903.01 Statutory Authority [R-08.2012]

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

903.02 Basis and Principles of Classification in USPC [R-07.2022]

Many of the principles that form the basis of classification within USPC used in the U.S. Patent and Trademark Office are set forth in the “Examiner Handbook to the U.S. Patent Classification System” which can be accessed from either the intranet on the Classification Home Page (http://ptoweb.uspto.gov/patents/classification- resources/) or the internet on the Office of Patent Classification home page (www.uspto.gov/Classification). Any questions not covered in this handbook can be directed to the Office of Patent Classification.

903.03 Availability of Foreign Patents [R-07.2022]

Many foreign patent documents received in the Office before October 1, 1995 were placed in the shoes in the Technology Center (TCs), according to either the United States Patent Classification System (USPC) or, in relatively few instances, the International Patent Classification (IPC) system. Foreign patents received by the Office after October 1, 1995 are available on the USPTO’s automated search systems, the Foreign Patent Access System (FPAS), Internet sites, and the Scientific and Technical Information Center (STIC) collections.

If the examiner desires to update the USPC classification of a foreign patent by changing, canceling, or adding copies, they should forward the patent (or bibliographic information) to their supervisory patent classifier with a request for the desired transaction attached.

The Foreign Patents Service Center manages Main STIC. STIC’s collections are international in scope and include foreign patents, non-patent literature, designs, trademarks, and legal information. There is an assortment of resources which reflect the information needs of examiners and researchers working in various fields of science and technology. The staff is experienced in foreign patent data retrieval, patent family searches, and document retrieval services for non-patent literature in the STIC collections.

Examiners confronted with language problems in classifying foreign-language patents may call upon the Translations Service Center of STIC for assistance (see MPEP § 901.06(a)). In addition, the Translations Service Center retains copies of translated foreign patents in the database.

903.04 Classifying Applications for Publication as a Plant Patent Application Publication in USPC [R-07.2022]

Most patent applications filed on or after November 29, 2000, are published as a patent application publication pursuant to 35 U.S.C. 122(b), unless certain exceptions apply. See MPEP § 1120.

U.S. utility patents and U.S. utility patent application publications published after December 31, 2014 do not receive classifications within the USPC and only receive classification designations within the CPC. Only U.S. design and plant patents and U.S. plant patent application publications continue to receive classifications within the USPC. See MPEP § 905 for information on CPC.

Plant patent application publications are given a primary classification (equivalent to an original classification), and may also be given a secondary classification (equivalent to a cross reference). While there may be only one primary classification for a single plant patent application publication, there may be any number of secondary classifications. The selection of a primary classification of a plant patent application publication is based on the application’s main inventive concept using the claim as a guide. A primary classification could be any U.S. class/subclass (except cross reference art collections, digests and foreign art collection subclasses). A secondary classification is based on other inventive concepts (mandatory) or valuable disclosure (discretionary), and may be any U.S. class/subclass (including cross reference collections and digests, but excluding foreign art collection subclasses). The classification of a plant patent application publication is printed on the front page of the publication.

At least 9 weeks prior to the projected publication date, applications are classified using programs designed to enable entry of certain data required for publication of patent applications. Applications are classified by giving each application at least a primary classification and an international classification. The suggested international classification(s) corresponding to each assigned U.S. classification is provided. In addition, if a figure is to be published, the figure is selected at the time of classification.

903.05 Addition, Deletion, or Transfer of U.S. Design Patents by USPC Classification [R-07.2022]

Requests for addition, deletion, or transfer of official copies of U.S. patents may be carried out by using the Patent Post Publication Classification Manager, which are available online from the Classification Home Page under the "Additional Resources" heading. The Classification Home Page is accessible from the desktop via the Patent Examiner’s Toolkit. The Classification Manager tool is available only for design patents.

Using these tools, examiners can request the following transactions:

• (A) Add any classification(s) from the U.S. Patent Classification system as a cross-reference (XR) classification to a patent or a secondary classification to a patent application publication.
• (B) Delete XR classification(s) or secondary classification assigned to the Technology Center (TC) of the person requesting the deletion.
• (C) Change original classifications (ORs) or primary patent application publication classification to a classification in the TC of the person requesting the change.
• (D) Add or delete any International Patent Classification system (IPC) classification to a patent.

903.06 Harmonized Subclasses [R-07.2015]

The U.S. Patent Classification System (USPC) includes subclasses that have been harmonized with subclasses from the European Patent Office (EPO) and the Japan Patent Office (JPO). Subclasses that have been harmonized have a designation of “EPO,” “JPO,” or “EPO/JPO” in parentheses following the subclass title to indicate if the subclass has been harmonized with the EPO or JPO or with both systems.

903.07 Classifying and Cross-Referencing Design and Plant Applications at Allowance [R-07.2022]

U.S. utility patents and U.S. utility patent application publications published after December 31, 2014 do not receive classifications within the USPC and only receive classification designations within the CPC. Only U.S. design and plant patents and U.S. plant patent application publications continue to receive classifications within the USPC.

When an application is passed to issue, it is the duty of each primary examiner to personally review the original classification and cross-referencing made by their assistants in the issuing classification boxes on the Issue Classification sheet. This form provides 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 personally on an application and sends it to issue should stamp and sign their name on the Issue Classification sheet ONLY in the “Primary Examiner” space.

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

After all mandatory classifications have been determined, the classification to be designated as the original (OR) is determined. If all mandatory classifications are in the same class, the original classification is the mandatory classification that, looking at the schedule from the top down, is the most indented subclass array in which any classifications are assigned, in certain circumstances (e.g., the genus-species array), however, modifications of this rule may apply. See the “Examiner Handbook to the U.S. Patent Classification System”.

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

• (A) selection based on priority of statutory category of invention,
• (B) selection based on superiority of types of subject matter, and
• (C) 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 superseded by

• (A) special circumstances,
• (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, the original classification, looking at the schedule from the top down, is the mandatory classification that is the most indented subclass of the first subclass array in which any classifications are assigned.

For a more complete discussion of this subject, see the “Examiner Handbook to Classification” which is available online to USPTO personnel from the Classification Home Page under the heading "General Training". The Classification Home Page (https://ptoweb.uspto.gov/patents/classification-resources/) is accessible from the desktop via the Patent Examiner’s Toolkit.

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

The examiner must complete the IFW issue classification form to indicate the class and subclass in which the patent should be classified as an original and also the classifications in which it should appear as a cross-reference. The examiner should be certain that all subclasses into which cross-references are placed are still valid.

All examiners must include alpha subclass designators in the issuing classification boxes on the IFW issue classification form 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 designation is permissible. Inclusion of only the numeric designation 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 subclasses.

Digests and cross-reference art collections should also be included in the issuing classification boxes on the IFW issue classification form, 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-reference area of the issuing classification boxes. A digest must be identified by class number, alpha characters DIG, and appropriate digest number.

U.S. patents cannot be classified in subclasses beginning with “FOR,” since these are exclusively for foreign patents.

APPLICATIONS IN ISSUE

Where an official classification order affects an application already passed to issue, the Office of Patent Classification oversees any necessary changes. Patents issuing from applications which already have been sent to the printer will be reclassified.

903.08 [Reserved]

903.09 [Reserved]