Appendix B: Description Of The Transaction History Data .

Table B-2: More detailed descriptions of the 100 most common event codes.Rank Code25CTFRDescriptionFinal RejectionFrequency3,160,57426MCTFRMail Final Rejection (PTOL 326)3,156,370EX27IFEEIssue Fee Payment Received2,918,079ISS282930FLRCPT.OR1021D1935Filing ReceiptReceipt into PubsDispatch to FDC2,876,7022,723,6572,715,910PE31PTACPatent Issue Date Used in PTACalculation2,675,276AD71Category DetailsEXAny second or any subsequent actions on the meritsfrom the Examiner may be made final (i.e. finalrejection), except where the Examiner introduces anew ground of rejection that is neither necessitated byapplicant's amendment of the claims nor based oninformation submitted in an information disclosure.Indicates that a final rejection has been mailed in theapplication. This typically follows a response (A ) toa non-final rejection (MCTNF), though it is possible inrare circumstances for a final rejection to occur withouta non-final rejection having occurred (see MPEP706.07(b) regarding first action final rejections). Afinal rejection closes prosecution in an applicationwhere at least one of the claims has been found by theexaminer to be unpatentable.Indicates that the Office has received the issue feefrom applicant. This sets the application status to 94("Publications -- Issue Fee Payment Received"). Theissue fee varies based on the size of the entity applyingfor the patent. As of January 2014, the issue fee rangedfrom 240 for a micro-entity to 960 for a large entity.See 37 CFR 1.18(a)(1) for the current utility patentissue fees.Indicates that a filing receipt has been generated.Dispatch to the Final Data Capture processing centerfor printing and final issue preparationIndicates that the PTA calculation has been made. Alsoindicates that the application has been assigned apatent number and issue date.

Table B-2: More detailed descriptions of the 100 most common event codes.Rank Code32PG-ISSUEDescriptionPG-Pub Issue Notification33Correspondence Address ChangeC.ADFrequency2,668,4482,612,289Category DetailsADIndicates that the Pre-Grant Publication (PG-Pub) ofthe application has been published. This is also a pointat which an application becomes available in publiclyviewable.AAApplicant has submitted a request to change thecorrespondence address or the Office has entered arequested change to the correspondence address. TheOffice will send all notices, official letters, and othercommunications relating to the application to theperson associated with the correspondence address.An applicant may also designate a maintenance feeaddress different from the correspondence address. Allmaintenance fee communicatons will be sent to this feeaddress. Effective February 11, 2014, maintenance feeaddress changes will generate an MFEE.C.AD code.Note that during 2000-2001, a large number ofpreviously-filed correspondence address changes wereentered into the system.34A.PEPreliminary Amendment2,325,11535TSSCOMPIFW TSS Processing by TechCenter Complete2,247,91272AAA preliminary amendment has been filed in theapplication. A preliminary amendment is anamendment that is received in the Office on or beforethe mail date of the first Office action. If present on thefiling date of the application, it is treated as part of theoriginal disclosure of the application.Image File Wrapper Processing by TechnologySupport Staff (TSS)

Table B-2: More detailed descriptions of the 100 most common event codes.Rank Code36PGPCDescriptionSent to Classification ContractorFrequency2,155,10437RQPRRequest for Foreign Priority2,119,29938DVERDocument Verification2,101,20339PA.Change in Power of Attorney(May Include Associate POA)1,936,106Category DetailsPEIndicates that the application has been sent to thecontractor responsible for assigning theclassification(s) of the application. This classificationis necessary in order to route the application to theappropriate Technology Center (TC) within theUSPTO. This sets the status of the application to 17("Sent to Classification contractor").AAApplicant may provide priority papers to support arequest for foreign priority.A Notice of Allowance, for example, must go throughdocument verification.AAApplicant submitted a Power of Attorney document.Applicant may file a change in Power of Attorney atany time during prosecution of an application. ThePOA indicates representatives given permission to acton behalf of the inventor or assignee to prosecute anapplication.Applicant may name as representative any of thefollowing three: (1) one or more joint inventors of theapplication, (2) the registered patent practitionersassociated with a customer number, or (3) ten or fewerindividually listed registered patent practitioners.Regarding associate power of attorney, the practice ofassociate power of attorney was eliminated by theUSPTO effective June 25, 2004. It was supplanted bythe use of customer numbers.73

Table B-2: More detailed descriptions of the 100 most common event codes.Rank Code40A.NEDescriptionResponse after Final .AElectronic InformationDisclosure StatementNotice Mailed--ApplicationIncomplete--Filing DateAssignedExaminer's AmendmentCommunication44BRCE45ABN9Workflow - Request for RCE BeginDisposal for a RCE / CPA / R129Category DetailsAAAmendment provided by the applicant after theExaminer closes prosecution with a final rejection.Amendment is not automatically entered by theExaminer. It will not be entered if it requires additionalsearch or more than cursory review.AAApplicant submitted an electronic IDS.1,682,045PENotice is mailed indicating that a necessary part of theapplication is missing.1,511,110EX1,398,129ADThe examiner amended the application and thatamendment has been processed. Typically, this is donein order to bring the application into condition forallowance and is documented in a Notice ofAllowance.See RCEX below1,394,052ADSee RCEX below74

Table B-2: More detailed descriptions of the 100 most common event codes.Rank Code46RCEXDescriptionRequest for ContinuedExamination (RCE)Frequency1,391,929Category DetailsAAApplicant filed a request for continued examination(RCE).If prosecution in an application is closed, an applicantmay request continued examination (RCE) of theapplication by filing a submission and the fee prior topayment of the issue fee, abandonment of theapplication, or the filing of a notice of appeal. Asubmission includes, but is not limited to, aninformation disclosure statement, an amendment to thewritten description, claims, or drawings, newarguments, or new evidence in support of patentability.The USPTO will withdraw the finality of any Officeaction and the submission will be entered andconsidered.This typically occurs at some point after theapplication has been finally rejected (MCTFR).Currently, an RCE causes the status to change to 30("Docketed New Case - Ready for Examination").Prior to November 2009, an RCE caused the status tochange to 71 ("Response to Non-Final Office ActionEntered and Forwarded to Examiner").47ADDFLFEE48EXIN49FILM50SENTAdditional Application FilingFeesExaminer Interview SummaryRecord (PTOL - 413)1,383,459PE1,268,286EXApplication Captured onMicrofilmWorkflow - File Sent toContractor1,260,466PE1,248,651AD75When an Examiner conducts an interview withapplicant, the Examiner summarizes the record of thatinterview including any agreements reached in anExaminer Interview Summary Record.

Table B-2: More detailed descriptions of the 100 most common event codes.Rank Code51CTRSDescriptionRestriction/Election RequirementFrequency1,239,24152MCTRSMail Restriction Requirement1,237,86853ABN2Aband. for Failure to Respond toO. A.1,232,31354OATHDECL A statement by one or moreinventors satisfying therequirement under 35 USC 115,Oath of the Applic1,230,78755MABN2Mail Abandonment for Failure toRespond to Office Action1,227,860ABNA notice is mailed to the applicant stating that theapplication has been abandoned due to failure torespond to an office action.5657ROIPEWROIPEApplication Return TO OIPEApplication Return from OIPE1,205,5801,202,853PEPEOIPE is the Office for Initial Patent ExaminationOIPE is the Office for Initial Patent Examination76Category DetailsEXRestriction is a generic term that includes the practiceof requiring an election between distinct inventions, forexample, election between combination and subcombination inventions, and the practice relating to anelection between independent inventions, for example,an election of species. An Examiner may make arestriction requirement when an application mayproperly support separate patents and they are eitherindependent or distinct.EXA restriction requirement and/or election of species hasbeen mailed to the applicant. This requires theapplicant to elect an invention and/or species. If theapplication contains claims to multiple independent ordistinct inventions and examination of these multipleinventions would be burdensome, the examiner mayrequire the applicant to elect an invention to beexamined.ABNThe application is considered abandoned because theapplicant did not respond to the examiner's officeaction within 6 months.PE

Table B-2: More detailed descriptions of the 100 most common event codes.Rank Code58ELC.DescriptionResponse to Election /Restriction FiledFrequency1,166,42859TI1050Transfer Inquiry to GAU1,149,392PE60CTAVAdvisory Action (PTOL-303)1,121,270EX61MCTAVMail Advisory Action (PTOL 303)1,119,956EX77Category DetailsAARestriction is a generic term that includes the practiceof requiring an election between distinct inventions, forexample, election between combination and subcombination inventions, and the practice relating to anelection between independent inventions, for example,an election of species. An Examiner may make arestriction requirement when an application mayproperly support separate patents and they are eitherindependent or distinct. The Examiner may make thisrequest either over the telephone, in which case theapplicant's response is recorded in the next Officeaction, or in a separate letter making the Election orRestriction requirement. In the latter case, the applicantresponds to this requirement in a separate responseelecting an invention or species to be examined.Transfer inquiries can be initiated when a case hasbeen docketed to an incorrect art unit or when an undocketed new case is assigned an incorrectclassification.Applicant may submit an amendment in an applicationafter the Examiner has closed out prosecution with afinal rejection. The amendment is not automaticallyentered by the Examiner. If the amendment does notplace the application in condition for allowance, theExaminer will send the applicant an advisory actionnoting whether the proposed amendment will beentered or not, and if not, why it will not be entered.The Examiner also notes to applicant the status of theclaims.Advisory action mailed to the applicant. See CTAVabove.

Table B-2: More detailed descriptions of the 100 most common event codes.Rank Code62MEX.ADescriptionMail Examiner's AmendmentFrequency1,064,1646364DRWFLET.Workflow - Drawings FinishedMiscellaneous Incoming Letter656667EXP.C.ADBSETSExpire PatentCorrespondence Address ChangeSet Application Status941,231909,044858,55868M903Notice of DO/EO ipt DateRecord Copy MailedWorkflow - Drawings Matchedwith File at ContractorNew or Additional DrawingFiledFiling Receipt - UpdatedEXPIRED egory DetailsEXThe examiner amended the application and thisamendment was mailed or otherwise delivered to theapplicant. Typically, this is done in order to bring theapplication into condition for allowance and isdocumented in a Notice of Allowance.ADAAA miscellaneous incoming letter from applicant shallbe submitted any time during prosecution that is notdirected to a requirement, notice or Office action sentby the USPTO. Document may be included in ASFILED.ADAAAnalogous to C.AD above.ADA code primarily used for older applications that havebeen added to Public PAIR.PEThe USPTO sends a Notice to applicant of theacceptance of their application by the USPTO as aDesignated Office or Elected Office when applicant'sinternational application has met all of the criteria forbecoming a US national stage application and isaccepted for national patentability examination in theUSPTO.The applicant has filed a new drawing to accompanythe application.Indicates that a filing receipt has been updated.Code indicates that a provisional application hasexpired after 12 months.

Table B-2: More detailed descriptions of the 100 most common event codes.Rank Code75EX.R76PET.DescriptionReasons for AllowancePetition EnteredFrequency77P102Notification ConcerningPayment of Fees652,795PCT78L198Referred to Level 2 (LARS) byOIPE CSR644,663PE79371COMP371 Completion Date641,222PEIndicator of national stage entry of existing PatentCooperation Treaty (PCT) application. Effective filingdate of resulting regular application.80P105615,448PCT81APPERMSNotification of Intntl. Appl.Number and Intntl. Filing DateApplicants have given acceptablepermission for participatingforeignThe form PCT/RO/105 is akin to a filing receipt for aninternational application.The Priority Document Exchange (PDX) programenables electronic exchange of certified prioritydocuments between the USPTO, EPO, JPO, and KIPO.82L128Cleared by L&R (LARS)584,474PE83N423548,369ISS84DRWIPost Issue Communication Certificate of CorrectionWorkflow - Drawings Receivedat ContractorLicense and Review (L&R) determine whether anapplication will not be published because publicationor disclosure of the application would be detrimental tonational security.Usually to correct minor mistakes that do not affect thescope of the claims.524,486AD709,881685,076Category DetailsEXAnother indicator of allowance.AAAny incoming petition from applicant shall include allpetition attachments submitted during prosecution ofan application that is entered/scanned into the file.586,15479The form PCT/RO/102 is generated for every newinternational application. It provides the applicant withan explanation of all required fees, how much moneyhas been collected for each fee and whether anyaddition money is due.License and Review (L&R / LAR) determine whetheran application will not be published becausepublication or disclosure of the application would bedetrimental to national security.

Table B-2: More detailed descriptions of the 100 most common event codes.Rank Code85N/AP86DISTDescriptionNotice of Appeal FiledTerminal Disclaimer FiledFrequency511,996498,287Category DetailsAAApplicant filed a Notice of Appeal.AA87M327Miscellaneous Communicationto Applicant - No Action Count479,673EX88MM327479,413EX89D1220Mail MiscellaneousCommunication to ApplicantDispatch to Publications471,184AD80After two rejections from the Examiner, an applicantmay file a Notice of Appeal noting that applicant (nowappellant) is appealing the Examiner's decision. Theappeal is to be decided upon by an administrativepatent judge from the Patent Board within the USPTO.The judge weighs the evidence in the Appeal Brief andin an Examiner's Answer to reach a decision.Applicant filed a terminal disclaimer.A timely filed terminal disclaimer may be filed byapplicant to overcome an actual or provisionalrejection based on a nonstatutory double patentingground provided the conflicting application or patent isshown to be commonly owned with this application.The purpose of a terminal disclaimer is to obviate adouble patenting rejection by removing the potentialharm to the public by issuing a second patent, and notto remove a patent as prior art. (For example:PTO/SB/25 or PTO/SB/26)Any communication from the USPTO to applicant thatdoes not fit into any other doc code may be designatedas a miscellaneous communication. Thosecommunications that an Examiner would not receivean action count for would include suchcommunications as supplying a missing page from anOffice action or clarifying an action taken at aninterview.Mailing of a miscellaneous communication. See M327above.

Table B-2: More detailed descriptions of the 100 most common event codes.Rank Code90TR.QDescriptionTransfer InquiryFrequency91MEXINMail Examiner InterviewSummary (PTOL - 413)437,26092PDREQUSTRequest from applicant for theUSPTO to retrieve the PriorityDocument427,01693FTFIFITF set to NO - revise initialsetting425,94794TCPBPrinter Rush- No mailing409,689455,64281Category DetailsPETransfer inquiries can be initiated when a case hasbeen docketed to an incorrect art unit or when anundocketed new case is assigned an incorrectclassification.EXThe Office mailed an interview summary form (PTOL413) to the applicant. This can be its own mailing or anattachment to another Office action. This code wasintroduced in 2001. More specific codes indicatingwhether the interview was applicant-initiated orexaminer-initiated, telephonic, in-person, or a videoconference were introduced starting in 2011.Consequently, use of this code has decreased afterpeaking at 85,679 occurrences in 2010.AARequest from the applicant authorizing the USPTO toelectronically retrieve Official Priority Documentsfrom participating foreign IP Office and enter theminto the file wrapper.PEFirst inventor to file indicator is set to NO. The valueof the FITF indicator determines which prior-artframework will be applied to the application duringexamination. (If NO then pre-AIA. If YES, then theAIA provisions apply.)When there is an issue in an allowed application thatrequires correction or clarification in the TechnologyCenter (TC), the Office of Publications (PUBS) returnsthe application to the TC as a Printer Query. Inresponse, the Examiner may correct and/or initialvarious documents/forms to update the image filewrapper. This code indicates that it was not necessaryto mail documents to the Applicant as part of thePrinter Rush.

Table B-2: More detailed descriptions of the 100 most common event codes.Rank Code95FLFEEDescriptionPayment of additional filingfee/PreexamCase Docketed or Redocketed toExaminer in GAUPubs Case Remand to TCFrequency404,457399,674Category DetailsPEApplicant has paid additional filing fees.96DKSTEX97PUBTC98A.NAAmendment after Notice ofAllowance (Rule 312)385,749AA99P210International Search ReportReady to be Mailed379,628PCT100MP210Mail International Search Report379,552PCT390,952Code was used for 6 months in 2001.An allowed application may be returned to theTechnology Center (TC) for additional work orclarification.When applicant files an amendment after the Notice ofAllowance has been mailed but before the issue fee ispaid, the amendment is not entered automatically. Itmay only be entered upon recommendation of aPrimary Examiner. It will not be entered if it requiresadditional search or more than cursory review.This code refers to prior art searches conducted byUSPTO under the Patent Cooperation Treaty (PCT).Certain PCT applications are assigned to the USPTOas the searching authority. In such cases examiners atUSPTO conduct the prior art search and then forwardthe results of that search to the appropriate authority.This code indicates that the international search reportis ready for mailing.

6 M844 Information Disclosure Statement (IDS) Filed 7,395,622 AA Indicates that an Information Disclosure Statement (IDS) has been filed by the patent applicant. An IDS is typically filed in order to satisfy an applicant's duty of disclosure (37 CFR 1.56). The mechanics and conten