Chapter    900  Prior Art, Classification, Search
---SECTION---901 Prior Art

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

---SECTION---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 knowledge
under  35 U.S.C. 102(a). In re Lund, 376 F.2d 982, 153 USPQ 625 (CCPA
1967).  See also MPEP Section  2127 and Section  2136.02.

---SECTION---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 reference.  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 abandoned application which
discloses subject matter in common with the patent, the effective date
of the reference as to the common subject matter is the filing date of
the abandoned 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 Section 
2127(a).

Published abstracts, abbreviatures, defensive publications (MPEP Section 
901.06(d)), and statutory invention registrations (MPEP Chapter 1100)
are references.

---SECTION---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 Section  804.  For
applications having a common assignee and different inventive entities
claiming a single inventive concept, see MPEP Section  804.03.  See also
MPEP Section  2127, paragraph IV.

---SECTION---901.04 U.S. Patents

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 Section 
2127, paragraph II.  The  35 U.S.C. 102(e) date for a nonprovisional
application claiming the benefit of a prior provisional 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 originally numbered, but have been
arbitrarily assigned numbers 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 Section  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 filing date of the reissue application.

Design reissue patents are numbered with the same number 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 preceded by "D."  In citing, the
letter  "D."  and the number must be given, e.g., D. 140,000.

NUMBERS FOR IDENTIFICATION OF BIBLIOGRAPHIC DATA ON THE FIRST PAGE OF
PATENT AND LIKE DOCUMENTS (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 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. See list in MPEP Section 
901.05(b).

---SECTION---901.05 Foreign Patent Documents

All foreign patents, published applications, or any other published
derivative material containing portions or summaries 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
Section  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 following sections and in
MPEP Section  901.05(a).  Additional information can be obtained from
the Scientific and Technical Information Center.

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

I. PLACEMENT OF FOREIGN PATENT EQUIVALENTS IN THE SEARCH FILES

There are approximately 25 countries in which the specifications 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 "family" of patents, none
of the foreign "equivalents" was placed in our search file.  See
paragraph III., below. However, 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 patents were no
longer classified into the U.S. Classification System by the U.S. Patent
and Trademark Office.  See MPEP Section  901.05(c) for search of
recently issued foreign patents.

II. OVERVIEW OF FOREIGN PATENT LAWS

This section includes some general information on foreign 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. Examiners 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 section, 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 applications.  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 publication even though examination has not been
completed or in some cases has not even begun at the time of
publication.

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 inspection". 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 application, then
it is sufficiently accessible to the public to constitute 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 Section  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 documents, of course, constitute references
as printed publications.

D. Administrative Systems

Patent law administration varies from country to country.  In some
countries, all that is undertaken is an inspection 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 little or no additional material.  An increasing
number of countries are requiring applicants to give information
concerning 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 examiner, 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 outcome can participate in the
opposition. The opposition is an inter partes proceeding and the
opposing party can ordinarily 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
constitute printed publications which are available as references 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" document which creates and
grants the rights.  In other countries, 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
"granting 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 specifications of granted patents are issued
in printed form, publication 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 European Patent Convention, and
AP, the African Regional Industrial Property Organization, 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 parties to the
Paris Convention for the Protection of Industrial Property and provide
for the right of priority.  If an application 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 fulfilling various conditions.  See MPEP Section  201.13.
The patents 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 simply 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
applications 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 disclosure 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 possible 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
translation if the latter is in fact a translation.  Questions as to
content 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 applicant filed
affidavits to overcome the filing date of the reference; 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 foreign application filed in a country in which patents were issued
fairly soon, checked the foreign application, and discovered 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 publication 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 Belgium, it is known at once that a considerably earlier
effective date can be established, if needed, because Belgian patents
issue soon after filing.  In addition, if the application referred to
was filed in one of the countries which publish 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 claiming a
foreign priority.

The determination of whether a foreign patent has been issued or the
application published is a comparatively simple matter for some
countries, but for some it is quite laborious and time-consuming and may
not even be possible from the sources maintained by the Scientific and
Technical Information Center.  Other sources for this data which are not
maintained by the Office do exist and can be utilized for locating
corresponding patents. One source is Chemical Abstracts which publishes
abstracts of patents from a large number of countries.  Only one patent
or published 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 numbers, 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
INPADOC 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 indication 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 patents 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 documents constitute prima facie evidence in view of  28 U.S.C.
1745. An applicant is entitled to show the contrary by competent
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 published 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 provided for the examiner search files.  Together, the
countries and organizations account for over 98% of the patent material
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. Sometimes 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 process. 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
"published" first (e.g., made available for public inspection by laying
open application, or application printed and disseminated 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 disclosure having
an earlier date is available as a reference.  Usually, the documents
within a related group have identical 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
filing date.

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

	New European patent specification (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 published 	
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 applicant's request.  The application is printed a short time
after being laid open.

	Brevet d'invention (patent)	Publication de la delivrance (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 certificate, 2nd publication)	Disposition
du public du certificat d'utilite (date published)	

DE			

Germany	Offenlegungschrift (unexamined 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&aelig;fentlichung-stag der
patenterteilung (date printed)	DE dates are in day/month/year order

DE			

Germany	Patentschrift (Ausschlie&szlig;ungspatent) (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 examination proceeds and patent is granted.  Separate
DD numbering 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 patentblatt (date published for public) 	Published
from No. DE-GM 1 186 500J.

			

JP			

Japan	K&ocirc;kai Tokkyo k&ocirc;h&ocirc; (unexamined patent
application) K&ocirc;hyo Tokkyo k&ocirc;h&ocirc; (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 k&ocirc;h&ocirc; (examined patent application)	Upper right
corner beneath number (date laid open and printed; 1st publication when
K&ocirc;kai Tokkyo k&ocirc;h&ocirc; or K&ocirc;hyo Tokkyo
k&ocirc;h&ocirc; not published)	Newer documents also include second date
following the first given in OUR Gregorian Calendar in year/month/day
sequence in Arabic numerals intermixed with their equivalent JP
characters.

	Tokkyo shinpan seiky&ucirc; k&ocirc;koku (corrected patent
specification)	Upper right corner beneath number (date laid open and
printed)	

JP			

Japan	K&ocirc;kai jitsuy&ocirc; shin-an k&ocirc;h&ocirc; (unexamined
utility model application) or K&ocirc;hyo jitsuy&ocirc; shin-an
k&ocirc;h&ocirc; (unexamined utility model application based on
international)	Upper right corner beneath number (date laid open and
printed)	

	Jitsuy&ocirc; shin-an k&ocirc;h&ocirc;  (examined utility model
application)	Upper right corner beneath number (date laid open and
printed; 1st publication when K&ocirc;kai or K&ocirc;hyo not published) 	

			

JP			

Japan   (Continued)	T&ocirc;roku jitsuy&ocirc; shin-an seiky&ucirc;
k&ocirc;koku (corrected registered utility model)	Upper right corner
beneath number (date laid open and printed)	

JP			

Japan	Isy&ocirc;  k&ocirc;h&ocirc; (registered design application)	Upper
right corner beneath number (date laid open and printed after
examination)	

RU			

Russian Federation	Zayavka Na Izobretenie (unexamined application for
invention)  Patent Na Izobreteniye (Patent)	Date application printed
(1st publication)   Date printed (normally 2nd publication, but 1st
publication when application not published)	

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
application)  (date of printing) 	

GB			

United Kingdom   (Continued)	Amended or Corrected Patent Specification
(amended granted patent)	(date of printing)	

WO			

World Intellectual Property Organization 	International patent
application (PCT patent application)	(date of printing the application)	

			

---SECTION---901.05(a) Citation Data

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.
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 Japanese 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 foreign 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

 ao&ucirc;t	August

 augusti	August

 avril	April

 b&rcaron;ezen	March

 &ccaron;erven	June

 &ccaron;ervenec	July

 czerwiec	June

 d&eacute;cembre	December

 dicembre	December

 duben	April

 elokuu	August

 febbraio	February

Feber [Februar]	February

 februari	February

 f&eacute;vrier	February

 gennaio	January

 giugno	June

 grudzie&nacute;	December

 hein&auml;kuu	July

 helmikuu	February

 huhtikuu	April

J&auml;nner [Januar]	January

 janvier	January

 joulukuu	December

 juillet	July

 juin	June

 kes&auml;kuu	June

 kv&ecaron;ten	May

 kwiecie&nacute;	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

M&auml;rz	March

 marzo	March

 mei	May

 ottobre	October

 pa&zacute;dziernik	October

 prosinec	December

 &rcaron;&iacute;jna	October

 settembre	September

 sierpie&nacute;	August

 srpen	August

 stycze&nacute;	January

 syyskuu	September

 tammikuu	January

 toukokuu	May

 &ugrave;nora	February

 wrzesie&nacute;	September

 z&aacute;&rcaron;&iacute;	September

[GRAPHIC]

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

Amerikas F&ouml;renta Stater;

[F&ouml;renta 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'Am&eacute;rique

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

---SECTION---901.05(b) Other Significant Data

NUMBERS FOR IDENTIFICATION OF BIBLIOGRAPHIC DATA ON THE FIRST PAGE OF
PATENT AND LIKE DOCUMENTS (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 and Minimum Required for the Identification of Bibliographic
Data

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

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

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

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

   øø(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) øø 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, category (10) can
be used, if so desired.

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

   ø(21) Number(s) assigned to the application(s), e.g., "Num&eacute;ro
d'enregistrement national," "Aktenzeichen"

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

   ø(23) Other date(s), including date of filing complete specification
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 originally filed

   (26) Language in which the application is published

   Note:

   Attention is drawn to the Appendix 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.

   (30) Data relating to priority under the Paris Convention

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

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

   ø(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 international
application was made is published, it should be identified 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

   øø(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

   øø(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

   øø(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

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

   øø(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

   øø(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

   Note:

   øøMinimum data element for patent documents only, the minimum data
requirement being met by indicating the date of making available to the
public the patent document concerned.

   (50) Technical information

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

   (52) Domestic or national classification

   (53) Universal Decimal Classification

   ø(54) Title of the invention

   (55) Keywords

   (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
International Classification for Industrial Designs should be made in
accordance with paragraph 4  bis of WIPO Standard ST.10/C.

   (ii) With regard to code (56) attention is drawn to WIPO Standard
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

   ø(61) Number and, if possible, filing date of the earlier
application, 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

   ø(62) Number and, if possible, filing date of the earlier application
from which the present patent document has been divided up

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

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

   (65) Number of a previously published patent document concerning 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 number of a
granted patent, on which the present utility model application 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 various 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 bibliographic data
elements relating to applications or grants of patents which data had
initially been announced by the industrial property office of that
entity.

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

   øø(71) Name(s) of applicant(s)

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

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

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

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

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

   Notes:

   (i) øøFor 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 Conventions
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 conventions

   (85) Date of fulfillment of the requirements of Articles 22 and/or 39
of the PCT for introducing the national procedure according to the PCT

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

   (87) Publication data of the regional or PCT application, i.e.,
publication date, publication number, and, optionally, the language in
which the application is published

   (88) Date of deferred publication of the search report

   (89) Document number, date of filing, and country of origin of the
original document according to the CMEA Agreement on Mutual Recognition
of Inventors' Certificates and other Titles of Protection for Inventions

   (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 authorization
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 community

   (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

   Notes:

   (i) The codes (86) and (87) are intended to be used:

   S on national documents when identifying one or more of the relevant
filing data or publication data of a regional or PCT application, or

   S on regional documents when identifying one or more of the relevant
filing data or publication data of another regional or PCT application.

   (ii) All data in code (86), or in code (87), should be presented
together and preferably on a single line.

   (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.

   (iv) With regard to code (89) it should be noted that the CMEA ceased
to exist in 1991.

   (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 information on
the term of protection and on the date from which SPCs referred to under
code (94) may have effect.

---SECTION---901.05(c) Obtaining Copies

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. The foreign patents so obtained
are available to examiners 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 documents 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 during 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 documents 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 necessary, 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 documents from the
Foreign Patent Branch.  If examiners so choose, they can make copies
themselves.  The most current patent documents are accessible through
the Foreign Patent Access System (FPAS), a CD-ROM-based local area
network 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 Section 
903.03.

---SECTION---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 translations of pertinent portions of references being
considered for citation or already cited in applications.  See MPEP
Section  901.06(a), STIC Services - Translations, and MPEP Section 
903.03, Availability of Foreign Patents.

Examiners can request written translations at any point in the
examination process, at the discretion of the individual 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 addition, 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 Section  901.06(a), STIC
Services - Foreign Patent Services.

---SECTION---901.06 Nonpatent Publications

All printed publications may be used as references, the date to be cited
being the publication date. Recognized abbreviations of names of
periodicals may be used in their citation (MPEP Section  707.05(e)). See
MPEP Section  2128 -  Section  2128.02.

There are some publications kept or circulated in every group and each
examiner should ascertain which are available in his or her group and
whether or not any of them is likely to bear on any assigned class.

Where a nonpatent literature reference with a document identification
number is cited, the identification number and the class and subclass
should be included on form PTO-892.

The citation should be as follows: (S00840001) Winslow, C.E.A. Fresh Air
and Ventilation N.Y., E.P. Dutton, 1926, p. 97-112, TH 7653. W5, 315/22.

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

The Scientific and Technical Information Center, formerly 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.
Memorial Law Library in CPK1, Room 568.

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 Trademark
Office to aid the officers in the discharge of their duties.

Technical literature, foreign patent documents, and reference 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 novelty 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 combination 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 materials.  Books in the reference collection are so labeled.

The staff of the Scientific and Technical Information Center makes every
effort to obtain current, useful publications.  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 collection are a number of titles
pertinent to the examination of design patent applications and titles of
interest to nonexamining 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 microfilm and CD-ROM are housed in cabinets.  A list of
periodicals 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 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 Division.  The most
current part of the collection is made available to examiners and the
public through the Foreign Patent Access System (FPAS), a CD-ROM-based
local area network 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 documents, 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 trademark 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 information 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
applications 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.  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 addition to the subject matter index, an
author index in which the patentee's and inventor's names appear, and
patent number lists; corresponding patents of different countries are
identified.  Specifications of unprinted, or as yet unprinted, patents
may be included in some of these abstracting services.

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 published by various U.S. government agencies.  Many
of these publications are on microfiche or CD-ROM.  The primary search
aids are the Monthly Catalog of U.S. Government 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 manipulatives relate to
the teaching of thinking skills whether they are classified as creative
thinking, critical thinking, decision 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 encouraging creativity in
America's youth. Access to the collection 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 materials 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.  Workstations 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 material includes reference
publications, foreign patent documents, 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 Federal 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 Electronic Information
Center, the Lutrelle F. Parker, Sr. Memorial Law Library, and the
Biotechnology/Chemical Information Branch assist examiners in the use of
the STIC.  Upon request, they provide guidance on finding information 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.  Queries 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 Biotechnology/Chemical Information
Branch.  All branches have access via modems or the in-house system to a
number 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 literature for the
examiner intending to make a search of the secondary 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 completed and ready for
pickup within 1-2 days.

Examiners are allowed to conduct searches of online commercial databases
independently of STIC staff.  Training 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 computer 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 performed 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 bibliographic 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 difficult 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 maintains 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 concordances, 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 copies 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
performed for the major European languages and for Japanese. Examiners
may also request written translations of pertinent 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 Translations Branch
listing all translations which have been made by the Branch, and a few
others gathered from miscellaneous 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 language and author
or title.  Any copies of translations coming 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 libraries.  Requests are initially
submitted to the Reference Fulfillment 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 vendors.  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 Biotechnology/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 correspondence 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 Information Center is available
from STIC.

---SECTION---901.06(b) Borrowed Publications 

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

---SECTION---901.06(c) Alien Property Custodian Publications 

Applications vested in the Alien Property Custodian during 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 publication effective from the date of
publication, which is printed on each copy.

The manner of citing one of these publications is as follows: A.P.C.
Application of ............, Ser. No. ............, Published
............

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

---SECTION---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 Registrations
were processed; see MPEP Section  711.06 and Section  711.06(a).
Statutory Invention Registrations have now replaced the Defensive
Publication program. Statutory Invention Registrations are numbered with
document category "H," beginning with "H1."  Defensive Publications and
Statutory Invention Registrations are included in subclass lists and
subscription orders.

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

[GRAPHIC]

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

[GRAPHIC]

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

---SECTION---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 patents 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.
classifications, blue labels denote non-patent literature, and yellow
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 controlling 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
filing.

Copies of foreign patents are usually kept in shoes separate 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 subclass.  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 containing disclosures for
particular subclasses, if numerous, should be filed in shoes following
the foreign patents; otherwise, they should be filed at the bottom of
the last shoe of foreign patents.

In most reclassification projects undertaken after October 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 searching in a
"foreign patent art collection," which appears at the end of the class
which includes the newly created classification schedule.  The "foreign
patent art collection" is identified by reference to the subclass
portion of the main schedule to which it pertains.  Its subclasses are
characterized 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 collection," exactly
corresponding to those of said former classification schedule, are
maintained.

---SECTION---901.08 Borrowing References

The search files in each examining group should at all times be
complete.  Where they are incomplete, the examiners 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.

---SECTION---901.09 Missing Copies - Replacement

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

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

(B) Clerical personnel from the Office of Classification 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 delivered to the Search File Improvement Division, OCS,
currently 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 unnecessary delay.

All replacement copies ordered through the PTO-14C program are returned
to the requesting examiner as notification 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.

[GRAPHIC]

---SECTION---902 Search Tools and Classification Information

---SECTION---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 Classification 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 subclass 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 designations; e.g., 417/161.1A identifies Class
417, Subclass 161.1A.

The Manual of Classification contains ordered arrangements 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 matter 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 organized into three main
groups by related subject matter.  It should be noted that this
hierarchy is to be used to determine document placement only as a last
resort, (i.e., when none of the other classification criteria, such as
comprehensiveness, etc., allow placement.  This part also includes an
exact hierarchical listing of the synthetic resin and chemical 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 personnel online from
the "Patent Examiner's Toolkit" toolbar.

---SECTION---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 Classification 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
specifically 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 classification 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.

---SECTION---902.02 Class and Subclass Definitions

All of the utility classes (i.e., classes devoted to technology) 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 subclasses in the U.S.
Classification System is available to PTO personnel online from the
"Patent Examiner's ToolKit" 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.

---SECTION---902.02(a) Definition Notes

Many of the definitions have accompanying notes. These notes are of two
types:  notes that supplement definitions 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 helpful in explaining
the limits of a class or subclass. They generally 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
relevant subject matter.

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

---SECTION---902.02(b) Search Cards

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

---SECTION---902.03 Classification Information

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

---SECTION---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 available on microfilm in the
Public Search Room.  Patent numbers are arranged in both numeric and
classified array.  The microfilm is updated semiannually, in June and
December.

---SECTION---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 Section  1730). This data is updated bimonthly with new issues and
reclassifications.

---SECTION---902.03(c) Subclass Listings 

Computer printout listings of patents contained in subclasses may be
obtained by request from the Office of Classification 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.

---SECTION---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 patents issued since
1969 (other patents, since 1977), including issue date, title, current
classifications, assignee at time of issue, status (withdrawn,
reexamined, 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 System; Attorneys and Agents Registered to
Practice before the U.S. Patent and Trademark Office; Classification
Orders Index showing Classes/subclasses abolished 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
Patentee-Assignee File showing assignment of patent rights at time of
issue since 1969 for utility patents (other patents, 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.

---SECTION---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.

---SECTION---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 existing class
schedules necessitated by the project;

(B) The changes to the definitions necessary to support the changes in
(A), above;

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

(D) A revised concordance showing the relationship between the newly
established subclasses and their International 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.

---SECTION---902.04(a) Reclassification Alert Report 

The Reclassification Alert Report is distributed to examiners,
classifiers, and technicians each quarter.  It lists numerically the
classes and subclasses affected by classification orders which issued
during the quarter, indicating if the classifications were established,
abolished, or had definition changes.

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

---SECTION---903 Classification

---SECTION---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 subject
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.

---SECTION---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 booklet 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
Classification 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.

---SECTION---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 satisfactory 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 published.

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

---SECTION---903.02(b) Scope of a Class

In using any classification system, it is necessary to analyze 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 necessary 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 necessary and
essential to the fundamental character of the subject matter treated;
e.g., a stonecrusher requires a minimum 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 subcombinations specialized to use therewith;
e.g., the crushing element of a stonecrusher.

Subcombinations of General Utility.  Each type of basic subject matter
may have subcombinations which have utility 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.

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

When an examiner finds it desirable to create a new subclass 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 transferred from an existing subclass to a new subclass, obtaining
any additional cross-reference copies that might be needed, determining
the title of the newly established subclass 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 minimum amount of disruption to the examiners.  Any examiner
having the Group Director's approval to create new subclasses 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 arrangement 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 subclasses 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 classification),
the examiners' copies will be withdrawn for a short period to go through
final clerical processing into new subclasses 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.

---SECTION---903.03 Availability of Foreign Patents

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 CD-ROM from the Foreign
Patents Division of the Scientific and Technical Information 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 Section  901.06(a)) so that foreign patents,
known by country, number, and publication date, can be inspected in the
Scientific and Technical Information Center or photocopies ordered.

Examiners confronted with language problems in classifying
foreign-language patents may call upon the Translation Branch of the
Scientific and Technical Information Center for assistance (see MPEP
Section  901.06(a)).

---SECTION---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 properly
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
transfer 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 classification data files.

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

---SECTION---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 "Unofficial 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 examiner should submit
a pink-colored form, PTO-14B, completed as follows:

(A) Enter the "DATE OF ORDER," "PATENT NUMBER,"  "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 Classification 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
delivered to the Search File Improvement Division, OCS, currently
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.

[GRAPHIC]

---SECTION---903.07 Classifying and Cross-Referencing at Allowance

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 classification 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 personally 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 Section  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
mandatory 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
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 mandatory classification that
appears first (highest) in the class schedule is the original
classification; 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" 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,

(D) genus-species rule between generic classes and species classes, and

(E) 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, e.g., superconductor technology 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 classifications 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 classification 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 classifications in which it should appear as a cross-reference. 
In those unusual cases involving more than 31 cross references, 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 filing of drawings and subsequent retrieval
by the Publishing Division will be greatly aided. See also MPEP Section 
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 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.

When the original patent is classified in an alpha subclass (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-reference 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 application 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 classification group at the time the
patent issues.

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

Throughout the examination of an application, systematic 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
combinations or claimed or unclaimed, but disclosed, subcombinations),
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 consulted examiners' or examiner's indication of where claimed
subject matter is properly classified and where subject matter disclosed
but unclaimed is properly classified 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 classification boxes at time of
issue.

---SECTION---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 wrapper (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 assigning 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 classification slip
in series 08/ and earlier applications), or where there has been a
ruling by a patent classifier, who must initial 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 application a high priority.

---SECTION---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
correspondence 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.

---SECTION---903.08(a) New Applications

New nonprovisional applications are assigned to the various 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 permit these cases to remain overnight before distributing.

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

When a new application is received which, in the opinion 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 Section  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.

---SECTION---903.08(b) Classification and Assignment to Examiner

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 examiner is given the
responsibility of assigning applications, time so spent may, at the
Group Director's discretion, be charged to  "Assisting SPE."

---SECTION---903.08(c) Immediate Inspection of Amendments

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

---SECTION---903.08(d) Transfer Procedure

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 supervisory 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 Section  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 classification
in the other art unit.

In the space provided on the form, at least one of the following 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 examining
group for review of the application before the application 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 examiner 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 controlling 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
Section  903.08(e).

PROCESS FOR TRANSFER

When the supervisory patent examiner or primary examiner 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 application, he or she
classifies and assigns the application and initials the form PTO-447A. 
The transfer is effected by the technical support staff in the group
which accepts the application 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
application is refused by the receiving art unit based upon the
classification of any claim, the application will be forwarded to a post
classifier in the receiving examining group for resolution of any
classification issues.  The post classifier will consider the statements
and evidence of both the originating and receiving art units and will
assign the application 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, contrary to
controlling classification rules, assign an application 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
Section  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 representatives 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 designated panel member
of the examining group for decision.  The decisions of the panel will be
final.  Request for reconsideration 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 decision 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 examining 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, timeliness of transfer, etc., and there is no
dispute as to the classification 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 classification of claims
and the propriety of restriction, etc., the examining issues should be
resolved first. If thereafter classification 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 Section   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 authority.

Failure to fill in the date on the form by either the originating
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
process, 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 application.

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

Applications filed under the PCT are treated as any other application
submitted to a classification group for classification except for the
following:

(A) they are to be hand-carried throughout the transfer and
classification process;

(B) they are normally classified on the basis of the first claimed
invention.  The following special situations, however, apply: 

(1) if a U.S. national application has been, or will be, acted upon by
an examiner to whom the national application was assigned on the basis
of the controlling 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;

(2) if a PCT application has been assigned to an examiner for search or
examination based on the first claimed invention, a subsequent U.S.
national application claiming priority of the PCT application will
normally be assigned to the same examiner, or to the examiner's art unit
in his/her absence;

(3) if a PCT application has been searched and examined outside the
U.S., a subsequent U.S. national application claiming priority of the
PCT application will be assigned like any other U.S. application, i.e.,
on the basis of the controlling claim.

The object of having the U.S. national and PCT international
applications assigned to the same examiner is to ensure consistent
search and examination results; and

(C) they are to be classified and returned within 3 working days of
receipt in a classification group.

PTO Form 447A. Application Transfer Request[GRAPHIC]

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

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 regulations 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 classifiers
cannot change this existing condition as each application 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 follows, 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 Section  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 examiners 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 Section  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 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 applications 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 indicate 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 consideration 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 subsection.

Some examples of applications which may be thus submitted 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 Section  705.01(e), situation (A).

(b) Where an application properly assigned to a mechanical 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 subsection ultimately is allowed, it
will be classified according to the controlling claim.  In effect,
assignment for examination may be on a  "best examinable"  basis, but
the patent will issue and be classified according to the rules of
superiority in classification; thus, the search file will have a
constant 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 authorized to require the first or transferring
examiner to cite references 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 evident
or clear, the transferring examiner should include a brief statement
explaining the relation and possible application 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(d) 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 examiner for action and a
requirement to restrict is found necessary, 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 unnecessary.

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 adjudicated.  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 restriction 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 nonclassifying 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 jurisdiction
of the classifier associated with the originating group, that classifier
will obtain concurrence of the classifier 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 immediately 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 application, the
originating group may return the application to classification for
assignment.

---SECTION---903.08(f) Post Classifier's Decision 

A post classifier decides the question of the proper classification of
the application, and either (1) returns the application 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   Section  903.10.

---SECTION---903.08(g) Transfer to Another Examining Group After
Decision

If the application is to remain in the group which submitted it for
classification, no further procedure is necessary. If assigned to
another group, the classification group processes the application as
described in the Manual of Clerical 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 Section  708.01.

---SECTION---903.09 International Classification of Patents for
Inventions

In accordance with the Strasbourg Agreement Concerning the International
Patent Classification, the United States is required to indicate on its
issuing documents the classification symbols of the International Patent
Classification 1994 (Sixth Edition), hereinafter referred to as "Int.
Cl.6 ."

The complete Int. Cl.6 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.6 LAYOUT

The layout of the Int. Cl.6  is explained below with reference to the
sample page.

Section

The Classification represents the whole body of knowledge which may be
regarded as proper to the field of patents 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 considered as a very
broad indication of the contents of the section. 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; Weapons; Blasting

G. Physics

H. Electricity

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

(D) Subsection - Within sections, informative headings form subsections,
which are titles without classification 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 Husbandry; Hunting;
Trapping; Fishing

Subclass

Each class comprises one or more subclasses.

(A) Subclass Symbol - Each subclass symbol consists 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 Forestry; 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 searching for inventions.

Example: A 01 B 1/00 Hand tools

(D) Subgroup Symbol -  Subgroups form subdivisions under the main
groups. Each subgroup symbol consists 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 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.)

Complete Classification Symbol

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

[GRAPHIC]

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.)

CLASSIFYING IN THE INT. CL.6 SYSTEM

A. Selecting Subclasses Corresponding to U.S. Classes

The effective scope of a subclass is defined by the following, taken
together:

(A) 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;

(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
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;

(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 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

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

(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 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.
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.6.

[GRAPHIC]

U.S. INT. CL.6 CONCORDANCE, 1995

The Office of International Patent Classification has prepared a revised
Concordance between the U.S. classes and subclasses and the Int. Cl.6. 
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.6, and not as a translation list.

The 1995 Concordance includes all changes in the International
Classification corresponding to changes in the United States
Classification through October, 1994.

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 report any
suggested changes to the appropriate group post classifier.

---SECTION---903.09(a) Locarno Classification Designations

U.S. design patents prepared for issue after June 30, 1996 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 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 recommended 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 prepared a
Concordance between the U.S. Design Classification 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 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. 
Accordingly, the Concordance may not indicate the most specific relevant
class and subclass, and should not be considered a translation list.

---SECTION---903.10 Duties of the Post Classifier

Examiners should contact their post classifier on all classification
problems.

A post classifier is responsible for:

(A) The technical accuracy, adequacy, and completeness of all search
systems in his or her group including the monitoring of any need for
major and minor reclassification 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
applications.

(C) The inspection of issuing applications to determine the accuracy and
adequacy of original and cross-reference 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 personnel 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.

---SECTION---904 How to Search

The examiner, after having obtained a thorough understanding of the
invention disclosed and claimed in the nonprovisional application, then
searches the prior art as disclosed in patents and other printed
documents.  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 Section  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 response, 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.  It 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.

---SECTION---904.01 Analysis of Claims

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.  There is always danger
of reading into the claim limitations imported from the specification or
drawing.  See MPEP Section  2111 -  Section  2116.01 for case law
pertinent to claim analysis.

---SECTION---904.01(a) Variant Embodiments Within Scope of Claim

Substantially, every claim includes within its breadth or scope of
definition one or more variant embodiments not disclosed by applicant
which would anticipate the terms of the definition. The claim must be so
analyzed and understood that any such variant encountered during the
search will be recognized and selected.

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 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).

---SECTION---904.01(b) Equivalents

All subject matter that is the patentable equivalent of the subject
matter as defined in the claim, even though specifically different from
the definition in the claim, must be considered.  See MPEP Section  2181
-  Section  2184 for a discussion of equivalents when a claim employs
means or step plus function terminology.

---SECTION---904.01(c) Analogous Arts

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 when arts are analogous 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.

For example, a tea mixer and a concrete mixer are for the same art,
namely 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 Section  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.

---SECTION---904.01(d) Outlining Field of Search

A proper field of search includes the subclass in which the claimed
subject matter of an application would be properly classified. The
proper field of search shall not include those 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 Classification 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
collection pertinent to each type of invention claimed should be listed,
from the largest combination through the various subcombinations to the
most elementary part.  The search should extend to all probable areas
relevant to the claimed subject matter and should cover the disclosed
features which might reasonably be expected to be claimed.

Strategies should be developed by the examiner for locating prior art
utilizing both manual and machine search tools.

The areas to be searched should be prioritized so that the most likely
areas are searched first.

The examiner should plan a search that not only covers the claimed
subject matter, but one that also covers the disclosed features that
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 following should be kept in mind: to establish a prima facie case of
obviousness, three basic criteria must be met.  First, there must be
some suggestion or motivation, either in the references themselves or in
the knowledge generally available to one of ordinary skill in the art,
to modify the reference or to combine reference teachings.  Second,
there must be a reasonable expectation of success.  Finally, the prior
art reference (or references when combined) must teach or suggest all
the claim limitations.  The teaching or suggestion to make the claimed
combination and the reasonable expectation of success must both be found
in the prior art, and not based on applicant's disclosure. In re Vaeck,
947 F.2d 488, 20 USPQ2d 1438 (Fed. Cir. 1991).  See MPEP Section  2143 -
Section  2143.03 for decisions pertinent to each of these criteria.  See
MPEP Section  2144 -  Section  2144.09 for examples of reasoning
supporting obviousness rejections.

An examiner, in each first action upon an application, makes an initial
endorsement in ink in the space provided on the right outside panel of
the file wrapper stating the classes and subclasses of domestic and
foreign patents, abstract collections and the publications in which
search for references was made, and also the date of the search.  Note
MPEP Section  719.05.

In subsequent actions, if further search is made, notation of the
additional field covered is also endorsed and initialed on the file
wrapper.

---SECTION---904.02 Conducting the Search

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.  A
complete search should result if applicants included, 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.

It thus results that the examiner finds references that, while not
needed for treating the claims, would be useful for forestalling the
possible presentation of claims to other subject matter regarded by
applicant as his or her invention, and claimable with the subject matter
being currently claimed, but shown to be old by these references.

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 Information 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, foreign patents, and
domestic patents, the examiner should study the specification or
description sufficiently to determine the full value of the reference
disclosure relative to the claimed or claimable subject matter.

---SECTION---905 Miscellaneous

---SECTION---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 complete 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 Classification 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
delivered to the Search File Improvement Division, OCS, currently
located in Crystal Mall, Building 2, Room 967.

The attorneys' drop slot at the Customer 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.

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.

[GRAPHIC]

---SECTION---905.03 Ordering of Patented and Abandoned 	Provisional and
Nonprovisional Application Files

In the examination of an application it is sometimes necessary 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 examiner 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 Repository
personnel.  Upon delivery of files at the various locations, 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.

---SECTION---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 application should mark in pencil on the face
of the drawings, or the specifications where there are no drawings, such
features as may be deemed advantageous in aiding understanding of the
patents in future searches.

---SECTION---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 docketed 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.

---SECTION---905.06 Family of Patent Information 

Patent family information is available at the United States Patent and
Trademark Office primarily through commercial databases.  Examiners have
access to this information either directly or 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 databases used for retrieving
foreign patent information.

INPADOC is the first choice for quick searches for publication dates or
patent families because of its ease of use and low cost.  The Office
enjoys cost effective rates for INPADOC due to an agreement between the
Office and the International Patent Documentation Center (now part of
the European Patent Office) negotiated several years ago.  The agreement
applies only to INPADOC 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.

WPI is used whenever abstracts are needed or when searches in addition
to publication date or Patent family are required, such as searches on
inventor name or IPC (International Patent Classification).

ACCESS TO FOREIGN PATENT INFORMATION

Patent examiners who have received training and access codes may
directly search INPADOC or WPI or both. Examiners who have been trained
on searching the ORBIT, DIALOG, or Questel systems may also search WPI,
with or without specific training on WPI, since WPI is one of the
databases available on these systems.

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

