezoelectric ceramic sheet, characterized in that a layer of vibration shell is in-
stalled on the outside of the loudspeaker shell, being connected with the edge of the loudspeaker opening, and there is an interval between the two shells to comprise a twin shell.
The technical subject is:a piezoelectric ceramic sheet loudspeak- er, characterized in twin shell.
[Example5]
An active dye compound, characterized in that the process of syn- thesis is by means of enzyme…
The technical subject is:an active dye compound synthesized with the use of enzyme…
(2)where the subject matter described in the preamble portion of the independent claim has no specific place in the classification, the determination of the technical subjectshall be made mainly on the ba- sis of the technical features described in the characterizing portion, and the technical features described in the preamble portion shall beregar- ded as the restriction to the characterizing portion.
[Example1]
Aswitch, comprises a shell, the control device, wire tunnel, and open/close contact being equipped in the shell cover, characterized in that a light transmitting board made of transparent materials and a glow bulb indicating switch position are equipped under the opening of the shell cover.
The technical subject is:a device of a switch capable of indica- ting the position of the switch.
[Example2]
Atiming clock comprising of a shell and a cassette mechanism, characterized in that the shell is made of ceramic material, its appear- ance is…
The technical subject is:the shell of a timing clock made ofceramic material …
3.2.2 circumstances in Which Technical subject canNot BeDe- termined on the Basis of claims
where the technical subject cannot be determined on the basis of the claims, the determination shall be made on the basis of the techni- cal problems solved by the invention or utility model, the technical so- lutions, technical effects or embodiments described in the description.
3.2.3 unclaimed Technical subject to Be Determined on the Basis of Description and Drawings
If the contents of the contribution to the prior art are described in the description and drawings, even though the contents have not been claimed, the technical subject of the contents shall also be determined.
4. Method of classification
For a patent application, the invention information and additional information related to the technical subjectshall be determined first,
then the classification symbols corresponding to the invention informa- tion and the additional information shall be assigned.
4. 1 classification in Whole
The technical subjectshall be classified, as far as possible, as a whole and not by separate classification of constituent parts.
However, if some constituent part of a technical subject represents contribution to the prior art, the constituent part constitutes invention information and shall be classified. For example, when classifying a larger system as a whole, if the parts or components of the system are novel and nonobvious, both the system and these parts or components shall be classified respectively.
[Example1]
Atumbler auto-control bridge telescopic slot device consisting of middle girder, elastic sealing element, transverse-joist, supporting spring, transverse-joist sealing box and so on, characterized in that each transverse-joist …
To classify the bridge telescopic slot device as a whole, it is to be classified into E01D19/06 .
If the transverse-joist is novel and nonobvious, it is to be classified into E04c3/02 .
[Example 2]
Asolid waste disposal system consists of import device and appa- ratuses of sorting, smashing, metal retrieving, plastic retrieving, fertiliz- er making and so on.
To classify the solid waste disposal system as a whole, it is to be classified into B0gB3/00 .
If the apparatus of smashing is novel and nonobvious, it is also to be classified into B02c21/00 .
4.2 Determination of Function classification or Application classi- fication
4.2. 1 classification According to Function
If the technical subject is characterized by the intrinsic nature or
function of a thing, and is not limited by a particular field of use, the technical subjectshall be classified according to its function.
If the technical subject relates to a particular application, but not specifically disclosed or fully identified, the classification shall be made according to the function if the place of functional classification exists in the classification or if several applications are broadly men- tioned.
[Example1]
The valves characterized by structural or functional aspects that do not depend on the nature of the particular fluid (e. g. , oil)passing therethrough or any system including the valve are classified according to the function and to be classified into F16k.
[Example2]
The organic chemical compounds characterized by their chemical structure are classified according to function and to be classified into c07 .
[Example3]
Acutting machine with a disk cutter turned around sliding shaft is classified according to its function and to be classified into B26D1/ 157 .
4.2.2 classification According to Application
If the technical subject is as follows, classification shall be made according to application.
(1 )The technical subject concerns a thing which is“specially adapted for”a particular use or purpose. [Example]
Amechanical valve specially adapted for insertion into a human heart is classified according to its application and to be classified into A61F2/24 .
(2)The technical subject concerns the particular use or applica- tion of a thing.
[Example]
Filters specially adapted for cigarette are classified according to their application and to be classified into A24D3/00 .
(3)The technical subject concerns the incorporation of a thing in- to alarger system.
[Example]
The incorporation of a leaf spring into the suspension of a vehicle wheel is classified according to application and to be classified into B60G11/02 .
4.2.3 classification According to Both Function and Application
If the technical subject relates both to the intrinsic nature or func- tion of a thing and to its particular use or purpose, or its special appli- cation of incorporation into a larger system, the classification shall be made according to both function and application.
If the circumstances mentioned in proceeding sections4 . 2 . 1 and 4 . 2 . 2 are not applicable, the technical subject classification is made according to both function and application.
[Example1]
Acoating composition concerns both its ingredient and its parti- cularuse. It is classified not only into the appropriate place of c0gD 101/00 to 201/00 according to its function, but also into c0gD5/00 according to its application.
[Example2]
Aleaf spring arranged in the suspension of a vehicle, if the leaf spring itself is novel and nonobvious, is classified into F16F1/18 ac- cording to its function. If the arrangement of the leaf spring in the sus- pension of a vehicle is also novel and nonobvious, it is also classified into B60G11/02 according to its application.
4.2.4 special circumstances
(1)where the technical subject should be classified according to function, if there is no such place of functional classification in the classification, the classification shall be made according to appropriate application.
[Example]
covering flux stripper for cable.
since there is no place of functional classification for a covering flux stripper in the classification, it is to be classified into H02G1/12 according to its application,i. e. , mainly for removing insulation or ar- mouring from cable.
(2)where the technical subject should be classified according to application, if there is no such place of application classification in the classification, the classification shall be made according to appropriate function.
[Example]
A refrigerator protection device for overload, overvoltage and time delay startup.
If there is no place of application classification for an emergency protective-circuit specially adapted for a refrigerator in the classifica- tion, it is to be classified into subclass H02Haccording to its function, i. e. , an emergency protective-circuit device.
(3)where the technical subject should be classified according to both function and application, if there is no such place of functional classification in the classification, it is to be classified only according to application;if there is no such place of application classification in the classification, it is to be classified only according to function.
[Example]
A generator suited for illumination for animal-drawn cart is e- quipped with agear-ratio-adjustable gearbox and can be easily coupled with the wheel.
If there is no place of application classification for a generator specially adapted for illumination for animal-drawn cart in the classifi- cation,it is to be classified in H02k7/116 only according to its func- tion.
4.3 Multiple Classifications
The primary purpose of classification is for search. Multiple clas- sification symbols may be assigned on the basis of the contents of the technical subject.
where the patent application concerns different categories of subject matters which constitute the invention information, multiple classi- fication shall be made according to the related subject matters. For ex- ample, where the subject matters concern a product and its manufactur- ing process,if there are classification places of the product and process in the classification, the product and process shall be classified respec- tively.
where the technical subject concerns classification according to both function and application, the classification shall be made accord- ing to both function and application.
The multiple classification or classification in combination with indexing codes shall also be used as much as possible when the addi- tional information is useful for the search.
4.3. 1 Multiple Aspects Classification of Technical subject
Multiple aspects classification of the technical subject represents a special type of multiple classification. Multiple aspects classification is applied to the technical subject which, by its nature, is characterized by several aspects, for example, by its intrinsic structure and its particular use or function. classifying of such subject matter according to only one aspect would lead to incomplete search information.
The classification places in the classification are indicated with note to show the use of multiple aspects classification.
[Example]
G11B7/24 . record carriers characterized by the selection of the material or by the structure or form
G11B7/241 . . characterized by the selection of the material
G11B7/252 . . . of layers other than recording layers Note:
In subgroup G11B7/252, multiple aspects classification is ap- plied, so that if the technical subject is characterized by aspects cov- ered by more than one of its subgroups, the subject mattershall be classified in each of those subgroups.
G11B7/253 . . . . Base layers
G11B7/254 . . . . protective topcoat layers
when the technical subject concerns both the base layers and pro- tective topcoat layers of layers other than recording layers, the base layers and protective topcoat layers shall be classified into G11B7/ 253 and G11B7/254 respectively.
4. 3.2 secondary classification
secondary classification is used for obligatory supplementary clas- sification for the technical subject already classified in other classifica- tion places. Examples of such secondary classification areA01P, A61P,A61Qand c12s.
The symbols in secondary classification shall not be used as the first place classification symbols.
4.3.3 Hybrid system and Indexing code
The hybrid system consists of classification symbols and indexing codes used together with it.
Indexing codes can only be applied in combination with classifi- cation symbols. Indexing codes have a format similar to classification symbols but usually use a unique numbering system.
The note in the classification indicates the classification place where the indexing code may be used. correspondingly,a note, title or heading before the indexing codes indicates with which classification symbols those indexing codes are used.
4.4 special classification for Technical subject
(1 )Technical subject may have different classification. If the classification place is not provided for the technical subject of a certain category,the most appropriate technical subject of other category shall be used for classification, see section 8 of this chapter for details.
(2 )If the classification place adequately covering the technical subject can not be found, the technical subjectshall be classified in the special remaining group 99/00 .
[Example] section A
A99z99/00 subject matter not otherwise provided for in this section.
section Fsubclass F02M
F02M 99/00 subject matter not otherwise provided for in this subclass.
5. summary of Rules for classification Places
In some places of the classification, the reference or note indicates how to use priority rules(the first place rule and the last place rule) and special rules. Attention shall be paid to the usage of these classifi- cation place rules.
The note is applicable only to the relevant place and its further di- vided places, and shall prevail over the general rules if it conflicts with the general rules.
6. classification steps
The classification is made in order of hierarchy,i.e. , section, class, subclass, group and subgroup, until the appropriate group of the lowest level is found.
7. classification for patent Applications at Different publication Levels
7. 1 classification of unsearched patent Applications
All claimed subject matter that is potentially novel and unobvi- ous, any potentially novel and unobvious constituents or components of the claimed subject matter, and any unclaimed subject matter in the de- scription and drawings that is potentially novel and unobvious shall be classified as invention information.
It is desirable to classify or index all the claimed and non-claimed additional information if it is useful for search.
7.2 classification of searched and Examined patent Applications All claimed subject matter that is novel and unobvious, any novel
and unobvious constituents or components of the claimed subject mat- ter, and any unclaimed subject matter in the description and drawings that is novel and unobvious shall be classified as invention informa- tion.
It is desirable to classify or index all the claimed and non-claimed additional information if it is useful for search.
8. classification of specific Technical subject
8. 1 chemical compounds
when the subject matter concerns a chemical compound perse, e. g. , organic, inorganic or macromolecular compound, it shall be clas- sified in section C. when it also concerns a specific field of use, it shall also be classified in the place provided for that field of use, if such field of use constitutes contribution to the prior art. However, where the chemical compound is known and the subject matter con- cerns only the application of the compound, it shall be classified only in the place covering the field of use.
8.2 chemical Mixtures or compositions
when the subject matter concerns a chemical mixture or composi- tion perse, it shall be classified in a place according to its chemical composition,e.g. , the glass is classified into C03C, the cements or ce- ramics are classified into C04B, the compositions of macromolecular compounds are classified into C08L, and the alloys are classified into C22C. If such a place does not exist in the Classification, it shall be classified according to its use or application. If the use or application also constitutes contribution to the prior art,a mixture or composition shall be classified according to both its chemical composition and its use or application. However, when the chemical mixture or composi- tion is known and the subject matter concerns only its use or applica- tion, it shall be classified only in the place covering the field of use or application.
8.3 Preparation or Treatment of compounds
when the subject matter concerns a process of preparation or treatment of a chemical compound, it shall be classified in the place for the process of preparation or treatment of the compound con- cerned. If such a place does not exist, it shall be classified in the place of the compound. when the compound resulting from the preparation process is also novel, the compound shall also be classified. subject matter concerned with general processes for the preparation, or treat- ment, of a plurality of compounds shall be classified in the place for the processes employed.
8.4 Apparatus or Processes
when the subject matter concerns an apparatus, it shall be classi- fied in the place for the apparatus. when such a place does not exist, the apparatus shall be classified in the place for the process performed by that apparatus. when the subject matter concerns a process for making or treatment of products, it shall be classified in the place for the process performed. when such a place does not exist, it shall be classified in the place for the apparatus performing the process. If no place exists for the apparatus performing the process, it shall be classi- fied in the place covering the product.
8.5 Articles of production
when the subject matter concerns an article, it shall be classified in the place for the article. If no place exists for the article itself, it
shall be classified in the appropriate place according to the function performed by the article. If no classification place exists according to the function, the classification shall be made according to the field of use.
8.6 Multistep processes, Industrial plants
when the subject matter concerns a multistep processor an indus- trial plant that consists, respectively, of a combination of process steps or apparatus, it shall be classified as a whole,i.e. , in a place provided for such combination,e.g. , subclass BogB. If no such place exists in the classification, it shall be classified in the place for the product ob- tained by the processor plant. when the subject matter concerns also an element of the combination,e. g. , an individual step of the process or machine of the plant, the elementshall also be separately classified.
8.7 Elements, structural parts
when the subject matter concerns structural or functional ele- ments or parts of a product or an apparatus, the following rules shall apply.
Elements or parts only applicable to, or specially adapted for, one kind of product or apparatus, shall be classified in the elements or parts places of the product or apparatus. If such places do not exist, these elements or parts shall be classified in the place for the product or ap- paratus.
Elements or parts applicable to more than one of different kinds of product or apparatus shall be classified in the elements or parts places of more general nature. If such places of more general nature do not exist, these elements or parts shall be classified according to all of the kinds of product or apparatus to which they explicitly apply.
8.8 General Chemical Formula
Ageneral formula is often used to express one or more genus of compound, wherein at least one group of the formula is variable,e. g. ,“Markush”type compound. when an enormous number of com- pounds are within the scope of general formula and are separately clas- sifiable in a large number of classification places respectively, only the individual chemical compounds most useful for search shall be classi- fied. If the chemical compounds are specified using a general chemi- cal formula, the following classifying procedureshall be applied:
step 1 :All“fully identified”compounds that are novel and un- obvious are classified. Acompound is considered to be“fully identi- fied”where:
(1)the structure is given by the exact chemical name or formula, or can be deduced from its preparation from specified reactants, not more than one of which is selected from a list of alternatives;and
(2)the compound is characterized by a physical property, for ex- ample, itsmelting point, or its preparation is described in one embodi- ment giving practical elements.
compounds identified only by an empirical formula are not con- sidered to be“fully identified. ”
step 2:If no “fully identified”compounds are disclosed, the gen- eral formula shall be classified in the most specific groups that cover all or most of the potential embodiments. The classification of general chemical formula shall be limited to a single or a very small number of groups.
step 3 :In addition to the above classification according to steps1 and 2, the classification may be made when other compounds within the scope of the general formula are important.
when classification of all the“fully identified”compounds into their most specific classification places would lead to a number of clas- sification symbols(e.g. , more than twenty), the classifier may reduce the number of symbols. This may only be done when the classification of the“fully identified”compounds would lead to the assignment of a number of subgroups under a single group at the next hierarchically higher level. classification of these compounds may then be made in the higher group only. otherwise, classification of the compounds shall be made in all of the more specific subgroups.
8.9 Combinatorial Libraries
collections composed of many chemical compounds, biological entities or other substances may be presented in the form of“libra- ries”. The library as a whole shall be classified in an appropriate group in subclass C40B. At the sametime, the individual members which are considered “fully identified”shall be classified into the most specific places,e. g. , the library of nucleotides as a whole shall be classified into an appropriate group in subclass C40B. At the same time, the“fully identified”nucleotideshall be classified into appropri- ate places in section C.
