action which is manifested whenever any particular substance in any
particular condition is brought into such relation with any particular
manifestation of energy that the force exerted modifies or prevents
modification of the form, nature, condition, or locus of the substance
or modifies the manifestation of energy or both.
[4] A "property" may be described as any quality common and essential to
the whole of a class but not necessary to mark out that class from other
classes. Thus, all wheel tires may be said to possess annularity; but
washers and finger rings are also annular. A "peculiar property" is one
that not only always belongs to a class of objects but belongs to that
class alone; thus a circle has the peculiar property of containing the
greatest space within a line of given length, and catalytic substances
have the power of setting up chemical reaction without themselves being
changed.
[5] An "accident" is any quality that may indifferently belong or not
belong to a class without affecting the other qualities of the class.
That a man's name is James is an accident telling nothing of the man's
physique or character.
[6] "Effect" or "result" is the consequence of a process of the useful
arts practiced with or without instruments. The effect of an instrument
is the effect of its operation. Effects may be direct or indirect,
proximate or remote, necessary or accidental.
"Product" is an effect consequent upon a process that changes the form,
state, or ingredients of matter perceptibly and permanently, as
distinguished from effects that are fleeting or involve no change in
perceptible form, state, or ingredients of matter.
"Function" is the "action of means upon an object while producing the
effect." (Robinson.) Functions may be direct or indirect, proximate or
remote, necessary or accidental. The direct, proximate, or necessary
function of the hammer in normal operation is impacting. Indirect,
remote, or accidental functions of a hammer may be comminuting, forging,
driving, etc.
[7] Classification of the Sciences.
[8] Logical division is the process by which the species of which a
genus is composed are distinguished and set apart. Physical division or
partition is the process by which the parts of any object are
distinguished and set apart. Metaphysical division is the process by
which the qualities of a thing are segregated and set apart in thought.
[9] Any class of objects may be called a "genus" if it be regarded as
made up of two or more different kinds of objects or of two or more
species. "Motors" is a genus when the class "Motors" is considered as
divided into electric motors and nonelectric motors, or electric motors,
spring motors, weight motors, current motors fluid pressure motors, etc.
A genus is more extensive than any of its species but less intensive.
A "species" is any class that is regarded as forming a part of the next
larger class, "electric motors" being a species of "motors" and "motors"
being a species of "energy transformers." A species is more intensive
than the genus to which it belongs but less extensive.
Every species may be a genus to another species until no further
subdivisions can be made. This last indivisible species is termed the
_infima species_. Every genus may be a species to another genus until a
point is reached where no further generalization may be made or the
_summum genus_ is attained. In the Patent Office classification of the
useful arts, the _summum genus_ is useful arts. The _summum genus_ of
the plastic arts would be plastics. The _infima species_ in the useful
arts evidently never can be attained.
"Proximate species" and "proximate genus" indicate, respectively, those
species that are divided from a genus without intermediate genera, and
those genera from which the species are directly divided. Motors, and
not energy transformers, is the proximate genus to the species, fluid
motors, electric motors, etc., while fluid motors, electric motors,
etc., and not steam engines, alternating current motors, etc., are
proximate species to motors.
[10] In the Manual of Classification of the U. S. Patent Office the
arrangement of subclasses has always been alphabetical, although in the
Supplement containing definitions of revised classes the arrangement is
numerical. If the latter schedule of "Balls" in the text had been
printed in alphabetical order, it is apparent that the species
"Aluminum" and "Zinc" of the genus Metal would be as widely separated as
possible. In the former schedule of "Balls," in which the genus Metal is
printed, "Aluminum" and "Zinc" come together. It is apparent that in an
alphabetical arrangement allied species can not be kept together without
printing every proximate genus. This fact, among others, indicates the
advisability of abandoning the alphabetical arrangement in the
classification manual and adopting the idea arrangement in the schedules
of revised classes, supplemented by a consolidated alphabetical index of
all subclasses.
[11] A species contains all the qualities of the genus and more. These
additional qualities form the "difference." The electric motor has the
qualities that are common to motors and is differentiated by reason of
the fact that electric energy is thereby converted to mechanical motion.
[12] Classification of a patent is said to be "original" in the class
and subclass which receives the most intensive claimed disclosure, and
in which the patent is indexed in the official classification indexes.
"Original classification" is referred to as opposed to "classification
by cross-reference."
A "cross-reference" is a copy of a patent placed in a subclass other
than that in which the classification is made original, in order to make
available for search inventions disclosed therein and additional to that
by which the patent has been diagnosed and classified.
A "digest cross-reference" is a cross-reference formed from abstracts or
extracts from a patent consisting of illustration and text cut from a
photolithograph of a patent and mounted.
A "search-card" is a sheet of the size of a photolithograph of a patent
placed with the photolithographs of patents forming a subclass in the
examining division and public search room, and containing suggestions
for further search, and on the copy for the search room, a definition of
the subclass.
"Search notes" are addenda to class and subclass definitions comparing
other classes and subclasses with the one defined and giving directions
for search when necessary to prosecute search beyond the defined class
or subclass.
(C) RULES OF CLASSIFICATION.
BASIS OF CLASSIFICATION.
(1) The basis of subdivision and assemblage of the means of the "useful
arts" in the Patent Office classification is "art" within the meaning of
"art" in section 4886, Revised Statutes. The direct, proximate or
necessary art, operation or effect, rather than some accidental and
remote use or application, should be selected. In all cases qualities or
characteristics that persist through all accidental uses and that can be
identified as permanent are to be preferred.
(2) The operative, instrumental, or manipulative arts, including
machines, tools, and manufacturing processes, should be classified
according to whether a single operation of one kind applicable to
various materials to be used for various purposes is carried out by the
claimed means, or whether plural operations are performed, which,
combined, produce a special effect or special product.
Example: An instrument performing a plurality of operations
peculiar to shoe-manufacture would be classified on the
basis of shoemaking, because that instrument would be
incapable of other use, while an instrument peculiarly
adapted to drive nails would be classified on the basis of
nailing, whether for nailing shoe-heels or other objects,
and a hammer would be classified on the basis of its
function as an impact tool even though described as for
driving nails, and even into shoe-heels.
(3) Structures (passive instruments) will, in general, be classified on
the basis of structure, either of special or general application, the
essential functions and effects of static structures being resistive or
the maintaining of forces in equilibrium.
Example: A structure recognized as peculiar to barriers of
the kind known as fences would be classified in the special
class of Fences, but posts, joints, beams, etc., recognized
as having use in general building, even though described as
used in fences, would be classified in a more general
building class, such as Wooden Buildings or Metallic
Building Structures.
(4) Compositions of matter and manufactured or formed stock or
materials will be classified in accordance with the inherent character
of the substance or material where possible, otherwise according to
special use.
Example: A pure chemical is expected to be classified on
the basis of its chemical structure and constituents, even
though useful as a food, medicine, dyestuff, explosive,
etc., and alloys on the basis of metallic composition, even
though used for bearings, coins, tools, etc.; whereas a
physical composition having no reason for existence except
to function as a cleansing composition or a paint might
have to be classified on the basis of its function as a
detergent or a coating composition, respectively. Also a
bimetallic layered foil, plate, or wire would be expected
to be classified as metal stock even though designed for
use for dental filler, plowshare, or electric conductor,
and a woven textile fabric as a fabric even though
described as used for a filter or apron for a paper-making
machine.
DIVISION AND ARRANGEMENT.
(5) The divisions or subclasses of a class should be made exhaustive,
i. e., they should be susceptible of receiving any future invention that
may fall within the scope of the class. The rule as usually phrased is:
"The constituent species must be equal, when added together, to the
genus." Exhaustive division may be secured by maintaining always a
residual or miscellaneous subclass. The miscellaneous subclass
represents the remainder of the original undivided material undefined
except as the class is defined and may be accurately treated as if it
had the class title.
(6) A second rule respecting the subdivision of a class is: "The
constituent species must exclude each other." That is, the divisions or
subclasses must not overlap. (See exception in Rule 8.)
Example: If a number of balls of several different
materials, several different conformations, or
constructions, several different colors, were to be divided
into glass balls, hollow balls, and red balls, this rule
would be violated, because some balls would be glass,
hollow, and red.
(7) A third rule respecting subdivision is: "The divisions must be
founded on one principle or basis." The application of this rule will
generally form divisions that do not overlap. (See exception in Rule 8.)
Example: If a number of balls of several different
constructions, several different materials, and several
different colors were to be classified so as to provide a
place for each kind of characteristic, they should be
divided first, for example, according to construction into
hollow balls and solid balls, each of these according to
materials into glass balls, rubber balls, metal balls,
wooden balls, etc., and each of the latter into red balls,
blue balls, green balls, etc.
(8) When it is found that division into overlapping subclasses and on
different characteristics is a lesser evil than an unwieldy number of
subclasses that would otherwise result, then those subclasses based on
characteristics deemed more important for purposes of search should
precede in the list of subclasses those based upon characteristics
deemed less important. (See Rule 6.)
(9) In arrangement of subclasses or subdivisions the miscellaneous
groups containing material not falling within any of the specifically
entitled subclasses, should stand first; those subclasses defined by
effect or special use should precede those defined by function or
general use; those containing matter that is related to the matter of
other subclasses as whole to part should precede those subclasses that
contain the part; and those defined by a characteristic deemed more
important or significant for search purposes should precede those
defined by characteristics deemed less important.
_Whenever superior rank has been assigned to any selected
characteristic_ by placing divisions based upon it in advance of
divisions based upon other characteristics, _this superiority should be
maintained throughout_.
Example: A partial schedule of Class 80 follows to
illustrate the arrangement of subclasses:
Class 80.--METAL ROLLING.
1. Miscellaneous. | 24. Die rolling--
2. Heating and rolling. | 25. Oscillating rolls.
3. Cutting and rolling. | .. ...
4. Drawing and rolling. | Mills--
5. Annular bodies. | 32. Coiling.
6. Screw threads-- | 33. Work reversing.
7. Concave and roll. | 34. Three or more coacting rolls.
8. Platen rolling-- | 35. Continuous--
9. Dies. | 36. Inclined trains.
10. Rods and wires. | .. ...
11. Tubes-- | 41. Roll cooling and heating.
12. Idle rolls. | 42. Cooling beds.
13. Axial rolling. | 43. Feeding--
14. Segmental rolls. | 44. Tables.
15. Skelping. | .. ...
16. Wheels and disks. | 55. Housings.
17. Reworking. | 56. Roll adjustments--
18. Concave and roll. | 57. Relief devices.
19. Platen and roll. | 58. Rolls--
20. Platen rolling-- | .. ...
21. Disk platens. | 60. Processes--
22. Axial rolling-- | .. ...
23. Pattern rolls. | 66. Flanged bars.
In this schedule the miscellaneous subclass is numbered 1,
then follow three subclasses (2-4) of rolling plus another
function, then four major subclasses (5-16) of rolling,
merely, but applied to blanks of special form producing
special products, then one special subclass (17) based upon
a special class of material treated, then five subclasses
(18-31) specialized in type and mode of operation, then
general types of rolling mills (32-40), then various parts
and accessories (41-59), then processes (60-66). This is
the usual arrangement and is an exhaustive division for the
art of metal rolling. Had there been miscellaneous
subclasses for all combined operations of rolling plus some
other function, a miscellaneous subclass for all mere
rolling machines, either special or general, and a
miscellaneous subclass for all parts and accessories, the
requirements of exhaustive division would have been also
satisfied.
In the illustrative schedule, there being no miscellaneous
subclass for means having combined functions of rolling and
another, any patent having claims for the combination of a
means for rolling and a means for cooling would fall in
subclass 1, Miscellaneous. In that subclass would also fall
all "Mills," such as for rolling spiral conveyer-flights,
the same not falling under any of the subclasses 32-40, no
miscellaneous subclass of "Mills" and no special
article-rolling subclass having been provided; also all
parts or accessories, such as a water-cooled screen,
peculiarly adapted to rolling-mills, there being no
existing subclass of screens therein and no miscellaneous
subclass of parts. The arrangement of subclasses in Class
80 requires that the combination of a furnace and a
rolling-mill shall be placed in subclass 2, even if the
combination be designed and adapted for rolling annular
bodies (subclass 5) or tubes (subclass 11). Means special
to rolling a tube between a concave and roll must be placed
in subclass 13 rather than in subclass 18. A work-reversing
mill must be placed in subclass 33 rather than in subclass
34 even though it have three or more coacting rolls.
The rolling of "Screw-threads" having been given higher
rank than a "Concave and roll" mechanism, any concave and
roll mechanism limited for use in rolling screw-threads
should be formed into a subclass indented under
"Screw-threads" and not into a subclass "Screw-threads"
indented under "Concave and roll."
(10) Class schedules are arranged with certain subclasses appropriately
indented according to a commonly understood expedient. In a properly
indented schedule subclasses in column at the extreme left are the main
species (the proximate species) of the class. The titles and definitions
of all subclasses proximate to the class (at extreme left) must be read
with the title and definition of the class, as if indented under the
class title one space to the right; so also with the titles and
definitions of subclasses indented under other subclasses. If a title
has no number (as in Class 80, "Mills"), it represents merely a
subject-matter to be divided, assumed to have no representatives other
than those in the species indented under it. If a title having indented
species under it has a number, it not only represents a subject to be
divided but also a subclass including all other species not falling
within the indented titles. Indention does not indicate superiority or
inferiority, but merely that the title and the definition of the
indented subclass must be read with the title and definition of the
subclass under which it is indented. A title selected in a scheme of
subdivision to be of first importance and placed, therefore, in advance,
should not thereafter be indented under a title selected to be of
secondary importance and, therefore, having a lower position. (See Rule
8.)
(11) A group of material may be divided on several different bases.
"Use" or "purpose" or "object treated" may be adopted only when the
"use" or "purpose" or "object treated" stamps upon the invention such
peculiarities of operation or construction as to limit the applicability
of the invention to the use or purpose named. (See Basis of
Classification, Rule 1.) A group based upon mode of operation also may
be divided into subclasses (1) with a "functional" title, usually
participial in form, and adapted therefore to receive machines,
processes, and tools; (2) with special use, purpose, or object-treated
title containing the name of the use, purpose, or object; (3) with
"type" title, usually a name or a name with a qualifying adjective; (4)
with a title of a part or subcombination, also a name.
Example: In Class 90, Gear-Cutting, Milling, and Planing,
are to be found subclasses entitled "Gear-cutting," certain
machines being peculiar to that use; also other subclasses
with the general functional title "Planing," subordinate to
which are the special use subclass "Planing, Soft metal,"
and the type subclass "Planers" divided into two coordinate
subclasses, "Reciprocating bed" and "Reciprocating cutter,"
and several subordinate "part" subclasses, including
"Tool-feeds" and "Tool-heads." The adjective form of the
title "Planers, Reciprocating bed," indicates a type
subclass. If the title had been Planers, Reciprocating
beds, the indication would be that the subclass was a part
subclass to receive planer beds only. In the class referred
to for illustration, "Tool-feeds" and "Tool-heads" indicate
subclasses for parts and not for types of planers having
tool feeds.
(12) In arranging the divisions of a class, such arrangement should be
sought as will minimize the need of cross-references. Search for any
particular matter can not always be limited to one group without such
extensive cross-referencing as would in some cases defeat the purpose of
classification. Forming the subdivisions of a class according to the
total similarities of the inventions, rather than according to some
selected more or less important characteristic, and arranging them in
the correct order of superiority and inferiority, with care to maintain
throughout the schedule the relative positional values of the several
selected bases of division, will ordinarily in a closely bonded class
limit the search for any single invention to the subclass particularly
suited to receive it and some subclasses preceding that one, excluding
from the necessity of search the subclasses succeeding.
Example: In Class 80, Metal-Rolling, it would not be
expected to find any tube-rolling mill lower in the
schedule than the tube-rolling subclasses, but a tube-mill
might be found higher up in "Heating and rolling," "Drawing
and rolling," etc. No concave and roll combination should
be found succeeding the subclass of "Concave and roll," but
it may be found under subclasses above, such as "Tubes,
Screw-threads," etc. No rolls should be found lower than
the subclass of "Rolls," but they may be found in many
subclasses above.
DEFINITION.
(13) Having some knowledge of the nature of the materials about to be
classified, a tentative definition of a class to be formed may be
framed, which may be either written down or merely carried in mind, to
serve as a tentative guide. This tentative definition must be considered
as subject to change to any extent by the fuller knowledge obtained by
careful consideration of the material. After a full knowledge of the
materials to be classified has been acquired, it will be necessary to
frame a careful definition of the class, and also of each subclass whose
title does not unequivocally indicate what is contained in it.
(14) A definition of any class should state the "qualities and
circumstances possessed by all the objects that are intended to be
included in the class and not possessed completely by any other
objects." A proper definition should not ordinarily contain the name of
the thing defined. "Definitions in a circle" are, of course, worthless.
A definition should be exactly equivalent to the species defined and
should not be expressed in obscure or ambiguous language, but should
employ terms already defined or perfectly understood. It should not be
in negative form where it can be affirmative. If the class of objects
has a peculiar property, the naming of that may serve as a definition.
If no peculiar property can be detected, the definition should name more
than one quality or property. Several different classes may have one or
more properties alike, but as the number is increased the likelihood of
there being others having the same properties is decreased. The briefest
possible statement of such properties or qualities as are possessed by
all the objects of a class and not completely possessed by any other
objects, which will suffice to distinguish the class from other classes
and determine its position in the general classification, will be most
satisfactory. To define any species, the genus having been defined, the
genus should be named and the difference added. Of course, no generic
definition should contain any limitation not characteristic of every
species of the defined genus. In seeking qualities by which to describe
a genus or species, no accident should be selected.
Example: Suppose there be marked out and defined as a genus
all means whereby one form of energy is transformed into
another form of energy and no more, and the genus be named
energy-transformers. We may then name, as species,
energy-transformers that are motors and energy-transformers
that are not motors. Motors may be defined by merely naming
the genus energy-transformers, and stating the difference,
to wit, continuously transforming energy into cyclical
mechanical motion. Then the definition will be:
Energy-transformers that are adapted to continuously
transform energy into cyclical mechanical motion. The
non-motor division will retain the genus definition.
It would not be illuminating for a searcher having little
familiarity with the textile arts to look under the title
"Carding" and find that carding is defined as a means for
carding fiber.