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 hierarchical 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 uprooting 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.)
A complete classification symbol comprises the combined 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 column, which is used when the following group or groups relate to different subject matter for which no guide heading is provided. (See, for example, the line after A 01 B 75/00.)
The effective scope of a subclass is defined by the following, taken together:
The subclass title which describes, as precisely as is possible in a small number of words, the main characteristic of a portion of the whole body of knowledge covered by the Classification, this portion being the field of the subclass to which all its groups relate;
Any references which follow 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 example, in subclass A 47 D — FURNITURE SPECIALLY ADAPTED FOR CHILDREN — a considerable part, namely school benches or desks, of the subject matter covered by the title is excluded in view of a reference to particular groups of subclass A 47 B, thus considerably altering the scope of subclass A 47 D;
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;
Any notes or definitions appearing under the subclass 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 subclass and other places. Examples are
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 references or notes associated with the main group or with any guide heading covering it. For example, a group for "bearings" in a subclass whose title is limited to a particular apparatus must be read as covering only features of bearings peculiar to that apparatus, e.g., the arrangement of bearings in the apparatus. 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.
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.
See 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.
The Office of Patent Classification has prepared a revised Concordance between the U.S. classes and subclasses and the Int. Cl. 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 Concordance may not indicate any truly relevant group. Accordingly, the Concordance must be recognized as a guide to be used in conjunction with the Int. Cl., and not as a translation list.
U.S. design patents prepared for issue after June 30, 1996 and international design applications include a Locarno International Classification designation 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 Protection of Industrial Property and is administered by the International Bureau of the World Intellectual Property Office (WIPO).
A Locarno International Classification designation consists 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 subclasses and includes: (1) a general list of classes of industrial designs divided into broad subclasses; and (2) an alphabetical list of specific industrial designs with an indication 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 Intellectual Property Organization.
The Image File Wrapper (IFW) issue classification form 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 (7) CL." follows INID code [51] and complies with the recommended abbreviation by the International Bureau.
An example Locarno designation as it appears on a U.S. Design Patent is as follows:
[51] LOC (7) CL. 02-02
The Office of Patent Classification has prepared a Concordance between the U.S. Design Classification classes and subclasses and the Locarno International Classification. In many areas of design subject matter, the U.S. Design Classification and Locarno Classification systems are parallel. In 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 International Classification is generally based on the nature of the design rather than ornamental appearance. Accordingly, a one-to-one relationship between the two classification systems is not always possible.
Each suggested designation in the Concordance refers to a single Locarno International class and subclass. This designation, 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 designations, there is no direct parallel within the Locarno system.
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.
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).
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.
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.
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.
In those applications in which a restriction is considered proper by the examiner, an election must be made prior to the submission of C* challenge(s) so that the challenge may be decided based on the claims elected. The election may be made either telephonically or in writing.
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.
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.
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).
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".
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.
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.
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:
