UTBMS codes and LEDES fields
625 codes from 16 published sets, plus every field in 1998B and 98BI.
Try , , ,
What goes on a billing line
- Task
- What the work was about. L330 Depositions.
- Activity
- What you did. A103 Draft/Revise.
- Expense
- What a cost was for. E115 Deposition transcripts.
- Timekeeper
- Who billed it. PARTNR.
Code sets
Litigation1997L1xx-L5xx · 34 codes · ABA
The original ABA litigation code set: 5 phases and 29 task codes, still the most widely used UTBMS set in US ebilling.
| Code | Name | Definition |
|---|---|---|
| L100 | Case Assessment, Development and Administration | Focuses on the case as a whole, the "forest" rather than the "trees". |
| L110 | Fact Investigation/Development | All actions to investigate and understand the facts of a matter. Covers interviews of client personnel and potential witnesses, review of documents to learn the facts of the case (but not for document production, ), work with an investigator, and all related communications and correspondence. |
| L120 | Analysis/Strategy | The thinking, strategizing, and planning for a case, including discussions, writing, and meetings on case strategy. Also includes initial legal research for case assessment purposes and legal research for developing a basic case strategy. Most legal research will be under the primary task for which the research is conducted, such as research for a summary judgment motion (). Once concrete trial preparation begins, use for trial strategy and planning. |
| L130 | Experts/Consultants | Identifying and interviewing experts and consultants (testifying or non-testifying), working with them, and developing expert reports. Does not include preparing for expert depositions () or trial (). |
| L140 | Document/File Management | A narrowly defined task that comprises only the processes of creating and populating document and other databases or filing systems. Includes the planning, design, and overall management of this process. Work of outside vendors in building litigation support databases should be an Expense. |
| L150 | Budgeting | Covers developing, negotiating, and revising the budget for a matter. |
| L160 | Settlement/Non-Binding ADR | All activities directed specifically to settlement. Encompasses planning for and participating in settlement discussions, conferences, and hearings and implementing a settlement. Covers pursuing and participating in mediation and other non-binding Alternative Dispute Resolution (ADR) procedures. Also includes pre-litigation demand letters and ensuing discussions. |
| L190 | Other Case Assessment, Development and Administration | Time not attributable to any other overall task. Specific use in a given matter often may be pre-determined jointly by the client and law firm. |
| L200 | Pre-Trial Pleadings and Motions | Covers all pleadings and all pretrial motions and procedures other than discovery. |
| L210 | Pleadings | Developing (researching, drafting, editing, filing) and reviewing complaints, answers, counter-claims and third party complaints. Also embraces motions directed at pleadings such as motions to dismiss, motions to strike, and jurisdictional motions. |
| L220 | Preliminary Injunctions/Provisional Remedies | Developing and discussing strategy for these remedies, preparing motions, affidavits and briefs, reviewing opponent's papers, preparing for and attending court hearing, preparing witnesses for the hearing, and effectuating the remedy. |
| L230 | Court Mandated Conferences | Preparing for and attending hearings and conferences required by court order or procedural rules (including Rule 16 sessions) other than settlement conferences (). |
| L240 | Dispositive Motions | Developing and discussing strategy for or opposing motions for judgment on the pleadings and motions for complete or partial summary judgment, preparing papers, reviewing opponent's papers, defensive motions (e.g., motion to strike affidavit testimony, Rule 56(f) motion), and preparing for and attending the hearing. |
| L250 | Other Written Motions and Submissions | Developing, responding to, and arguing all motions other than dispositive (), pleadings (), and discovery (), such as motions to consolidate, to bifurcate, to remand, to stay, to compel arbitration, for MDL treatment and for change of venue. |
| L260 | Class Action Certification and Notice | Proceedings unique to class action litigation and derivative suits such as class certification and notice. |
| L300 | Discovery | Includes all work pertaining to discovery according to court or agency rules. |
| L310 | Written Discovery | Developing, responding to, objecting to, and negotiating interrogatories and requests to admit. Includes mandatory meet-and-confer sessions. Also covers mandatory written disclosures as under Rule 26(a). |
| L320 | Document Production | Developing, responding to, objecting to, and negotiating document requests, including the mandatory meet-and-confer sessions to resolve objections. Includes identifying documents for production, reviewing documents for privilege, effecting production, and preparing requested privilege lists. (While a general review of documents produced by other parties falls under this task, coding and entering produced documents into a data base is Task and reviewing documents primarily to understand the facts is Task .) |
| L330 | Depositions | All work concerning depositions, including determining the deponents and the timing and sequence of depositions, preparing deposition notices and subpoenas, communicating with opposing or other party's counsel on scheduling and logistics, planning for and preparing to take the depositions, discussing deposition strategy, preparing witnesses, reviewing documents for deposition preparation, attending depositions, and drafting any deposition summaries. |
| L340 | Expert Discovery | Same as , but for expert witnesses. |
| L350 | Discovery Motions | Developing, responding to, and arguing all motions that arise out of the discovery process. Includes the protective order process. |
| L390 | Other Discovery | Less frequently used forms of discovery, such as medical examinations and on-site inspections. |
| L400 | Trial Preparation and Trial | Commences when lawyer and client determine that trial is sufficiently likely and imminent so that the process of actually preparing for trial begins. It continues through the trial and post-trial proceedings in the trial court. Once trial begins, lawyers who appear in court presumptively should bill their court time to Trial and Hearing Attendance. Litigation work outside the courtroom during this phase (e.g., evenings, weekends and the time of other attorneys and support personnel), should continue to be classified using other Tasks. |
| L410 | Fact Witnesses | Preparing for examination and cross-examination of non-expert witnesses. |
| L420 | Expert Witnesses | Preparing for examination and cross-examination of expert witnesses. |
| L430 | Written Motions and Submissions | Developing, responding to and arguing written motions during preparation for trial and trial, such as motions in limine and motions to strike proposed evidence. Also includes developing other written pre-trial and trial filings, such as jury instructions, witness lists, proposed findings of fact and conclusions of law, and trial briefs. |
| L440 | Other Trial Preparation and Support | All other time spent in preparing for and supporting a trial, including developing overall trial strategy, preparing opening and closing arguments, establishing an off-site support office, identifying documents for use at trial, preparing demonstrative materials, etc. |
| L450 | Trial and Hearing Attendance | Appearing at trial, at hearings and at court-mandated conferences, including the pre-trial conferences to prepare for trial. For scheduling conferences that are denominated as "Pre-Trial Conferences", but not directed toward conduct of the trial, use Task . |
| L460 | Post-Trial Motions and Submissions | Developing, responding to and arguing all post-verdict matters in the trial court, such as motions for new trial or j.n.o.v., for stay pending appeal, bills of costs, and requests for attorney's fees. |
| L470 | Enforcement | All work performed in enforcing and collecting judgments and asserting or addressing defenses thereto. |
| L500 | Appeal | Covers all work on appeal or before a reviewing body. |
| L510 | Appellate Motions and Submissions | Developing, responding to and arguing motions and other filings before a reviewing body, such as motions and other filings for stay pending appeal. |
| L520 | Appellate Briefs | Preparing and reviewing appellate briefs. |
| L530 | Oral Argument | Preparing for and arguing an appeal before a reviewing body. |
eDiscovery (L600)2011L6xx · 34 codes · LOC
Phase-level eDiscovery codes mapped to the EDRM lifecycle, extending the litigation set into the L600 range.
| Code | Name | Definition |
|---|---|---|
| L600 | Identification (NOS) | Catch-all for the phase, including its subcategories. Primarily hourly charges. |
| L601 | Discovery planning | Includes initial review of complaint, development of ESI data map |
| L602 | Interviews | Activities and actions related to the conducting of interviews with custodians, data stewards, or other individuals or groups within the organization. |
| L609 | Quality assurance and control | Activities and actions related to ensuring that the process and practices used to perform analysis meet an acceptable level of defensibility. |
| L610 | Preservation (NOS) | Catch-all for the phase, including its subcategories. Primarily hourly charges. |
| L611 | Preservation order | Activities and actions related to ensuring that data is preserved in accordance with requirements and assist with any efforts to seek relief from preservation order that may be issued by the court. Includes notice letters to other parties. |
| L612 | Legal hold | Activities and actions related to a) developing / drafting of appropriate legal hold for nature of litigation and distributing to identified custodians and data stewards, b) tracking and monitoring of responses received from custodians and including addressing any questions, and c) the release of a custodian or data steward from legal hold due to conclusion of litigation via settlement, conclusion of appeal or otherwise. |
| L619 | Quality assurance and control | Activities and actions related to ensuring that the process and practices used to perform analysis meet an acceptable level of defensibility. |
| L620 | Collection (NOS) | Catch-all for the phase, including its subcategories. Primarily charges on a per custodian or a flat/fixed fee basis. |
| L621 | Collection/Recovery | Activities and actions related to the collection and/or recovery of a) custodial email residing on the network, server, home share or enterprise archive or journal, hard-drives and removable media, as well as paper files, b) collection and/or recovery of non-custodial data the network, server, group shares, removable media and paper files, and c) decrypting files, cracking passwords, files restoration and other forensic analysis activity. Includes selective collection, searches and source imaging. |
| L622 | Media costs | Activities and actions used to track the actual costs of media used for preservation, collection, production and other activities and actions requiring purchase or additional media or use of existing media resources. |
| L623 | Media/ESI Transfer, Receipt, Inventory | Activities and actions related to the transfer, receipt, tracking an inventory of ESI. |
| L629 | Quality assurance and control | Activities and actions related to ensuring that the process and practices used to perform analysis meet an acceptable level of defensibility. |
| L630 | Processing (NOS) | Catch-all for the phase, including its subcategories. Primarily charges on a per GB, per custodian, or a flat/fixed fee basis. |
| L631 | ESI stage, preparation and process | Activities and actions related to staging, preparing and processing ESI. Includes culling, date filtering, key word application, ECA and other related. |
| L632 | Scanning - Hard Copy | Includes OCR, production of metadata, and other services involved around scanning |
| L633 | Foreign language translation | Activities and actions related to foreign language translation of both electronic and paper documents. |
| L634 | Exception handling | Activities and actions related to exception of both electronic and paper documents requiring special handling. Includes decryption. |
| L639 | Quality assurance and control | Activities and actions related to ensuring that the process and practices used to perform analysis meet an acceptable level of defensibility. |
| L650 | Review (NOS) | Catch-all for the phase, including its subcategories. Primarily charges on a hourly, per GB, per document or per page charges. |
| L651 | Hosting costs | Activities and action related to a)creation of the underlying database(s) in which unstructured and structured data which has been processed will reside for access and/or review, b) loading of the processed data into the underlying database(s), c) on-line storage required to store and make the processed data available for access and/or review, d) user access and license fees that provide the user with the ability to access and/or review the hosted data, and e) archiving data from and to on-line storage to a more cost effective for of storage such as near-line, secondary or off-line storage such as tape or cartridge in the event a matter goes dormant for a period of time. |
| L693 | Review Planning & Training | Activities and actions related to the development and providing of initial and ongoing training prior to initial document review or periodically throughout the document review. Includes development of review protocol. |
| L652 | Objective and Subjective coding | Activities and actions related to unitizing and the objective and subjective coding of basic bibliographic information related to both electronic and paper-based data and documents, including auto-coding. |
| L653 | First pass document review | Activities and actions related to performing first pass document review such as determining relevancy, issue coding, tagging, and initial privilege determination. |
| L654 | Second pass document review | Activities and actions related to second pass QC of data and documents coded for relevancy, issue codes, tagging, and initial privilege determination during the first pass review. |
| L655 | Privilege review | Activities and actions related to performing final privilege review and determination of documents, as well as all privilege log related work. |
| L656 | Redaction | Activities and actions related to the development and implementation of a redaction protocol and the actual redaction of data and documents consistent with such a protocol. |
| L659 | Quality assurance and control | Activities and actions related to ensuring that the process and practices used to perform analysis meet an acceptable level of defensibility. |
| L660 | Analysis (NOS) | Activities and actions required by litigation teams to be able to make informed decisions about strategy and scope through reliable methods based on verified data.Catch-all for the phase, including its subcategories. Primarily hourly charges. |
| L670 | Production (NOS) | Catch-all for the phase, including its subcategories. Primarily charges on a per GB, per custodian. or a flat/fixed fee basis. |
| L671 | Conversion of ESI to production format | Activities and actions related to the TIFFing, bates stamping, endorsing, preparation of load files and deliverables to be provided as part of the data and/or document production(s). Also includes any technical time not included in the base production charges. |
| L679 | Quality assurance and control | Activities and actions related to ensuring that the process and practices used to perform analysis meet an acceptable level of defensibility. |
| L680 | Presentation (NOS) | Activities and actions to prepare and display ESI before audiences (at depositions, hearings, trials, etc.), especially in native & near-native forms, to elicit further information, validate existing facts or positions, or persuade an audience.Catch-all for the phase, including its subcategories. Primarily hourly charges. |
| L690 | Project Management (NOS) | Activities or actions to associated with supervising or managing specific activities or actions throughout the EDRM continuum such as conducting meetings and team calls, developing work plans, budgets, forecasts, reports and other meaningful activities or for general project management not associated with a particular "L" code.Catch-all for the phase, including its subcategories. Primarily charges on a hourly or a flat/fixed fee basis. |
Bankruptcy1997B1xx-B4xx · 25 codes · ABA
Bankruptcy task codes derived from the US Trustee code set: administration, operations, claims and plans, and pre-filing advice.
| Code | Name | Definition |
|---|---|---|
| B100 | Administration | |
| B110 | Case Administration | Coordination and compliance matters, including preparation of statement of financial affairs; schedules; list of contracts; United States Trustee interim statements and operating reports; contacts with the United States Trustee; general creditor inquiries. |
| B120 | Asset Analysis and Recovery | Identification and review of potential assets including causes of action and non-litigation recoveries. |
| B130 | Asset Disposition | Sales, abandonment and transaction work related to asset disposition. |
| B140 | Relief from Stay/Adequate Protection Proceedings | Matters relating to termination or continuation of automatic stay under 362 and motions for adequate protection. |
| B150 | Meetings of and Communications with Creditors | Preparing for and attending the conference of creditors, the 341(a) meeting and other creditors' committee meetings. |
| B160 | Fee/Employment Applications | Preparations of employment and fee applications for self or others; motions to establish interim procedures. |
| B170 | Fee/Employment Objections | Review of and objections to the employment and fee applications of others. |
| B180 | Avoidance Action Analysis | Review of potential avoiding actions under Sections 544-549 of the Code to determine whether adversary proceedings are warranted. |
| B185 | Assumption/Rejection of Leases and Contracts | Analysis of leases and executory contracts and preparation of motions specifically to assume or reject. |
| B190 | Other Contested Matters (excluding assumption/rejection motions) | Analysis and preparation of all other motions, opposition to motions and reply memoranda in support of motions. |
| B195 | Non-Working Travel | Non-working travel where the court reimburses at less than full hourly rates. |
| B200 | Operations | |
| B210 | Business Operations | Issues related to debtor-in-possession operating in chapter 11 such as employee, vendor, tenant issues and other similar problems. |
| B220 | Employee Benefits/Pensions | Review issues such as severance, retention, 401K coverage and continuance of pension plan. |
| B230 | Financing/Cash Collections | Matters under 361, 363 and 364 including cash collateral and secured claims; loan document analysis. |
| B240 | Tax Issues | Analyses and advice regarding tax-related issues, including the preservation of net operating loss carry forwards. |
| B250 | Real Estate | Review and analysis of real estate-related matters, including purchase agreements and lease provisions (e.g., common area maintenance clauses). |
| B260 | Board of Directors Matters | Preparation of materials for and attendance at Board of Directors meetings; analysis and advice regarding corporate governance issues and review and preparation of corporate documents (e.g., Articles, Bylaws, employment agreements, compensation plans, etc.) |
| B300 | Claims and Plans | |
| B310 | Claims Administration and Objections | Specific claim inquiries; bar date motions; analyses, objections and allowances of claims. |
| B320 | Plan and Disclosure Statement (including Business Plan) | Formulation, presentation and confirmation; compliance with the plan confirmation order, related orders and rules; disbursement and case closing activities, except those related to the allowance and objections to allowance of claims. |
| B400 | Bankruptcy-Related Advice | |
| B410 | General Bankruptcy Advice/Opinions | Analysis, advice and/or opinions regarding potential bankruptcy related issues, where no bankruptcy case has been filed. |
| B420 | Restructurings | Analysis, consultation and drafting in connection with the restructuring of agreements, including financing agreements, where no bankruptcy case has been filed. |
Counseling1997C1xx-C4xx · 4 codes · ABA
Four broad phases for general legal advice, for work that is not a discrete transaction or dispute.
| Code | Name | Definition |
|---|---|---|
| C100 | Fact Gathering | This phase includes all initial inquiries, meetings and instructions and the identification and collection of information relevant to the assignment. |
| C200 | Researching Law | This phase includes all legal research tasks, including internal meetings and consultations with those with special expertise, and computer and on-line research. |
| C300 | Analysis and Advice | This phase includes all tasks associated with analysis of both the facts and research performed (under and ) and communicating related opinions or advice to clients. Written communication, meetings, and telephone conversations during which advice is conveyed would all be captured by this phase. |
| C400 | Third Party Communication | This phase includes all discussions with third parties not otherwise covered above, such as communications with regulators or parties to contracts with the client. |
Project (transactional)1997P1xx-P8xx · 16 codes · ABA
Eight phases covering non-litigation work that follows a deal or filing lifecycle, with due-diligence sub-tasks in the P200 range.
| Code | Name | Definition |
|---|---|---|
| P100 | Project Administration | Focuses on administrative aspects of the assignment, including planning, budgeting, and maintenance of documents. Covers developing, negotiating, and revising the administrative plan and the budget for a matter. Also includes developing and communicating project status reports. Time coded here is to be distinguished from strategizing about the project, which is included in the code. |
| P200 | Fact Gathering/Due Diligence | Includes all time spent investigating facts, obtaining documents and completing due diligence and the preparation of related reports and reviews with clients. Also includes coordination with third parties (including other counsel) in connection with fact investigation, interviews of client and non-client personnel, document review performed for purposes of identifying, understanding and analyzing facts and issues, and all related communications and correspondence. |
| P210 | Corporate Review | This task includes all fact investigation/due diligence from a corporate perspective, such as structural reviews, material contract reviews, SEC filing reviews, financing document reviews, and industry information reviews. |
| P220 | Tax | This task includes all steps involved in conducting fact investigation/due diligence from a tax perspective. |
| P230 | Environmental | This task includes all fact investigation/due diligence from an environmental perspective. |
| P240 | Real and Personal Property | This task includes all fact investigation/due diligence from a real and personal property perspective. |
| P250 | Employee/Labor | This task includes all fact investigation/due diligence from an employee benefits and labor perspective. |
| P260 | Intellectual Property | This task includes all fact investigation/due diligence from an intellectual property (patent, trademarks, copyrights) perspective. |
| P270 | Regulatory Reviews | This task includes fact investigation/due diligence from a regulatory perspective not covered elsewhere. Includes review of agency filings (e.g., FCC, FTC, and State analogues) by a party to or the subject of the transaction or project. Also includes consumer credit reviews. |
| P280 | Other | This task includes all fact investigation/due diligence not captured more specifically in the codes set forth above. |
| P300 | Structure/Strategy/Analysis | Includes time spent in planning the approach to the deal or project. Tasks include all analysis performed for purposes of developing and reassessing the strategy for the project or transaction, and all steps taken to develop a written outline or description of the structure of a transaction or the strategy for a matter (e.g., term sheets) throughout the life of the matter. |
| P400 | Initial Document Preparation/Filing | This phase includes all tasks undertaken to prepare transaction documents and opinions prior to their being sent to non-client third parties. Also includes all tasks undertaken to file documents (including regulatory filings). All related communications with the client and review of client generated transaction documentation should be coded here. |
| P500 | Negotiation/Revision/Responses | This phase includes conducting negotiations, revising the initial () transaction documentation as a result of such negotiations, attendance at meetings, and responses thereto (including communications with clients with respect thereto). The review of documents received from non-client third parties should also be coded here. |
| P600 | Completion/Closing | This phase includes all tasks related to transaction pre-closing and closing, project completion or filing acceptance, such as attendance at closing. |
| P700 | Post-Completion/Post-Closing | This phase includes all post-completion or post-closing tasks such as amendments to final documentation and resolution of post-closing issues. Also includes all implementation tasks (e.g., funds held in escrow) and preparation of closing binders (i.e., primarily clerical actions). Would not typically include total or significant restructuring which should be considered a new assignment. |
| P800 | Maintenance and Renewal | This phase includes all tasks related to subsequent maintenance and renewal requirements under the terms of the transaction or project such as monitoring of lease agreements, routine waivers and coordination of UCC requirements. |
Activity codes1997A101-A111 · 11 codes · ABA
The original 11 activity codes describing HOW time was spent, paired with a task code on every fee line.
| Code | Name | Definition |
|---|---|---|
| A101 | Plan and prepare for | |
| A102 | Research | |
| A103 | Draft/revise | |
| A104 | Review/analyze | |
| A105 | Communicate (in firm) | |
| A106 | Communicate (with client) | |
| A107 | Communicate (other outside counsel) | |
| A108 | Communicate (other external) | |
| A109 | Appear for/attend | |
| A110 | Manage data/files | |
| A111 | Other |
Activity codes (revised)2013A101-A128 · 28 codes · LOC
The LOC revision of the activity codes: adds billable travel, medical records, training, and 11 discovery/eDiscovery activities.
| Code | Name | Definition |
|---|---|---|
| A101 | Plan and prepare for | Any planning or preparation associated with a matter. Includes budgeting and case assessment services if these are allowed by the client. |
| A102 | Research | Any legal or factual research associated with the matter |
| A103 | Draft/Revise | Any drafting or revision of documents or other material |
| A104 | Review/Analyze | Any review or analysis of documents or other material |
| A105 | Communicate (within legal team) | Any internal communications within firm or with other parties in the legal team representing your client |
| A106 | Communicate (with client) | Any communication by letter, fax, email, telephone, meetings and conferences with client |
| A107 | Communicate (opponents/other outside counsel) | Any communication by letter, fax, email, telephone, meetings and conferences with opposing counsel or other outside counsel not representing your client |
| A113 | Communicate (witnesses) | Any communication by letter, fax, email, telephone, meetings and conferences with witnesses in the legal matter |
| A114 | Communicate (experts) | Any communication by letter, fax, email, telephone, meetings and conferences with experts associated with the legal matter |
| A108 | Communicate (other external) | Any communication by letter, fax, email, telephone, meetings and conferences with other external parties not already specified within these activity codes |
| A109 | Appear For/Attend | Any appearance for or attendance at a scheduled event related to the matter |
| A110 | Manage Data/Files/Documentation | Matter closing and post-closing activities only, especially in transactional matters. Excludes all discovery and eDiscovery related tasks, and any pre-closing filing or other clerical tasks handled at the law firm or by the legal vendor. |
| A112 | Billable Travel Time | Travel time billed by the timekeeper when other billable services are not performed for the client. Includes time spent waiting for a calendar/court call or other scheduled out-of-office event associated with the matter when other billable services are not performed for the client. |
| A115 | Medical Record and Medical Bill Management | Any services associated with the review, compilation, digesting, summary or processing of medical records or bills when performed in-house only |
| A116 | Training | Training services provided by the law firm or legal vendor and billed as an hourly service. Typically technical or project training associated with eDiscovery. |
| A117 | Special Handling Copying/Scanning/Imaging (Internal) | Any special oversized copying, binding, scanning, imaging and photograph reproduction which requires manual handling |
| A118 | Collection-Forensic | For discovery and eDiscovery, the forensic acquisition and analysis of data that includes active files, deleted files and file fragments using specialized software or hardware |
| A119 | Culling & Filtering | For discovery and eDiscovery, activities associated with grouping and filtering documents for processing. Includes deduplication, deNIST, etc. Excludes culling and filtering associated with the creation of a Privilege Log (). * National Institute of Standards & Technology list: has yearly list of "program files" that are removed from collection. |
| A120 | Processing | For discovery and eDiscovery, services associated with the processing of documents, images, files, etc. in a document collection. Includes OCR, importing/ingestion/overlay, exporting, file conversion and/or extraction when billed as a service. Excludes scanning (). |
| A121 | Review and Analysis | For discovery and eDiscovery, the inspection, review, consideration and analysis of documents and/or evidence. Includes coding and relevance issues. Excludes creation of privilege log (). |
| A122 | Quality Assurance and Control | Quality Assurance and Control activities associated with eDiscovery |
| A123 | Search Creation and Execution | For discovery and eDiscovery, creation and execution of electronic document searches irrespective of source of document collection. Excludes legal research (). |
| A124 | Privilege Review Culling and Log Creation | For discovery and eDiscovery, culling and review associated with the creation of a Privilege Log. |
| A125 | Document Production Creation and Preparation | For discovery and eDiscovery, the creation, export or delivery of a document production set including: creation of production export, metadata redaction, creation of delivery media and image branding. Excludes cost of printed set ( or ). |
| A126 | Evidence/Exhibit Creation and Preparation | For discovery and eDiscovery, the creation, export or delivery of trial evidence or exhibits including: creation of video clips and other demonstrative evidence from the collection. |
| A127 | Project Management | Discovery or eDiscovery project management services, including budgeting and case assessment of the project and quality assurance and control. Excludes legal project management of a matter. |
| A128 | Collection Closing Activities | Closing activities related to a Discovery or eDiscovery collection. |
| A111 | Other |
Expense codes1997E101-E124 · 24 codes · ABA
The original 24 expense codes for disbursements billed to the client, from copying through outside professionals.
| Code | Name | Definition |
|---|---|---|
| E101 | Copying | |
| E102 | Outside printing | |
| E103 | Word processing | |
| E104 | Facsimile | |
| E105 | Telephone | |
| E106 | Online research | |
| E107 | Delivery services/messengers | |
| E108 | Postage | |
| E109 | Local travel | |
| E110 | Out-of-town travel | |
| E111 | Meals | |
| E112 | Court fees | |
| E113 | Subpoena fees | |
| E114 | Witness fees | |
| E115 | Deposition transcripts | |
| E116 | Trial transcripts | |
| E117 | Trial exhibits | |
| E118 | Litigation support vendors | |
| E119 | Experts | |
| E120 | Private investigators | |
| E121 | Arbitrators/mediators | |
| E122 | Local counsel | |
| E123 | Other professionals | |
| E124 | Other |
Expense codes (revised)2013X101-X999 · 69 codes · LOC
The LOC revision renumbers expenses into the X range and adds IP, eDiscovery, and technology groups plus reserved custom codes.
| Code | Name | Definition |
|---|---|---|
| X101 | Copies/Blowbacks/Printing-Black & White (Internal) | Any black & white copies, blowbacks, digital prints from images, printing or reprinting costs billed on a per page basis when that printing is performed in-house and not by an external vendor |
| X102 | Copies/Blowbacks/Printing-Color (Internal) | Any color copies, blowbacks, digital prints from images, printing or reprinting costs billed on a per page basis when that printing is performed in-house and not by an external vendor |
| X103 | Copy Service (External) | Any black & white or color copy, binding and reassembly charges when that service is performed by an external party and paid by the law firm or legal vendor |
| X104 | Special Handling Copying/Scanning/Imaging (Internal) | Any special oversized copying, binding, scanning, imaging and photograph reproduction handled in-house which requires manual handling |
| X105 | Word Processing | Any in-house word processing fees. Excludes word processing associated with a Translation (). |
| X106 | Facsimile | Any facsimile charges |
| X107 | Telephone-Local | Any local telephone charges; if VOIP expense bill as a single line item as opposed to a per call charge |
| X108 | Telephone-Long Distance | Any long distance telephone charges; if VOIP expense bill as a single line item as opposed to a per call charge. |
| X109 | Telephone-Mobile | Any mobile telephone charges |
| X110 | Conference Call/Video Call/Webinar Charges | Multi party communication whether by telephone, video or external |
| X111 | Online Legal Research | Any electronic legal research service charges, such as for LexisNexis or Westlaw |
| X112 | Delivery Services/Messengers | Any overnight delivery service like FedEx, UPS or DHL and messenger services including internal law firm or legal vendor messenger services. Excludes Postal Service charges (). |
| X113 | Postage | Any costs for regular, certified and overnight mail through the Postal Service only, and costs for any mailings required by statute when sent through the Postal Service |
| X114 | Local Travel | Any ground transportation (taxi, subway), mileage and parking associated with local travel. Excludes billable travel time (). If client requires a more granular breakdown, law firm or legal vendor should submit separate itemized expense line items. |
| X115 | Out-of-Town Travel | Any airfare, ground transportation (taxi, subway, train), rental car, mileage, parking, and hotel associated with out-of-town travel. Excludes include billable travel time (). If client requires a more granular breakdown, law firm or legal vendor should submit separate itemized expense line items. |
| X116 | Meals | Any meals, whether local or associated with travel, payable by the client |
| X117 | Court and Governmental Agency Fees | Any court or governmental agency fees, including UCC, land record filings and property tax. Excludes late fees (), publication costs () and patent and trademark filing fees (, and ). |
| X118 | Eviction Costs | Any other costs specifically associated with an eviction action not already provided for within the expense codes |
| X119 | Foreclosure Costs | Any other costs specifically associated with a foreclosure action not already provided for within the expense codes |
| X120 | Title Insurance Costs | Any Title Service, examination and abstract costs |
| X121 | Immigration Costs | Any costs associated with an immigration matter, including credentials evaluation, fixed expense allowance, etc., not already specified within these expense codes |
| X122 | Late Fees | Any late fee imposed by a governmental or quasi-governmental agency in any type of matter in order to have a document entered into record past the initial deadline. For IP matters, includes including Petition for Extension of Time and Information Disclosure Statement fees in the US. Excludes any late fee or finance charge on overdue legal bills. |
| X123 | Publication Costs | Any fees associated with publishing an official notice on the matter as required by statute. Excludes electronic or bound resource material purchased for use as a reference () or legal research service costs (). |
| X124 | Publications/Books/Treatises | Costs for any publications, books or treatises Excludes LEXIS, Westlaw or similar online legal research service () |
| X125 | ATE Premiums/Insurance | The cost of ATE (After the Event) Insurance to indemnify legal costs in the event the litigation or arbitration is unsuccessful |
| X126 | Witness Fees | Any sheriff or service fees and other costs associated with the testimony of a witness at court or in a similar legal proceeding |
| X127 | Deposition Transcripts | Any court reporter and transcript fees associated with the taking of a deposition. Excludes videotape deposition costs (). |
| X128 | Trial Transcripts | Any court reporter and transcript fees associated with trial transcripts |
| X129 | Trial Exhibits | Costs for materials associated with the creation of or obtaining a copy of a Trial Exhibit |
| X130 | Medical Records Costs | Costs for obtaining copies of medical records |
| X131 | Medical Records Analysis | Any analysis, creation of a summary or digesting of medical records, when this task is outsourced to a third party and paid by the law firm or legal vendor |
| X132 | Medical Record Service Provider Fees | Any third party medical record service provider fees billed as an expense as opposed to a service, when this task is outsourced to a third party and paid by the law firm or legal vendor |
| X133 | Private Investigators, Investigative Reports and Investigation Fees | Any Private Investigator costs or the cost of any reports prepared by an investigator or in conducting an investigation Includes motor vehicle, Social Security, post office, skip/trace, background check and other similar types of investigative reports |
| X134 | Arbitrators/Mediators | Any Arbitrator/Mediator fees and any fees associated with the Arbitration/Mediation process |
| X135 | Local Counsel | Any local counsel fees paid directly by the law firm or legal vendor |
| X136 | Appraiser/Appraisal Fees | Any Appraiser's fees, appraisal costs or cost of an appraiser's report |
| X137 | Experts, Consultants, Other Vendors and Professionals | This code is a catch-all for any experts, consultants or other vendors used in a matter where the types of services provided by the vendor do not apply to any other code specified in this list |
| X138 | Litigation Support Vendors | Any litigation support or eDiscovery vendor bill paid directly by the law firm or legal vendor and passed through to the client for reimbursement |
| X139 | Translation | Any translation fees including the preparation and keyboarding (typing) of documentation. Excludes general word processing charges (). |
| X140 | Special Purpose Location/Office Rental | Any costs for special purpose war rooms, conference rooms, etc. for a matter or case; typically associated with a trial. Excludes general office rent or after-hours facilities charges. |
| X141 | Special Purpose Moving and Storage Fees | Any costs for moving and storage of physical objects; typically associated with a trial. Excludes internal data storage fees (). |
| X142 | Settlement Costs | Any settlement costs paid by the law firm or legal vendor on behalf of the client that have not been prepaid by the client |
| X143 | Bank Fees | Any reimbursable bank fees associated with the matter. This type of expense is more typically reimbursed outside the US. |
| X200 | Drawings | Any costs for drawings prepared by external draftsman |
| X201 | Patent and Trademark Records | Any costs for obtaining patent copies, priority documents, file histories and other intellectual property records |
| X202 | Patent and Trademark Searching and Monitoring | Any searching and monitoring costs, including any monitoring or watch service for a trademark, brand or domain name. Excludes on-line legal research () or discovery/eDiscovery culling and filtering (). |
| X203 | Patent and Trademark Prosecution Application Official Fees, Excluding Prosecution Post-Issuance and Opposition Fees | Any Patent and Trademark Prosecution official fees paid to governmental and quasi-governmental entities in order to obtain a patent or trademark, including those paid to Patent and Trademark Offices, the World Intellectual Property, Notaries, consulates, and embassies. Excludes post-issuance prosecution () or opposition () fees. |
| X204 | Patent and Trademark Prosecution Post-Issuance (Patent Maintenance and Trademark Renewal) Fees, Excluding Prosecution Application and Opposition Fees | Any Patent and Trademark Prosecution official fees paid to governmental and quasi-governmental entities in order to maintain an issued patent or trademark in force, including those paid to Patent and Trademark Offices, the World Intellectual Property, Notaries, consulates, and embassies. Excludes prosecution application () or opposition fees (). |
| X205 | Official Fees, Patent and Trademark Opposition Fees, Excluding Prosecution (Application or Post-Issuance) Fees | Any fees associated with the opposition of a patent or trademark. Excludes prosecution application () or post-issuance maintenance () fees. |
| X206 | IP Annuity Payments | Any IP annuity payments |
| X207 | IP Holdbacks | Any IP holdbacks |
| X300 | Discovery/eDiscovery Collection-Forensic | Any costs associated with the retrieval of collection materials for forensic purposes when billed as an expense instead of a service |
| X301 | Discovery/eDiscovery Collection-Third Party | Any costs associated with the retrieval of collection materials from a third party when billed as an expense instead of a service |
| X302 | Discovery/eDiscovery Culling & Filtering | Any activities associated with grouping and filtering documents for processing when billed as an expense instead of a service. Includes deduplication, deNIST, etc. Excludes culling and filtering associated with the creation of a Privilege Log (). * National Institute of Standards & Technology list: NIST produces a yearly list of "program files" that are removed from collection |
| X303 | Bates Stamping/ Control Numbers | Any Bates labels costs or other type of image or numbering associated with a document collection |
| X304 | Discovery/eDiscovery Review and Analysis | Any costs associated with the inspection, review, consideration and analysis of documents and/or evidence, relevance issues, quality assurance and control when billed as an expense instead of a service. Excludes creation of privilege log (). |
| X305 | Discovery/eDiscovery Privilege Review Culling and Log Creation | Culling and review associated with the creation of a Privilege Log when billed as an expense instead of a service |
| X306 | Discovery/eDiscovery Document Production Creation and Preparation | Any services associated with the creation, export or delivery of a document production set including: creation of production export, metadata redaction, creation of delivery media and image branding, when billed as an expense instead of a service. Excludes creation of printed set ( or ). |
| X309 | Discovery/eDiscovery Evidence/Exhibit Creation and Preparation | Any services associated with the creation, export or delivery of trial evidence or exhibits including: creation of video clips and other demonstrative evidence from the collection when billed as an expense instead of a service. |
| X307 | Electronic Media Cost | Material cost only, whether CD, DVD, hard drive or other device used to move a data collection. Excludes hardware not used to move a data collection (). |
| X308 | Discovery/eDiscovery Technical Services-Other | Any Discovery or eDiscovery technical costs not otherwise indicated when billed as an expense instead of a service; also includes videotape deposition costs. |
| X400 | Software License/User Access Fee | Any software licensing or user access fees associated with subscription-or SaaS-based fees. Indicate # of users as units; if different rates depending on user type, split into multiple expense lines by rate. |
| X401 | Subscription Fee | Delivery of information via a subscription fee as opposed to a per user license fee or on a transaction basis. Indicate # of subscriptions as units; if different rates depending on type of subscription, split into multiple expense lines by rate. |
| X402 | Transaction Fee | Delivery of information on a transaction basis as opposed to a per user license fee or a subscription fee. Indicate # of transactions as units; if pricing varies by transaction, split into multiple expense lines by rate. |
| X403 | Hardware Costs | Any hardware purchased, including cell phones/PDAs/Blackberries; desktops/laptops/tablets; DVD/CD Drives; external hard drives; servers; USB drives or future technology hardware device. Excludes material costs for electronic media devices used to move a data collection in eDiscovery (). |
| X404 | Hosting Fees-Internal | Any charges for hosting of electronic material typically associated with an application, database or data warehouse. May be on-site or off-site, but managed by the law firm or legal vendor. Excludes Data Storage Fees (). |
| X405 | Data Storage Fees-Internal for Individualization | Data storage fees for electronic material, typically charged by the space utilized. May be on-site or off-site but charged by law firm or legal vendor to client. Excludes Hosting Fees (). |
| X900-X998 | Reserved | Code numbers within this range are reserved for individualization by vendors or clients |
| X999 | Other | Any other cost not specified in these expense codes |
Patent2007PA1xx-PA9xx · 50 codes · LOC
Patent task codes covering investigation, domestic and international preparation and prosecution, opinions, and portfolio work.
| Code | Name | Definition |
|---|---|---|
| PA100 | Assessment, Development, and Administration | |
| PA110 | Fact Investigation and Development | All actions to investigate and understand the facts of a matter that are not included under another patent task code below. Covers interviews of client personnel and potential witnesses, review of documents to learn the facts of a potential case, work with an investigator, and all related communications and correspondence. |
| PA120 | Analysis/Strategy | The thinking, strategizing, and planning for a case that is not included under other patent task codes below. Includes discussions, writing, and meetings on case strategy. Also includes initial legal research for case assessment purposes and legal research for developing a basic case strategy. Most legal research and/or other activity will be under the primary task for which the research is conducted, such as research for a response to an office action under . |
| PA130 | Document/File Management | A narrowly defined task that includes creating and populating document and other databases or filing systems, that does not fit under other task codes below. Includes the planning, design, and overall management of this process. Work of outside vendors in building litigation support databases should be an expense under E100. Calendaring (or "docketing" in the U.S.) should be included under the appropriate task codes below for each matter unless, otherwise instructed by the client. |
| PA140 | Budgeting | Covers developing, negotiating, and revising the budget for a matter that does not fit under other task codes below. Cost estimates which are included as part of other activities, such as reporting an Official Communication from a patent Office, should be included under the appropriate task codes below, unless otherwise instructed by the client. |
| PA199 | Other Assessment, Development, or Administration | Use only for assessment, development, administration and other activities that can not be included under a previous code, or as instructed by the client. |
| PA200 | Patent Investigation and Analysis | |
| PA210 | State-of-the-Art Investigation | All actions associated with determining the state of the art in a particular area of technology, including definition of the scope and field of the search, searching, analysis of search results, and reporting to client. Also known as a "collection" search, a state-of-the-art search is the broadest and most general type of patent search with a field that may include published patent applications, expired and unexpired patents, non-patent literature, and/or other sources. State-of-the-art searches are typically conducted, if at all, during the conceptual design phase when the scope of the investigation is least defined. State-of-the-art searches may also be used to help identify technology that is disclosed in expired patents and may therefore be freely copied by anyone. Work of outside vendors in conducting searches or otherwise assisting investigation should be an expense under E100. |
| PA220 | Patentability Investigation | All actions associated with determining the approximate scope of patent protection that may be available for a client's invention, including definition of the scope and field of the search, searching, analysis of search results, and reporting to client. Also known as a "novelty" or "prior art" search, the field of a patentability search is often similar to that of a state-of-the-art search. However, patentability searches are typically conducted after any market research or conceptual engineering has been completed so that the scope of the investigation is described by at least an informal structural or functional description of an invention. Often a patentability search will also locate expired and/or lapsed patents disclosing technology that may be freely copied in order to improve the invention. Thus, a patentability search may include various aspects of a state-of-the-art search. Work of outside vendors in conducting searches or otherwise assisting the investigation should be an expense under E100. |
| PA230 | Clearance Investigation | All actions associated with determining whether a proposed product or process might be covered by the claims of patents and/or published patent applications, including definition of the scope and field of the search, searching, search field integrity checking, analysis of search results, and reporting to client. Also known as a "right-to-use" or "non-infringement" search, the field of a clearance search is often limited to the patent claims in a very narrow technical area. The purpose of an infringement search is to determine whether there are claims in those patent documents that might be broadly construed to cover a well-defined, commercial embodiment of a product or process. Since interpretation of the patent claims may require review of the disclosure, patentability and clearance investigations are sometimes performed concurrently. Work of outside vendors in conducting searches or otherwise assisting the investigation should be an expense under E100. Any formal clearance opinion directed at specific patents should be prepared separately under . |
| PA240 | Validity Investigation | All actions associated with determining whether a patent claim is invalid including definition of the scope and field of search, searching, analysis of search results, and reporting the search results to the client. A validity search attempts to locate "prior art" documents and/or other information that were not considered during the examination of the corresponding patent application but appear to disclose the features recited in a patent claim. The field of the search can vary widely depending upon the technology under consideration. Work of outside vendors in conducting searches or otherwise assisting the investigation should be an expense under E100. Any formal invalidity opinion should be prepared separately under . |
| PA250 | Publication Watches | All actions associated with planning, completing, and reporting the results of periodic searches for new publications in connection with a specific assignee, area of technology, patent application, or issued patent. For example, this may include watching the file history of published applications for new Official Communications, responses, and/or publication for opposition. Work of outside vendors in conducting searches or otherwise assisting the investigation should be an expense under E100. |
| PA260 | Infringement Investigation | All actions associated with determining which of a client's patent claims may cover a non-client's products or processes, including collecting patent and/or product information, obtaining any product samples, comparing the products to the client's patent claims, and reporting the results to the client. Work of outside vendors, such as private investigators, in assisting the investigation should be an expense under E100. Any formal infringement opinion should be prepared separately under , including any formal documentation that is to be used in order to support a complaint for patent infringement. |
| PA270 | Status Investigation | All actions associated with determining the status of a published or unpublished patent application, or issued patent, including application and/or database review and forwarding report to client. Includes annuity and/or maintenance fee status investigations. Work of outside vendors in conducting searches or otherwise assisting the investigation should be an expense under E100. |
| PA299 | Other Patent Investigation and Analysis | Use only for patent investigation and analysis activities that can not be included under a previous code, under (Opinion Preparation), or as instructed by the client. |
| PA300 | Domestic Patent Preparation | |
| PA310 | Provisional Application Preparation - Domestic | All actions associated with completing a provisional patent application that is to be filed in the ("domestic") home country or region of the applicant, including review of invention disclosure materials and prior art, interviews with the inventors, drafting and revision of application, preparation and execution of formal documentation (such as assignments, transmittals, and biological deposits), filing of application, and reporting to the client. Note that government fees and external expenses (or "disbursements" in the U.S.) are included under E100. |
| PA320 | Non-Provisional Application Preparation - Domestic | All actions associated with completing a non-provisional utility or utility model (but not design or provisional) patent application that are to be filed in the ("domestic") home country or region of the applicant, including review of invention disclosure materials and prior art, interviews with the inventors, drafting and revision of application, preparation and execution of formal documents (such as assignments, declarations, information disclosure statements, transmittals, and biological deposits) filing of application, and reporting to the client. Includes preparation of PCT, European and other regional applications when filed in the home country of the applicant. Note that government fees and external drafting expenses (or "disbursements" in the U.S.) are included under E100. |
| PA330 | Design Application Preparation - Domestic | All actions associated with completing a design patent (but not utility or utility model) application or design registration application that are to be filed in the ("domestic") home country or region of the applicant, including review of invention disclosure materials and prior art, interviews with the inventors, drafting and revision of application, preparation and execution of formal documents (such as assignments, declarations, information disclosure statements, and transmittals) filing of application, and reporting to the client. Note that government fees and external drafting expenses (or "disbursements" in the U.S.) are included under E100. |
| PA340 | Plant Patent Preparation - Domestic | All actions associated with completing plant patent applications that are to be filed in the ("domestic") home country or region of the applicant, including review of invention disclosure materials and prior art, interviews with the inventors, drafting and revision of application, preparation and execution of formal documents (such as assignments, declarations, information disclosure statements and transmittals, and biological deposits) filing of application, and reporting to the client. Note that government fees and external imaging expenses (or "disbursements" in the U.S.) are included under E100. |
| PA350 | Continuing Application Preparation - Domestic | All actions associated with completing a continuing patent application (claiming priority to an earlier-filed, parent application in the same country, without adding any new disclosure) that are to be filed in the ("domestic") home country or region of the applicant, including review of parent application, drafting and execution of any formal documents (such as transmittals and information disclosure statements), filing of application, and reporting to the client. Includes Divisional and Reissue Applications, and Reexamination Requests. Also includes PCT National Phase entry where the parent PCT International Application was previously filed in the same country. For PCT National Phase entry in other (non-domestic or "international") countries, use . Note that (so-called "continuation-in-part") patent applications extending the scope of the disclosure (or adding "new matter" in the U.S.) in an earlier-filed application are included under - 340. Also note that government fees (and other "disbursements" in the U.S.) and external imaging expenses are included under E100. |
| PA360 | Validation Patent Application Preparation - Domestic | All actions associated with the preparation and filing of applications for validation of an issued regional patent in the ('domestic') home country of the applicant. Note that PCT National Phase Entry is a continuing application process included under or . |
| PA399 | Other Patent Application Preparation - Domestic | Use only for patent application preparation activities for applications that are to be filed in the ("domestic") home country or region of the applicant, and that can not be included under a previous code, or as instructed by the client. |
| PA400 | Domestic Patent Prosecution | |
| PA410 | Information Disclosure Statement - Domestic | All action associated with bringing prior art, or other information, to the attention of an Examiner in the home country of the applicant in connection with an application that was previously filed under . Note that Information Disclosure Statements that are filed with the application are included under . |
| PA420 | Preliminary Amendment - Domestic | All action associated with revising an application prior to the examination of the application on its merits in the home country of the applicant for an application filed under , including preparation of amendments and revised drawings that do not affect the scope of the disclosure. Note that Preliminary Amendments that are filed with a continuing application without affecting the scope of the disclosure are included under . Also note that preliminary amendments extending the scope of the disclosure ("new matter" in the U.S.) in an earlier-filed application and requiring the issuance of a new application number ("continuation-in-part" or "CIP" applications in the U.S.) are included under -340. |
| PA430 | Official Communication - Domestic | All action associated with processing an Official Communication from a Patent Office (known as an "Office Action" in the U.S. when directed toward the merits of the application) in the home country of an application for an application filed under , including initial review and any calendaring ("docketing" in the U.S.) of any response deadline, report to client with any proposed response, review of applicant's instructions and inventor's comments, preparation of amendments and/or responsive arguments, examiner interviews, and report of actions to the client. Includes activities associated with Official Communications not affecting the merits of the application, such as filing receipts, restriction/election requirements, and annuity/maintenance fee payments. Also includes "Petitions" and other requests for supervisory action that are not decided by a quasi-judicial appellate tribunal within the Patent Office, such as petitions to reinstate an abandoned application in the U.S. Appeals, Oppositions, Interferences, and other quasi-judicial proceedings. |
| PA440 | Quasi-Judicial Administrative Proceedings - Domestic | All action associated with completing a quasi-judicial proceeding before an administrative tribunal associated with the Patent Office of the home country of the applicant in connection with an application filed under , including Appeals, Oppositions, Interferences, and other ex-parte and inter-partes proceedings. Includes collecting evidence, preparing and filing motions, briefs, responses, replies, surreplies, and other documents, attending conferences, depositions, hearings, and other proceedings. Does not include requests for supervisory action ("Petitions" in the U.S.) under . Note that external expenses (or "disbursements" in the U.S.) are included under E100. |
| PA450 | Post-Issuance Remedial Action - Domestic | All actions associated with completing activities in connection with any necessary remedial action, after issuance of a patent in the ('domestic') home country of the applicant, such as the filing of a Certificate of Correction, and correcting patent term in view of patent term adjustment (mis)calculation in the U.S.. Note that government fees and external expenses are included under E100. |
| PA499 | Other Patent Prosecution - Domestic | Use only for patent prosecution activities for applications that are to be initially filed in the ("domestic") home country or region of the applicant, and that can not be included under a previous code, or as instructed by the client. |
| PA500 | International Patent Preparation | |
| PA510 | Provisional Application Preparation - International | All actions associated with completing a provisional patent application that is to be filed outside the ('domestic') home country or region of the applicant, including translations, review of invention disclosure materials and prior art, interviews with the inventors, drafting and revision of application, preparation and execution of formal documentation (such as assignments, transmittals, and biological deposits), filing of application, and reporting to the client. Note that government fees and other external expenses are included under E100. |
| PA520 | Non-Provisional Application Preparation - International | All actions associated with completing a non-provisional, utility or utility model (but not design or provisional) patent application that is to be filed outside the ('domestic') home country or region of the applicant, including translations, review of any invention disclosure materials or parent applications, drafting of application including pre-filing revision of a parent applications, preparation and execution of formal documents (such as assignments, declarations, information disclosure statements, transmittals, and biological deposits) filing of application, and reporting to the client. Includes PCT International Applications when filed outside the home country of the applicant. Note that government fees and other external expenses are included under E100. |
| PA530 | Design Application Preparation - International | All actions associated with completing a design patent (but not utility or utility model) applications or design registration applications that are to be filed outside the ('domestic') home country or region of the applicant, including translations, review of any invention disclosure materials or parent applications, drafting of application including pre-filing revision of parent applications, preparation and execution of formal documents (such as assignments, declarations, information disclosure statements, and transmittals) filing of application, and reporting to the client. Note that government fees and other external drafting expenses are included under E100. |
| PA540 | Plant Patent Preparation - International | All actions associated with completing plant patent applications that are to be filed outside the ('domestic') home country or region of the applicant, including translations, review of any invention disclosure materials or parent applications, drafting of application including pre-filing revision of parent applications, preparation and execution of formal documents (such as assignments, declarations, information disclosure statements, transmittals, and biological deposits) filing of application, and reporting to the client Note that government fees and other external expenses are included under E100. |
| PA550 | Continuing Application Preparation - International | All actions associated with completing a continuing patent application (claiming priority to an earlier-filed application in the same country, but without adding new disclosure) that are to be filed outside the ('domestic') home country or region of the applicant, including translations, review of any invention disclosure materials or parent applications, drafting of application including pre-filing revision of any parent applications, preparation and execution of formal documents (such as assignments, declarations, information disclosure statements, transmittals, and biological deposits) filing of application, and reporting to the client. Also includes PCT National Phase entry where the parent PCT International Application was previously filed in another country. For PCT National Phase entry in the applicant's home country, use . Note that (so-called "continuation-in-part") patent applications extending the scope of the disclosure (or so-called "new matter" in the U.S.) in an earlier-filed application are included under - . Also that government fees and other external expenses are included under E100. |
| PA560 | Validation Patent Application Preparation - International | All actions associated with the preparation and filing of applications for validation of an issued regional patent outside of the ('domestic') home country of the applicant. Note that PCT National Phase Entry is a continuing application process included under or . |
| PA599 | Other Patent Application Preparation - International | Use only for preparation activities in connection with patent applications that are to be filed outside the ('domestic') home country or region of the applicant, and that can not be included under a previous code, or as instructed by the client. |
| PA600 | International Patent Prosecution | |
| PA610 | Information Disclosure Statement - International | All action associated with bringing prior art, or other information, to the attention of an Examiner outside the home country of the applicant in connection with an application filed under . Note that Information Disclosure Statements that are filed with the application are included under . |
| PA620 | Preliminary Amendment - International | All action associated with revising an application prior to the examination of the application on its merits outside the home country of the applicant in an application filed under , including preparation of amendments and revised drawings that do not affect the scope of the disclosure. Note that Preliminary Amendments that are filed with a continuing application, but do not affect the scope of the disclosure are included under . Also note that preliminary amendments extending the scope of the disclosure in a parent application, and requiring the issuance of a new application number, are included under -540. |
| PA630 | Official Communication - International | All action associated with processing an Official Communication from a Patent Office outside the home country of the applicant in connection with an application filed under , including initial review and calendaring of any response deadline, report to client with any proposed response, review of applicant's instructions and inventor's comments, preparation of amendments and/or responsive arguments, examiner interviews, and report of actions to the client. Includes activities associated with Official Communications not affecting the merits of the application, such as filing receipts, restriction/election requirements, and annuity/maintenance fee payments. Also includes "Petitions" and other requests for supervisory action that are not decided by a quasi-judicial appellate tribunal within the Patent Office, such as petitions to reinstate an abandoned application in the U.S. Appeals, Oppositions, Interferences, and other such quasi-judicial proceedings before an administrative tribunal associated with the Patent Office are included under . |
| PA640 | Quasi-Judicial Administrative Proceedings - International | All action associated with completing a quasi-judicial proceeding before an administrative tribunal associated with a Patent Office outside of the home country of the applicant in connection with an application filed under , including Appeals, Oppositions, Interferences and other ex-parte and inter-partes proceedings. Includes collecting evidence, preparing and filing motions, briefs, responses, replies, surreplies, and other documents, attending conferences, depositions, hearings, and other proceedings. Does not include requests for supervisory action ("Petitions" in the U.S.) under . Note that external expenses are included under E100. |
| PA650 | Post-Issuance Remedial Action - International | All actions associated with completing a continuing patent application (claiming priority to an earlier-filed, parent application in the same country, without adding any new disclosure) that are to be filed outside of the ("domestic") home country or region of the applicant, including review of parent application, drafting and execution of any formal documents (such as transmittals and information disclosure statements), filing of application, and reporting to the client. Includes Divisional and Reissue Applications, and Reexamination Requests. |
| PA699 | Other Patent Prosecution - International | Use only for patent prosecution activities in connection with applications that are ("International-") filed outside the home country or region of the applicant, and that can not be included under a previous code, or as instructed by the client. |
| PA700 | Other Patent-Related Tasks | |
| PA710 | Opinion Preparation | All action associated with the completing formal legal opinions on the validity, enforceability, infringement, and/or non-infringement of a patent claim. Includes opinions on infringement of a client's patent by a non-client infringer. |
| PA720 | Portfolio Analysis and Management | All action associated with reviewing, analyzing, documenting, and managing a portfolio of patents. Includes patent "due diligence" during transactional analysis. |
| PA730 | Assignments and Security Interests | All actions associated with negotiating and preparing assignment (i.e. previously registered or filed application) or security interest, including review of file history, checking status and meeting with client. Work of outside vendors in conducting searches or otherwise assisting investigation should be an expense under E100. |
| PA740 | Licensing | All actions associated with negotiating and preparing license. |
Trademark2007TR1xx-TR9xx · 41 codes · LOC
Trademark task codes for clearance, filing, prosecution, oppositions, renewals, and enforcement work.
| Code | Name | Definition |
|---|---|---|
| TR100 | Assessment, Development, and Administration | |
| TR110 | Fact Investigation and Development | All actions to investigate and understand the facts of a matter that are not included under another trademark task code below. Covers initial meeting to discuss new matter, interview of client personnel and potential witnesses, review of documents to learn the facts of a potential case, work with an investigator, and all related communications and correspondence. |
| TR120 | Analysis/Strategy | The thinking, strategizing, and planning for a case that is not included under other trademark task codes below. Includes discussions, writing, and meetings on case strategy. Also includes initial legal research for case assessment purposes and legal research for developing a basic case strategy. Most legal research and/or other activity will be under the primary task for which the research is conducted, such as research for a response to an office action under and respectively. |
| TR130 | Document/File Management | A narrowly defined task that includes creating and populating document and other databases or filing systems, that does not fit under other task codes below. Includes the planning, design, and overall management of this process. Work of outside vendors in building litigation support databases should be an expense under E100. Calendaring (or "docketing" in the U.S.) should be included under the appropriate task codes below for each matter unless, otherwise instructed by the client. |
| TR140 | Budgeting | Covers developing, negotiating, and revising the budget for a matter that does not fit under other task codes below. Cost estimates which are included as part of other activities, such as reporting an Official Communication from a Trademark Office, should be included under the appropriate task codes below, unless otherwise instructed by the client. |
| TR199 | Other Assessment, Development, or Administration | Use only for assessment, development, administration and other activities that can not be included under a previous code, or as instructed by the client. |
| TR200 | Trademark Investigation and Analysis | |
| TR220 | Registerability Investigation | All actions associated with determining the initial availability and registerability of a particular trademark, including the definition of the scope of protection, searching, analyzing search results, and reporting results to the client. Also known as a "knock out" search, or 'preliminary' search, it is the most general type of trademark search which usually encompasses a review of trademark registry records, such as pending trademark applications, active trademark registrations, and abandoned trademark applications and registrations. Preliminary searches are conducted to determine if a full clearance investigation is warranted under . Work of outside vendors in conducting searches or otherwise assisting the investigation should be an expense under E100. Any formal opinion should be prepared under . |
| TR230 | Clearance Investigation | All actions associated with determining the final availability and registerability of a particular trademark, including definition of the scope of protection, searching, analyzing the search results, and reporting the results to the client. Also known as a "full" search, a clearance search is the broadest type of trademark search which includes review of pending trademark applications, active trademark registrations, abandoned trademark applications and registrations, public and corporate records, government publications and various databases. Any formal opinion should be prepared under . Work of outside vendors in conducting searches or otherwise assisting investigation should be an expense under E100. |
| TR240 | Opposition Investigation | All actions associated with investigating a claim or potential claim of trademark opposition, trademark infringement or trademark dilution before a trademark office tribunal, including definition of the scope of the investigation, searching, analyzing the search results, and reporting the search results to the client. Work of outside vendors in conducting searches or otherwise assisting the investigation should be an expense under E100. This code set is for determining the facts and recommendations of an opposition matter. Any formal opinion should be prepared under . Any subsequent work completed in a contested matter would be completed under or respectively. |
| TR250 | Publication Watches | All actions associated with planning, completing, and reporting the results of periodic searches for conflicting trademarks. For example, this may include monitoring the file history of trademark applications, and/or publication for opposition. Work of outside vendors in conducting searches or otherwise assisting the investigation should be expensed under E100. |
| TR260 | Enforcement Investigation | All actions associated with investigating a claim or potential claim of trademark infringement, dilution or unfair competition before a court of jurisdiction, including definition of the scope of the investigation, searching, analyzing the search results, and reporting the search results to the client. Work of outside vendors in conducting searches or otherwise assisting the investigation should be an expense under E100. This code set is for determining the facts and recommendations of an enforcement matter. Any subsequent work completed in a contested matter would be expensed under general litigation codes. Any formal opinion should be prepared under . |
| TR270 | Status Investigation | All actions associated with determining the status of a pending or registered trademark, including inquiries with the trademark office, directing outside counsel and database review, and forwarding status report to the client. Includes annuities or maintenance fee status investigations. Work of outside vendors in conducting searches or otherwise assisting the investigation should be an expense under E100. |
| TR299 | Other Trademark Investigation and Analysis | Use only for trademark investigation and analysis activities that can not be included under a previous code or as instructed by the client. |
| TR300 | Domestic Trademark Application Preparation | |
| TR310 | Application Preparation and Filing - Domestic | All actions associated with completing a trademark or service mark application (including renewal applications) that is to be filed in the ("domestic") home country or region of the applicant, including obtaining the specimen of use from the client, scanning the specimen for electronic filing, discussion with the client to ascertain the dates of first use and first use in commerce, drafting and revision of the application, preparation and filing of the application by electronic or paper formats, and reporting the results to the client. This section includes all domestic trademark and service mark applications filed on the Principal or Supplemental Register. Note that government fees and external expenses (or "disbursements" in the U.S.) are included under E100. |
| TR399 | Other Domestic Trademark Application Preparation and Filing | Use only for trademark application preparation activities that can not be included under a previous code or as instructed by the client. |
| TR400 | Domestic Trademark Prosecution and | Renewal |
| TR410 | Affidavits, Petitions, Extensions, Declarations and Other Filings - Domestic | All action associated with processing affidavits, petitions, extensions, declarations, and change of correspondence with the Trademark Office in the home country of an application filed under , including initial review and any calendaring ("docketing" in the U.S.) of any response deadline, report to client with any proposed response, review of applicant's instructions and comments, preparation of affidavits, petitions, extensions, declarations, change of address or change of ownership and/or responsive arguments, examiner interviews, and report of actions to the client. Excludes any filings in response to Official Communications under . Includes any affidavit, petition, extension, declaration and other requests for supervisory action that are not decided by a quasi-judicial or appellate tribunal within the Trademark Office. Note that governmental fees and external expenses (or "disbursements" in the US) are included under E100. |
| TR420 | Preliminary Amendment - Domestic | All action associated with revising an application prior to the examination of the application on its merits in the home country of the applicant for an application filed under , including preparation of amendments and revised drawings that does not materially alter the original drawing. |
| TR430 | Official Communication - Domestic | All action associated with processing an Official Communication from a Trademark Office (known as an "Office Action" in the U.S. when directed toward the merits of the application) in the home country of an application for an application filed under , including initial review and any calendaring ("docketing" in the U.S.) of any response deadline, report to client with any proposed response, review of applicant's instructions and comments, preparation of amendments and/or responsive arguments, examiner interviews, and report of actions to the client. Includes activities associated with Official Communications not affecting the merits of the application, such as reporting Notice of Allowance, receipt of Certificate of Registration, petitions, and other requests for supervisory action that are not decided by a quasi-judicial or appellate tribunal within the Trademark Office. Note that government fees and external expenses (or "disbursements" in the US) are included under E100. |
| TR440 | Quasi-Judicial Administrative Proceedings - Domestic | All action associated with completing a quasi-judicial proceeding before an administrative tribunal associated with the Trademark Office of the home country of the applicant in connection with an application filed under , including Appeals, Oppositions, and other ex-parte and inter-parties proceedings. Includes collecting evidence, preparing and filing motions, briefs, responses, replies, surreplies, and other documents, attending conferences, depositions, hearings, and other proceedings. Does not include requests for supervisory action ("Petitions" in the U.S.) under . Note that governmental fees and external expenses (or "disbursements" in the U.S.) are included under E100. |
| TR499 | Other Trademark Prosecution - Domestic | Use only for trademark prosecution activities for applications that are to be initially filed in the ("domestic") home country or region of the applicant, and that can not be included under a previous code, or as instructed by the client. |
| TR500 | International Trademark Application Preparation | and Renewals |
| TR510 | Application Preparation and Filing - International | All actions associated with completing a trademark, service mark or design mark application (including renewal applications) that is to be filed in a jurisdiction outside the home country or region of the applicant, including obtaining the power of attorney, translations if necessary, obtaining supporting information and documentation from the client, discussing priority filings with the client, drafting and revision of the application, preparation and filing of the application, and reporting the results to the client. This section includes all international national applications, regional applications (such as a CTM or Benelux application), and marks filed under WIPO (Madrid Agreement and Madrid Protocol). Note that government fees and external expenses (or "disbursements" in the U.S.) are included under E100. |
| TR599 | Other International Trademark Application Preparation and Filing | Use only for international trademark application preparation activities that can not be included under a previous code or as instructed by the client. |
| TR600 | International Trademark Prosecution | and Renewal |
| TR610 | Affidavits, Petitions, Extensions, Declarations and Other Filings - International | All action associated with processing affidavits, petitions, extensions, declarations, and change of correspondence with the Trademark Office in the home country of an application filed under , including initial review and any calendaring ("docketing" in the U.S.) of any response deadline, report to client with any proposed response, review of applicant's instructions and comments, preparation of affidavits, petitions, extensions, declarations, change of address or change of ownership and/or responsive arguments, examiner interviews, and report of actions to the client. Excludes any filings in response to Official Communications under . Includes any affidavit, petition, extension, declaration and other requests for supervisory action that are not decided by a quasi-judicial or appellate tribunal within the Trademark Office. Note that governmental fees and external expenses (or "disbursements" in the US) are included under E100. |
| TR620 | Preliminary Amendment - International | All action associated with revising an application prior to the examination of the application on its merits in the home country of the applicant for an application filed under , including preparation of amendments and revised drawings that does not materially alter the original drawing. |
| TR630 | Official Communication - International | All action associated with processing an Official Communication from a Trademark Office outside the home country of the applicant in connection with an application filed under , including initial review and calendaring of any response deadline, report to client with any proposed response, review of applicant's instructions and comments, preparation of amendments and/or responsive arguments, submitting response to local counsel, and report of actions to the client. Includes activities associated with Official Communications not affecting the merits of the application, such as receipt of Certificate of Registration, petitions, and other requests for supervisory action that are not decided by a quasi-judicial or appellate tribunal within the Trademark Office. Note that government fees and external expenses (or "disbursements" outside the US) are included under E100. Additionally, Appeals, Oppositions, and other such quasi-judicial proceedings before an administrative tribunal associated with the Trademark Office are included under . |
| TR640 | Quasi-Judicial Administrative Proceedings - International | All action associated with completing a quasi-judicial proceeding before an administrative tribunal associated with a Trademark Office outside of the home country of the applicant in connection with an application filed under , including Appeals, Oppositions, and other ex-parte and inter-parties proceedings. Includes collecting evidence, preparing and filing motions, briefs, responses, replies, surreplies, and other documents, attending conferences, depositions, hearings, and other proceedings. Does not include requests for supervisory action under . Note that governmental fees and external expenses (or "disbursements" outside the US) are included under E100. |
| TR699 | Other Trademark Prosecution - International | Use only for trademark prosecution activities in connection with applications that are ("international") filed outside the home country or region of the applicant, and that can not be included under a previous code, or as instructed by the client. |
| TR700 | Other Trademark Related Tasks | |
| TR710 | Opinion Preparation | All actions associated with completing formal legal opinions on the validity, enforceability, infringement, and/or non-infringement of a trademark right, includes opinions on infringement of a client's trademark by a non-client infringer. Work of outside vendors in conducting searches or otherwise assisting investigation should be an expense under E100. |
| TR720 | Portfolio Analysis and Management | All action associated with reviewing, analyzing, documenting, and managing a portfolio of trademarks. Includes trademark "due diligence" during transactional analysis. |
| TR730 | Assignments and Security Interests | All actions associated with negotiating and preparing assignment (i.e. previously registered or filed application) or security interest, including review of file history, checking status and meeting with client. Work of outside vendors in conducting searches or otherwise assisting investigation should be an expense under E100. |
| TR740 | Licensing | All actions associated with negotiating and preparing trademark license. |
| TR750 | Domain Names - gTLDs | Domain Name Filing - Generic: All actions associated with completing a domain name application (including renewal) that is to be filed as a generic top-level domain (gTLD), e.g., .com. The domain name applications should be filed through the current domain name provider unless otherwise instructed. |
| TR760 | Domain Names - ccTLDs | Domain Name Filing - Country Code. All actions associated with completing a domain name application (including renewal) that is to be filed as a country code top-level domain (ccTLD), e.g., .jp, .uk, .tv. The domain name applications should be filed through the current domain name provider unless otherwise instructed. |
| TR770 | Quasi-Judicial Administrative Proceedings - Domain Names | All action associated with completing a quasi-judicial proceeding before an administrative tribunal associated with domain name enforcement actions, including Uniform Domain Name Dispute Resolution (UDRP) actions administered under ICANN and WIPO. Note that governmental fees and external expenses (or "disbursements") are included under E100. This code set is for quasi-judicial proceedings only, and any subsequent work completed in a contested matter (i.e. filing complaint or appeal to a national court of jurisdiction) would be expensed under general litigation codes. |
| TR799 | Other Trademark Prosecution | Use only for other trademark related tasks that can not be included under a previous code, or as instructed by the client. |
IP expense codes2007E125-E131 · 7 codes · LOC
Seven expense codes added for IP matters, published alongside the patent and trademark task codes.
| Code | Name | Definition |
|---|---|---|
| E125 | Translation | Translation fees including preparation and keyboarding (typing) of documentation |
| E126 | Drawings | Drawings prepared by external draftsman |
| E127 | Patent and Trademark Records | Including patent copies, priority documents, file histories and other intellectual property records obtained through third-party vendors |
| E128 | Searching and Monitoring | Searching and Monitoring |
| E129 | Official Fees, excluding post-issuance patent maintenance, trademark renewal fees and late fees | Official fees not otherwise identified above which are paid to governmental and quasi-governmental entities in connection with a pending application, including those paid to Patent and Trademark Offices, the World Intellectual Property, Notaries, consulates, and embassies. |
| E130 | Post-Issuance Patent Maintenance and Trademark Renewal Fees | Official fees paid to a government agency in order to maintain an issued patent or trademark in force |
| E131 | Late Fees | Official surcharge fees paid to a government agency in order to have a document entered into the record past an initial deadline, including Petition for Extension of Time and Information Disclosure Statement fees in the U.S. |
Patent prosecution ("110" codes)2023110000-110901 · 33 codes · LOC
Six-digit prosecution codes built to be validated against USPTO filings, mapped back to the 2009 PA codes.
| Code | Name | Definition |
|---|---|---|
| 110000 | Patent Prosecution | |
| 110100 | (Pre-Application) Invention Review & Filing Strategy | Maps to the 2009 IP codes: Analysis/Strategy State-of-the-Art Investigation Patentability Investigation Other Patent Investigation and Analysis |
| 110101 | Become Familiar with Invention/Idea | Validate with: • Invention disclosure analysis PAIR transaction: (Not applicable) |
| 110102 | Formalize Invention/Idea | Validate with: • Invention disclosures analysis PAIR transaction: (Not applicable) |
| 110103 | Develop Filing Strategy | Validate with: • Preliminary search reports • Opinion letters PAIR transaction: (Not applicable) |
| 110200 | Initial Application and Supplements | Maps to the 2009 IP codes: Provisional Application Preparation - Domestic Design Application Preparation - Domestic Non-Provisional Application Preparation - International Design Application Preparation - International |
| 110201 | Prepare/Submit Initial Application | Validate with: • Applications • Application Data Sheets • Inventor oaths or declarations (with initial filing) • [PCT] Requests for international Application (RO/101) PAIR transaction: • Initial Exam Team • RO/101 - Request form for new IA - Conventional |
| 110202 | Prepare/Submit Supplemental Documents | Validate with: • [PCT] Requests for supplementary search (IB/375) • Inventor Oaths or Declarations • Powers Of Attorney • Preliminary amendment • Petition for micro/small entity status (PTO/SB/15A and 15B) • Tip: for IDS see "Examination" PAIR transaction: • Affidavit(s) (Rule 131 or 132) or Exhibit(s) Received • Applicant Has Filed a Verified Statement of Micro Entity Status in Compliance with 37 CFR 1.29 • Applicant has Filed a Verified Statement of Micro to Small Entity Status • Change in Power of Attorney (May Include Associate POA) • Documents submitted with 371 Applications • Drawing Preliminary Amendment • Power of Attorney • Preliminary Amendment • Preliminary Amendments • Small Entity Statement (37 CFR 1.27) • Translation of Specification into English |
| 110203 | Request Special Examination | Validate with: • Petition to make special • Track 1 Request PAIR transaction: • COVID-19 Prioritized Examination Request • Green Tech Petition under 37 CFR 1.102 • Petition to make special based on Age/Health • Track 1 Request |
| 110300 | Application Amendments (Corrections or Restrictions) | Maps to the 2009 IP codes: Preliminary Amendment - Domestic Preliminary Amendment - International |
| 110301 | Correct Application | Validate with: • Requests to correct inventorship • Responses to notice of missing parts • Responses to formalities notice • Requests to change the applicant • Corrected application data sheets • Certificates of Correction • [PCT] Responses to Invitation to correct defects in the demand (PCT/IPEA/404) • [PCT] Substitute Drawings • [PCT] Substitute Sheets - IA • [PCT] Substitute Sheets of Request (Form PCT/RO/101) PAIR transaction: • 35 USC 115, Oath of the Applic • A statement by one or more inventors satisfying the requirement under Applicant Response to Pre-Exam Formalities Notice • Applicant has submitted a new specification to correct Corrected Papers problems • CHII - Response to form PCT/IPEA/404 • Corrected Paper • Drawings-only black and white line drawings • Drawings-other than black and white line drawings • Oath or Declaration Filed (Including Supplemental) • Payment of additional filing fee/Preexam • Response - Re: Informal Power of Attorney (PTOL-308) • Substitute Sheets - IA • Substitute Sheets of Request (Form PCT/RO/101) • Substitute Specification Filed |
| 110302 | Restrict Application | Validate with: • Response to restriction requirements PAIR transaction: Response to Election / Restriction Filed |
| 110400 | Examination | Maps to the 2009 IP codes: Information Disclosure Statement - Domestic Official Communication - Domestic Information Disclosure Statement - International Official Communication - International |
| 110401 | [PCT] Patentability Analysis | Validate with: • Demand For International Preliminary Examination • Response to ISA written opinion (PCT/ISA/237) PAIR transaction: • CHII - Form PCT/IPEA/401 - Demand • CHII-Resp to the written opinion ISA/237 / IPEA/408 • CHII - Amendments to descriptions/drawings - PCT Art. 34 • Request for recording of a change/PCT Rule 92bis • Response to Form PCT/ISA/206 Unity of Invention • Request for Reconsideration - IA • Request for rectification - IA • Evidence for restore of priority claim • Priority Claim Adjustment under PCT Rule 26bis • CHII - Misc. communication from Applicant - IACHII - Request for Reconsideration - IA • CHII - Request for rectification - IA • CHII - Response to form PCT/IPEA/405 • Misc. incoming letter from Applicant - IA |
| 110402 | Respond to Office Action | Validate with: • Responses to Non-Final Office Actions • Response to Final Office Actions PAIR transaction: • Response after Non-Final Action • Response after Final Action • Response after Ex Parte Quayle Action • Amendment After Final or under 37CFR 1.312, initialed by the examiner. |
| 110403 | Interview Examiner | Validate with: • Examiner Interviews PAIR transaction: • Interview Summary - Applicant Initiated - Personal • Applicant Initiated Interview Summary (PTOL-413) • Interview Summary - Applicant Initiated - Conference |
| 110404 | File Information Disclosure Statement | Validate with: • Information Disclosure Statements (IDS) PAIR transaction: • Information Disclosure Statement (IDS) Filed |
| 110405 | Request Continued Examination | Validate with: • Requests for Continued Examination (RCEs) PAIR transaction: • Request for Continued Examination (RCE) |
| 110500 | (Express) Abandonment | |
| 110501 | Abandon Application | |
| 110600 | Appeal | |
| 110601 | File Appeal | Intended to cover patent office venues; work in other court jurisdictions should utilize litigation codes. Validate with: • Notices of Appeal • Appellate Briefs • Response • Reply PAIR transaction: • Notice of Appeal Filed • Appeal Brief Filed • Reply Brief Filed • Petition for review and processing by the PCT legal office • CHII - Petition for review by the PCT legal office |
| 110700 | Post-Allowance | |
| 110701 | Conduct Post-allowance review | Validate with: • Issue fee checklist |
| 110702 | Pay Issue Fee | Validate with: • Pay issue fee PAIR transaction: • Issue Fee Payment (PTO-85B) • Issue Fee Payment Verified |
| 110703 | Withdraw from Issue | Validate with: • Petition to withdraw from issuance |
| 110800 | Post-Issuance Maintenance, Re-Exam and Re-Issue | Maps to the 2009 IP codes: Post-Issuance Remedial Action - Domestic Post-Issuance Remedial Action - International |
| 110801 | Pay Maintenance Fees | Validate with: • Maintenance Fee Address Change Forms (PTO/SB/47) • Maintenance Fee Payments PAIR transaction: • Payment of Maintenance Fee, 4th Year, Micro Entity • Payment of Maintenance Fee, 4th Yr, Small Entity • Payment of Maintenance Fee, 4th Year, Large Entity • Payment of Maintenance Fee, 8th Year, Micro Entity • Payment of Maintenance Fee, 8th Yr., Small Entity • Payment of Maintenance Fee, 8th Yr., Large Entity • Payment of Maintenance Fee, 12th Year, Micro Entity • Payment of Maintenance Fee, 12th Yr., Small Entity • Payment of Maintenance Fee, 12th Year, LargeEntity • Payment of Maintenance Fee under 1.28(c) |
| 110802 | Request Patent Term Adjustment | Validate with: • Requests for Reconsideration of PTA |
| 110803 | Re-Issue | Validate with: • Re-Issue |
| 110804 | Re-Examine | Validate with: • Re-Examination |
| 110900 | Post-Abandonment | |
| 110901 | Petition to Revive |
Mergers & acquisitions2016MA00-MK00 · 21 codes · ABA + LOC
Eleven deal phases plus nine specialist task codes, following the way M&A work is actually sequenced.
| Code | Name | Definition |
|---|---|---|
| MA00 | Preliminary Matters | Work on Preliminary Matters (Letter of Intent, Confidentiality Agreements, Exclusivity, Inducement, Break Fee Information Memorandum, Auction Process, Service Provider engagement agreements). Time related to: - Drafting, negotiating and amending preliminary stage agreements; - Establishing bidding and auction procedures; - Drafting, negotiating and amending engagement agreements with service providers (e.g., accountants, environmental consultants, investment bankers, etc.) -Geopolitical and legal climate analysis for target markets and products, "doing business in" new geographies and markets cultural/standards and business practices advice, deal structure and strategy adviceThis is a phase level task for the recording of time |
| MB00 | Purchase/Merger Agreement | Time related to drafting, negotiating and amending a purchase/merger agreement; soliciting input/guidance from specialists on terms and provisionsThis is a phase level task for the recording of time |
| MC00 | Due Diligence and Disclosure Schedules | Time reviewing documents, attending management presentations, preparing due diligence questionnaire, setting up data room, negotiating due diligence reliance letters, and conducting other due diligence searches (e.g., liens, litigation, background checks, etc.). Also, time related to drafting, reviewing and negotiating disclosure schedules.This is a phase level task for the recording of time |
| MD00 | Ancillary Documents | Time related to drafting, negotiating and amending ancillary agreements to the Purchase/Merger Agreement (e.g., agreements among buying/selling parties, employment agreements, non-solicitation and non-competition agreement, transition services agreements, supply agreements, escrow agreements, assignment/novation agreements, etc.) Also, time for inventorying required consents and procuring third-party signatures (execution) of required agreements/consents.This is a phase level task for the recording of time |
| ME00 | Financing | Time related to drafting, negotiating and amending any acquisition financing (e.g., bank loans, debentures, equity financing, security agreements, guarantees, etc.)This is a phase level task for the recording of time |
| MF00 | Regulatory and Specialty Matters | When the time relates to work done by a subject matter expert without overall responsibility for the transaction, the time should be billed to the specialist codes. The following codes relate to consultation regarding particular areas of expertise. Even if the work might be posted to another code (e.g., Due Diligence and Disclosure Schedules and Purchase/Merger Agreements), the work of a subject matter expert should be reflected in the specialty code. This includes obtaining regulatory clearances if the work is done by the subject matter expert.This phase code should NOT be used for the recording of time. The specific task codes listed below should be used by the subject matter experts supporting the transaction. Each subject matter expert should record all his or her time under a single specialty Code, regardless of whether the time could fall into any of the 11 deal phases. |
| MF10 | Antitrust / Competition | Time relating to: - analyzing filing requirements and possible antitrust overlaps; - preparing competition law filings; - responding to information requests from regulators; - meetings and negotiations with regulators; - implementing any regulatory required actions (e.g., hold separate commitments, asset dispositions).This specific task code should be used by the subject matter experts supporting the transaction. Each subject matter expert should record all his or her time under a single specialty Code, regardless of whether the time could fall into any of the 11 deal phases. |
| MF20 | Data Security/Privacy/Data Protection/Cyber Security | Time related to data security, privacy, and cybersecurity due diligence, including assessment of risks and maturity of security systems; tactical and strategic fixes to improve security and their related costs; potential or actual data breaches; system vulnerabilities; overall security posture; potential liabilities; and impact on valuations. This code also may be used for industry-specific security issues and requirements (e.g., PCI-DSS for credit card information; NERC-CIP for energy companies; HIPAA for healthcare companies).This specific task code should be used by the subject matter experts supporting the transaction. Each subject matter expert should record all his or her time under a single specialty Code, regardless of whether the time could fall into any of the 11 deal phases. |
| MF30 | Employment, Labor and Employee Benefits | Time relating to: - analyzing human resource issues in an acquisition (e.g., WARN Act requirements, relative pay scales and practices, title mapping, etc.) - employee benefit issues (e.g., 401(k) mergers, health and welfare plan analysis and harmonization, leave policy issues) - trade union and works council matters (e.g., notices or consultations, renegotiation of union contracts, etc.) - immigration mattersThis specific task code should be used by the subject matter experts supporting the transaction. Each subject matter expert should record all his or her time under a single specialty Code, regardless of whether the time could fall into any of the 11 deal phases. |
| MF31 | Executive Compensation | Analyzing employment agreements, severance arrangements, equity award plans and agreements, change-in-control payments, retention or "Stay" agreements and nonqualified deferred compensation arrangements and other incentive compensation arrangements. - Preparation of "golden parachute" (Section 280G) vote materials, if applicable. - Consideration of post-acquisition executive benefits to be provided to senior management.This specific task code should be used by the subject matter experts supporting the transaction. Each subject matter expert should record all his or her time under a single specialty Code, regardless of whether the time could fall into any of the 11 deal phases. |
| MF40 | Environmental | Time relating to environmental due diligence, transfer of environmental permits, and other environmental matters.This specific task code should be used by the subject matter experts supporting the transaction. Each subject matter expert should record all his or her time under a single specialty Code, regardless of whether the time could fall into any of the 11 deal phases. |
| MF50 | Intellectual Property and Technology | Time relating to: - intellectual property and technology due diligence; - drafting, negotiating and amending licenses of intellectual property and technology assetsThis specific task code should be used by the subject matter experts supporting the transaction. Each subject matter expert should record all his or her time under a single specialty Code, regardless of whether the time could fall into any of the 11 deal phases. |
| MF60 | Real Property | Time relating to: - real property due diligence - drafting, negotiating and amending real property transfer documents - assigning leases - landlord consents - land use regulationsThis specific task code should be used by the subject matter experts supporting the transaction. Each subject matter expert should record all his or her time under a single specialty Code, regardless of whether the time could fall into any of the 11 deal phases. |
| MF70 | Securities Regulatory Matters | Time relating to: - drafting and filing any required registration statements, proxy statements and Reports/Circulars - no action requestsThis specific task code should be used by the subject matter experts supporting the transaction. Each subject matter expert should record all his or her time under a single specialty Code, regardless of whether the time could fall into any of the 11 deal phases. |
| MF80 | Tax | Time relating to: - Transaction structuring - Tax due diligence - Negotiation of tax allocations, indemnifications and representationsThis specific task code should be used by the subject matter experts supporting the transaction. Each subject matter expert should record all his or her time under a single specialty Code, regardless of whether the time could fall into any of the 11 deal phases. |
| MG00 | Shareholder/Board Matters | Time spent on board presentations regarding due diligence findings and the transaction, drafting of minutes and resolutions of the board, review of fairness opinions, advising the board regarding fiduciary duties/shareholder meetingsThis is a phase level task for the recording of time |
| MH00 | Closing Matters | Time spent on drafting and negotiating closing documents (e.g., certificates, bills of sale, legal opinions, closing agenda, powers of attorney, etc.) and attending the closingThis is a phase level task for the recording of time |
| MI00 | Integration Matters | Time spent on post-closing integration matters, including restructuring of subsidiaries and post-closing transfer of assets and liabilities within a party's corporate structure.This is a phase level task for the recording of time |
| MJ00 | Post-Closing Requirements, Disputes & Adjustments | Work on Post-Closing Requirements, Disputes and Adjustments (Working Capital, Indemnification, Earn-Out) Time relating to post-closing working capital, purchase price adjustments, earn-out and other adjustments, negotiating and litigating indemnification claims.This is a phase level task for the recording of time |
| MK00 | Deal Management | Time that cannot be coded anywhere else and that relates to project management activities not clerical in nature, i.e., time spent overseeing the management of the matter based on assuring that scope, time and cost are evaluated, monitored and communicated. Includes adjusting the level of effort and assignment of work, communicating among the team and with the client based on changes in circumstances and evaluation of budget against actual.This is a phase level task for the recording of time |
| MZ00-MZ99 | RESERVED FOR CUSTOM CODES | These codes have been reserved for customization. Any vendor or client who determines that customization is necessary should only use codes within this numbering sequence in order to avoid conflicts with anticipated future expansion of the standard. |
Governance, risk & compliance2015G1xx-G8xx · 177 codes · LOC
A three-level code set (category, phase, task) mapping legal work to the OCEG GRC Capability Model.
| Code | Name | Definition |
|---|---|---|
| G100 | Context | OCEG GC000 |
| G110 | External Context | OCEG GC100 |
| G111 | Analyze the External Business Context | Identify and analyze the relevant external business context factors.Encompasses high-level strategic recommendations and analysis of legal, regulatory, and geopolitical climate for requirements generally in the industries in which the organization operates. OCEG GC101 |
| G112 | Analyze External Stakeholder and Influencer Needs | Identify key external stakeholders, and influencers of opinion, and analyze and prioritize their needs and requirements.Encompasses all analysis of issuing authorities of requirements and opportunities to influence the thinking of regulators and legislators affecting the industry in which the organization operates. OCEG GC102 |
| G120 | Internal Context | OCEG GC200 |
| G121 | Define the Internal Context | Identify the key structures and assets that define the Internal Context.Encompasses new legal entity creation, mergers, acquisitions, joint ventures, and dissolution. OCEG GC201 |
| G122 | Determine Changes Needed to Align the Internal Context and GRC capability | Identify possible changes to the internal context that may affect design aspects of the GRC capability or ensure alignment.Encompasses maintenance of legal entities, resolutions for changes to boards, officers, directors and organizational structure. OCEG GC202 |
| G130 | Culture | OCEG GC300 |
| G131 | Analyze Ethical Culture | Analyze the existing climate (observable, formal elements in the organization) and individual mindsets about the degree to which the workforce believes the organization expects and supports responsible behavior and integrity.Encompasses advising on ethics program requirements for all operating jurisdictions. OCEG GC301 |
| G132 | Analyze Ethical Leadership | Analyze whether leadership sets an appropriate "tone at the top" and models behavior in both words and deeds.Encompasses advising on permissible basis for employee evaluations and management development and training programs. OCEG GC302 |
| G133 | Analyze Risk Culture | Analyze the existing climate and individual mindsets about how the workforce perceives risk, its impact on their work and the organization as a whole.Encompasses consulting on risk components of strategic planning, executive management, and risk management programs. OCEG GC303 |
| G134 | Analyze Board Involvement | Analyze the degree to which the Board is involved and engaged in the organization.Encompasses advising on board's fiduciary duties, other legal obligations in how business is conducted and reporting irregularities. OCEG GC304 |
| G135 | Analyze Governance Culture and Management Style | Analyze the existing approach to governing, managing and enabling the workforce.Encompasses consulting on governance, delegations of authority, and organizational effectiveness. OCEG GC305 |
| G136 | Analyze Workforce Engagement | Analyze the existing workforce culture including the degree of employee satisfaction, loyalty and engagement.Encompasses consulting on workforce management, including advising on employee reimbursement, leave and benefits plans. OCEG GC306 |
| G140 | Objectives | OCEG GC400 |
| G141 | Define Mission & Vision | Create a formal statement of the organization's mission and vision.Encompasses strategic advisory services engagements and advice on permissible legal entity purposes. OCEG GC401 |
| G142 | Define Values | Create a formal statement of the core values that the organization holds and applies to its business decisions.Encompasses strategic advisory services on post-merger and post-acquisition integration. OCEG GC402 |
| G143 | Define Business Objectives | Define a balanced set of measurable business objectives that are congruent with mission, vision and values.OCEG GC403 |
| G144 | Define Risk Appetite and Decision Criteria | Define the approach and criteria for making decisions about the pursuit of risk relative to reward including risk appetite, tolerance and capacity.Encompasses advisory services related to measurement of risk, including key risk indicators. OCEG GC404 |
| G145 | Define Indicators, Targets and Tolerances | Define a balanced set of leading and lagging indicators that help management understand if the organization is meeting its business objective targets within defined tolerances.Encompasses development and advisory services on metrics and key performance indicators for the organization. OCEG GC405 |
| G146 | Obtain Commitment to Mission, Vision, Values and Objectives | Obtain commitment from management and Board members about what the organization will achieve while living by its values.Encompasses approvals of the metrics and performance measurement program. OCEG GC406 |
| G147 | Communicate Mission, Vision and Values | Communicate the mission, vision and values to internal and external stakeholders.Encompasses legal review of corporate communications, shareholder communications, and public communications regarding the organization outside of communications to affect changes to the legal and geopolitical climate, internal training, and crisis response communications. OCEG GC407 |
| G200 | Organize | OCEG GO000 |
| G210 | Commitment | OCEG GO100 |
| G211 | Define GRC capability Scope | Define the scope of the GRC capability or subsystem under consideration.Encompasses advisory services on strategic planning and operational implementation of GRC capabilities, including governance, risk management, compliance, and ethics programs. OCEG GO101 |
| G212 | Define GRC capability Style and Goals | Define the overall style of the GRC capability, what it will achieve, and how it relates to business objectives.Encompasses advisory services on program measurement and integration plan for GRC capability. OCEG GO102 |
| G213 | Obtain Commitment to the GRC capability | Obtain explicit written authorization and high-level support for the GRC capability.Encompasses presentations and recommendation of GRC strategic and operational plans for organizational approval. OCEG GO103 |
| G220 | Roles | OCEG GO200 |
| G221 | Define and Enable GRC capability Oversight Roles and Accountability | Define oversight roles, responsibilities and accountability for each aspect of the GRC capability.Encompasses advisory, legal, and consulting services on implementation of oversight portion of strategic GRC plan, including job descriptions, background checks, and training on legal requirements of oversight roles. (This is distinct from the compensation, rewards, and promotion criteria for general population defined under GP5.1 et seq.) OCEG GO201 |
| G222 | Define and Enable Management Roles and Accountability | Define management roles, responsibilities and accountability for certain aspects of the GRC capability.Encompasses advisory, legal, and consulting services on implementation of management portion of strategic GRC plan, including job descriptions, background checks, and training on legal requirements and assumed voluntary mandates for GRC management positions. (This is distinct from the compensation, rewards, and promotion criteria for general population defined under GP5.1 et seq.) OCEG GO202 |
| G223 | Define and Enable Leadership Roles and Accountability | Define individuals to serve in leadership roles to champion the GRC capability or certain aspects of the system and establish methods to ensure they possess the desired character ethics.Encompasses advisory, legal, and consulting services on implementation of leadership roles in strategic GRC plan, including job descriptions, background checks, and training on legal requirements and assumed voluntary mandates for GRC leadership positions. (This is distinct from the compensation, rewards, and promotion criteria for general population defined under GP5.1 et seq.) OCEG GO203 |
| G224 | Define and Enable GRC Capability Operational Roles | Define the roles required to deliver, operate, and execute GRC Capability practices.Encompasses advisory, legal, and consulting services on implementation of operational GRC roles, including job descriptions, background checks, training on legal requirements and assumed voluntary mandates for GRC operational positions and monitoring compliance with certifications. (This is distinct from the compensation, rewards, and promotion criteria for general population defined under GP5.1 et seq.) OCEG GO204 |
| G225 | Define and Enable Assurance Roles and Accountability | Define assurance roles, responsibilities and accountability for certain aspects of the GRC capability (e.g., chief audit executive, external auditor)Encompasses advisory, legal, and consulting services on implementation of assurance roles, including job descriptions, training on legal requirements and assumed voluntary mandates for GRC assurance, and monitoring compliance with certifications and licensure requirements. (This is distinct from the compensation, rewards, and promotion criteria for general population defined under GP5.1 et seq.) OCEG GO205 |
| G230 | Accountability | OCEG GO300 |
| G231 | Allocate Accountability to Individuals and Committees | Allocate GRC roles and responsibilities to individuals and committees.Encompasses documentation and implementation of delegation of authority, segregation of duties, and approval process workflows. OCEG GO301 |
| G232 | Define GRC Capability Processes and Integrate with Business Processes | Define GRC Capability processes and synchronize with existing business processes.Encompasses documentation and advisory services on implementation planning for GRC business process workflows. OCEG GO302 |
| G233 | Define Measurement and Evaluation Approach | Define an approach to measure and evaluate the effectiveness, efficiency, and responsiveness of the GRC capability.Encompasses development and advisory services on metrics and key performance indicators for the GRC capabilities of the organization. OCEG GO303 |
| G234 | Define Organizational Change Management Approach | Define an approach to ready the organization for any changes that the GRC capability may require to people, processes, and technology.Encompasses advisory services on design and implementation planning for change management program rather than implementation of a particular change initiative. OCEG GO304 |
| G235 | Develop, Maintain and Authorize a Business Case | Develop a business case for the GRC capability and obtain authorization from senior management and the Board.Encompasses advisory services on development and presentation of GRC program level business case as well as business cases for individual GRC initiatives. OCEG GO305 |
| G300 | Assess | OCEG GA000 |
| G310 | Identification | OCEG GA100 |
| G311 | Review Business Objectives, Processes and Resources | Identify and review key business objectives, processes and resources that are relevant given the scope of the capability (e.g., if the scope is the entire organization, then all business objectives, processes and resources are relevant; if the scope is a single department, then some subset of business objectives, processes and resources are relevant).Encompasses consulting on legal, risk, compliance, ethics and audit function capabilities design (performance, and improvement fall under GM2 and GM3). OCEG GA101 |
| G312 | Identify External Sources and Forces | Imagine and identify external sources and forces that may produce a requirement or cause a desirable or undesirable effect on objectives.Encompasses researching and profiling the predilections, temperament of, and enforcement trends emanating from existing and emerging sources and forces in the legal and geopolitical climate at a holistic level. (Captures more granular research than GC1.2, but not down to individual profiles prepared and specific activities monitored under GP6.1 et seq.) OCEG GA102 |
| G313 | Identify Internal Sources and Forces | Imagine and identify internal sources and forces that may produce a requirement or cause a desirable or undesirable effect on objectives.Encompasses evaluation of scope and impact of previously implemented business models and implications of implemented changes in human capital, technology, processes, and organizational structure. OCEG GA103 |
| G314 | Identify Opportunities & Threats | Given the sources and forces, identify opportunities and threats that affect the achievement of objectives. Opportunities are events and conditions that, on balance, contribute to reward (which is a measure of the desirable effect of uncertainty on objectives) -- while threats are events and conditions that, on balance, contribute to risk (which is a measure of the undesirable effect of uncertainty on objectives).Encompasses advisory services, and legal opinions on opportunity and threat assessments, including competitive IP portfolios, pending IP applications, proposed laws, regulations, treaties, executive orders, judicial decisions, M&A targets, and divestiture recommendations. (This initial identification is distinct from ongoing monitoring and tracking as captured in GP6.3). OCEG GA104 |
| G315 | Identify Mandatory & Voluntary Requirements | Given sources and forces, identify mandatory and voluntary requirements that must be addressed.Encompasses research and notifications about existing legal climate of new jurisdictions, new products, new operations, or a combination of these based on enacted laws, regulations, executive orders, treaties, and judicial decisions. As well as advisory guidance on standards participation, desired certifications, warranties, and representations. (This initial identification is distinct from ongoing monitoring and tracking as captured in GP6.3). OCEG GA105 |
| G316 | Identify Interrelatedness & Trends | Identify how opportunities, threats and requirements relate to one another and how they have been trending both internally and externally with industry peers.Encompasses legal analysis of the integration between trans-national (i.e., non-governmental bodies), multi-national, national, regional, territorial and local levels of legal and regulatory mandates, treaties, reciprocal agreements, judicial opinion, administrative decisions, guidance, and conflicts between applicable requirements, enforcement and litigation trends. OCEG GA106 |
| G317 | Conduct High Level Analysis of Risk/Reward | Conduct a high-level analysis of inherent, current and planned residual risk/reward so that the most relevant items are prioritized in future, more detailed analysis.Encompasses legal information on theoretical exposure for single instance and pattern of non-compliance with requirements. (This analysis of theoretical exposure is distinct from actual impact on specific organization as captured in GA2.1 et seq.). OCEG GA107 |
| G318 | Conduct High Level Analysis of Requirements Impact/Conformance | Conduct a high-level analysis of inherent, current and planned level of conformance with requirements, including rough economic analysis, so that the most relevant items are prioritized in future, more detailed analysis.Encompasses legal analysis of potential impacts from legal climate for players in the industry or market generally, as well as, advisory opinions on impacts of standards participation, certifications, warranties, and representations across industry. (This analysis of theoretical exposure is distinct from actual impact on specific organization as captured in GA2.1 et seq.). OCEG GA108 |
| G319 | Assign Accountability to Monitor Changes | Assign accountability for monitoring the underlying sources that may lead to events and conditions that positively or negatively effect objectives.Encompasses creation of the relationship for advisory, legal or consulting services designed to monitor changes. (This creation of the relationship is distinct from actual performance of the services as captured in GP6.3). OCEG GA109 |
| G320 | Analysis | OCEG GA200 |
| G321 | Analyze Approach to Requirements | Analyze the current and planned actions and controls to address requirements including costs.Encompasses fact finding to determine current approaches to compliance. OCEG GA201 |
| G322 | Analyze Inherent Risk/Reward | Analyze the effects of threats and opportunities without consideration of current actions or controls.Encompasses legal opinions of potential impacts from legal climate for this client, as well as, advisory opinions on impacts of standards participation, certifications, warranties, and representations. Encompasses legal opinions regarding potential impacts of IP invalidity and contract unenforceability. OCEG GA202 |
| G323 | Analyze Current Approaches to Risk/Reward | Identify the presence and effectiveness of current actions and controls that are in place to address the effect of threats and opportunities.Encompasses legal opinions on whether current approaches are sufficient for compliance and likely outcome of enforcement actions, as well as, advisory opinions on compliance with standards participation, certifications, warranties, and representations for this client. Encompasses legal opinions regarding suitability of current IP protection practices and standard contract provisions to abate or mitigate threats and seize opportunities. OCEG GA203 |
| G324 | Determine Current Residual Risk/Reward | Determine the current level of risk/reward remaining given the presence and effectiveness of current actions and controls.Internal legal and management opinion -- external charges should not apply. OCEG GA204 |
| G325 | Prioritize Threats, Opportunities and Requirements | Prioritize and categorize threats, opportunities and requirements to determine approach and resource allocation.Encompasses advisory services, audit recommendations, and legal opinions regarding the independent priority of threats, opportunities and requirements, including priority assessment as one component of the business case for action. OCEG GA205 |
| G330 | Planning | OCEG GA300 |
| G331 | Explore Options to Address Requirements | When current level of conformance is not acceptable, or when existing actions and controls are not optimal, explore additional actions and controls to address requirements.Encompasses project, program, personnel, and technology advisory services for implementation of compliance programs for discrete initiatives. OCEG GA301 |
| G332 | Explore Options to Address Risk/Reward | When the current residual risk is unacceptable or when current approach can be improved, explore alternative actions and controls to address risk/reward.Encompasses project, program, personnel, and technology options assessment services for implementation of risk management programs for discrete risks/rewards. OCEG GA302 |
| G333 | Determine Planned Residual Risk/Reward and Conformance | Determine the level of risk/reward and conformance that will remain after planned actions and controls are established and operating effectively.Internal legal and management opinion -- external charges should not apply. OCEG GA303 |
| G334 | Address Inherently High Risk | Identify current and planned actions and controls that specifically address inherently high risk and that, should they cease to perform effectively, will expose the organization to unacceptable levels of risk.Internal legal and management opinion -- external charges should not apply. OCEG GA304 |
| G335 | Develop Key Indicators | Develop key indicators that inform management about the level of performance, risk and conformance.Encompasses advisory and technological services in developing indicators and implementing the monitoring, alerts, and reporting on those indicators. OCEG GA305 |
| G336 | Develop Integrated Plan | Develop a plan to govern, assure and manage the approach to addressing performance, risk and compliance.Encompasses advisory services, audit recommendations, and legal opinions regarding the relative priority of threats, opportunities and requirements, including priority assessment as one component of the business case for action. OCEG GA306 |
| G400 | Proact | OCEG GP400 |
| G410 | Proactive Actions & Controls | OCEG GP100 |
| G411 | Establish Proactive Management Actions and Controls | Establish proactive management actions and controls that incent desirable, and prevent undesirable, events and conditions.Encompasses development of contract templates and playbooks with standard acceptable provisions (negotiated changes to contracts fall under GR1.1 and specific provisions that shift financial risk fall under GP7.1 et seq.), standard due diligence requests for M&A transactions, IP disclosure procedures, assignment practices, and incentive programs. Also includes the accountability and authorization process for waivers, exceptions and variances to company-adopted standards. Lastly, includes any expected management actions and controls to be promulgated through supply chain, joint venture, and business partner programs. OCEG GP101 |
| G412 | Establish Preventive Process Controls | Establish preventive process control activities and procedures to reduce the likelihood and/or impact of adverse events, noncompliance and misconduct.Encompasses development of all departmental procedures to ensure engagement of service providers is done consistently with policy directives. Also encompasses, all design of processes and accountability for securing facility and operational permits and licenses. Also includes any expected preventive process controls to be promulgated through supply chain, joint venture, and business partner programs. OCEG GP102 |
| G413 | Establish Preventive Human Capital Controls | Establish preventive human capital controls to reduce the likelihood and/or impact of adverse events, noncompliance and misconduct.Encompasses all advisory services, recommendations, and legal opinions on establishing particular roles, all job descriptions, background checks, delegations of authority, divisions of responsibility between roles, and lines of reporting. Also includes any expected human capital controls to be promulgated through supply chain, joint venture, and business partner programs. OCEG GP103 |
| G414 | Establish Preventive Technology Controls | Establish preventive technology controls to reduce the likelihood and/or impact of adverse events, noncompliance and misconduct.Encompasses all advisory services, recommendations, and legal opinions regarding configuration of access controls, required systems, configuration controls, master data, and business rules enforced through business rules engines to assure compliance with mandates and execution of activities in line with risk appetite. OCEG GP104 |
| G415 | Establish Preventive Physical Controls | Establish preventive physical controls to reduce the likelihood and/or impact of adverse events, noncompliance and misconduct.Encompasses all advisory services, recommendations, and legal opinions regarding physical controls (i.e., badges, biometric devices, RFID, gates, clean rooms, barriers, cabinets, etc.), related to security of and access to facilities, physical assets, information assets, or IP, and required to protect environment, and human health and safety. OCEG GP105 |
| G420 | Codes of Conduct | OCEG GP200 |
| G421 | Develop the Code of Conduct | Work with appropriate stakeholders to develop a code of conduct that addresses the organizational mission, vision, values, key policies and expected business conduct.Encompasses advisory services related to all aspects of determining and updating the content for the Code of Conduct. OCEG GP201 |
| G422 | Implement and Manage the Code of Conduct | Distribute and manage a code of conduct to ensure that all relevant stakeholders receive the code of conduct, certify that they will follow it that the practices and principles are honored, observed, and enforced, and that it continues to be relevant.Encompasses all advisory, training, and consultative services for implementation of the Code of Conduct, including recommendations for updating the Code of Conduct (developing updates falls under GP2.1) and reconciling multiple Codes of Conduct. OCEG GP202 |
| G423 | Develop and Implement Ethical Decision-Making Guidelines | Work with appropriate stakeholders to develop and implement guidelines on how to choose a course of action consistent with the organization's mission, vision, values, key policies and expected business conduct when the circumstances are not explicitly covered by the code of conduct, policies, or procedures.Encompasses all advisory, training, and consultative services for development and implementation of Ethical Decision-making Guidelines, including reconciling multiple guidelines. OCEG GP203 |
| G430 | Policies | OCEG GP300 |
| G431 | Establish Policy Structure | Establish an organizing structure for identifying and creating policies that support the GRC capability.Encompasses advisory, legal and consulting services on required and desired policies, processes, procedures, accountability, and the standards for policy development and representation. OCEG GP301 |
| G432 | Develop Policies | Develop a mix of preventative and directive policies to address requirements, risks, and other program objectives.Encompasses advisory, legal and consulting services on the substantive content and scope of policies. OCEG GP302 |
| G433 | Implement and Manage Policies | Implement, communicate, and manage policies to ensure that they operate and continue to be relevant.Encompasses advisory, legal, training, and consulting services on the implementation of policies, including the recommendations for new or changes to policies (actual policy revisions falls under GP3.2). OCEG GP303 |
| G440 | Education | OCEG GP400 |
| G441 | Define an Awareness and Education Plan | Develop a plan to inform and educate the Board, management, the workforce and the extended enterprise about their GRC responsibilities and expected conduct.Encompasses all advisory, legal, and consulting services for developing an enterprise level plan of education and awareness across each training requirement, including training of the extended enterprise (e.g., across the supply chain, joint ventures, and business partners). OCEG GP401 |
| G442 | Define a Curriculum Plan | Develop a job specific curriculum and appropriate training program for the Board, senior management, the workforce and the extended enterprise to fulfill their GRC responsibilities.Encompasses all advisory, legal, and consulting services for role-specific training for employees, contractors and the extended enterprise (e.g., across the supply chain, joint ventures, and business partners). OCEG GP402 |
| G443 | Develop or Acquire Content | Develop or acquire content that does not exist in the curriculum or education plan and modify any content that needs updating in current learning objects.Encompasses all advisory, legal, and consulting services regarding the substantive content requirements of any awareness, curriculum or education plans. OCEG GP403 |
| G444 | Implement Education | Implement and manage the education program to ensure that each target audience achieves learning objectives and can transfer knowledge and skills to their jobs.Encompasses all advisory, legal, and consulting services engaged to deliver awareness or educational programs. OCEG GP404 |
| G445 | Provide Helpline | Establish ways for the workforce and other stakeholders to seek guidance about future conduct and ask general questions about GRC responsibilities, including the option for anonymity in locations where that is required or allowed.Encompasses all advisory, legal, consulting services regarding establishing helpline information. Also encompasses provision of outsourced helpline services. (Any content for scripts or guidance used by outsourced or insourced helpline provider falls under GP4.3 and any processes, procedures, or protocols for the helpline service falls under this number rather than GP1.2, and accountability is established under this number rather than GP1.2 for policies, or O3 for individuals). OCEG GP405 |
| G446 | Provide Integrated Support | Establish ways for the workforce to get questions about GRC requirements answered within their usual work environment.Encompasses all advisory, legal, consulting services regarding establishing self-help information and information when inquiries are raised through internal personnel or the organizational command structure. (Any content for scripts or guidance used by internal personnel falls under GP4.3 but any processes, procedures, or protocols for the provision of integrated support like open door policies falls GP 1.2 rather than this number.) OCEG GP406 |
| G450 | Incentives | OCEG GP500 |
| G451 | Hire and Promote Based on Conduct Expectations | Consider articulate desirable conduct when defining jobs, career paths and performance review criteria of employees and business partners - and use these same criteria for promoting individuals.Encompasses advisory, legal, and consulting services on job descriptions, career paths, and performance review criteria for all business partners and individuals without specific GRC responsibilities. (This is general population requirements which may be a subset of but are distinct from those created under GO2.0 et seq.) OCEG GP501 |
| G452 | Develop Compensation and Remuneration that Consider Conduct Expectations | Design compensation plans and bonus structures for employees and business partners that align with desired conduct and do not reward undesirable conduct.Encompasses advisory, legal, and consulting services on compensation and bonus programs for all business partners and individuals without specific GRC responsibilities. (This is general population requirements which may be a subset of but are distinct from those created under GO2.0 et seq.) OCEG GP502 |
| G453 | Develop Rewards Programs | Establish a reward program for all employees, business partners and other stakeholders that recognizes individuals and organizational units for exhibiting desired conduct.Encompasses advisory, legal, and consulting services on reward programs for all business partners and individuals without specific GRC responsibilities. (This is general population requirements which may be a subset of but are distinct from those created under GO2.0 et seq.) OCEG GP503 |
| G460 | Stakeholder Relations | OCEG GP600 |
| G461 | Understand Stakeholders | Research and analyze the organizations and key individuals involved within various stakeholder constituencies in order to understand their concerns and how best to relate to them.Encompasses researching and profiling the predilections, temperament of, and enforcement trends of individual stakeholders within organizations that constitute sources and forces in the legal and geopolitical climate. (Captures more granular research than GC1.2, GA1.2 or GA1.3.) OCEG GP601 |
| G462 | Develop Stakeholder Relations Plans | Develop stakeholder relations plans, including communications plans, for each stakeholder constituency.Encompasses developing stakeholder relations plans for individual stakeholders as well as organizations that constitute sources and forces in the legal and geopolitical climate. (Addresses action plans rather than understanding as described in GC1.2, GA1.2, and GA1.3.) OCEG GP602 |
| G463 | Identify and Track Activity by Requirement Issuing Authorities | Determine which government agencies, standards organizations, and other entities that issue mandates, standards or guidance have significant effect on the organization's GRC requirements and track their activities.Encompasses delivery of advisory, legal or consulting monitoring/tracking services and subscriptions to feeds of newly proposed and enacted laws, regulations, guidance, judicial opinions, and standards (Addresses execution rather than creating the relationship as described in GA1.9.) OCEG GP603 |
| G464 | Comment on Planned or Proposed Items | Actively participate in the development of mandates, standards, and guidance through various comment pathways.Encompasses delivery of advisory, legal or consulting government affairs and standards development services initiated by others. (Addresses execution rather than creating the relationship as described in GA1.9.) OCEG GP604 |
| G465 | Propose Mandates, Standards or Guidance | Actively propose development of mandates, standards, and guidance to issuing authorities.Encompasses delivery of advisory, legal or consulting government affairs and standards development services initiated by the organization. (Addresses execution rather than creating the relationship as described in GA1.9.) OCEG GP605 |
| G470 | Risk Financing | OCEG GP700 |
| G471 | Assess Risk Financing Need and Options | Assess the need or desire for financing risk and the options available.Encompasses advisory, legal or consulting services related to identify insurance, captives, indemnification, limitation of liability, joint defense, structured settlements, collections, bankruptcy, and other financing options for various risks. OCEG GP701 |
| G472 | Set Risk Financing Objectives | Set the risk sharing objectives and limits for the given risk or portfolio of risk.Internal legal and management opinion -- external charges should not apply. OCEG GP702 |
| G473 | Design Risk Financing Strategy | Design a portfolio of risk-sharing instruments and approaches.Encompasses advisory, legal or consulting services related to recommendations on approaches for insurance, captives, indemnification, limitation of liability, joint defense, structured settlements, collections, bankruptcy, and other financing options for various risks. (Developing the strategy which is encompassed here is distinct from invoking the strategy as a response to a realized risk as provided in GR1.1). OCEG GP703 |
| G474 | Implement Risk Financing Strategy | Implement the risk sharing instruments or structures and acquire insurance.Encompasses advisory, legal or consulting services related to implementing insurance, captives, indemnification, limitation of liability, joint defense, structured settlements, collections, bankruptcy, and other financing options for various risks. (Putting the strategy in place through appropriate contract provisions which is encompassed here is distinct from invoking those provisions as a response to a realized risk as provided in GR1.1 or the development of other contracting standard provisions under GP1.1). OCEG GP704 |
| G500 | Detect | OCEG GD000 |
| G510 | Unnamed in source | The LOC spreadsheet does not name this phase. OCEG GD100 |
| G511 | Establish Detective Actions and Controls | Establish detective actions and controls to detect and discern progress toward objectives as well as real and potential undesirable events and conditions.Encompasses advisory, legal and consulting services related to establishing detective actions and controls like fraud reporting and vendor audit programs. (This number covers establishing the actions and controls whereas GD2.1 covers utilization of them.) OCEG GD101 |
| G512 | Establish Detective Process Controls | Establish process control activities and procedures that detect adverse events, noncompliance and misconduct.Encompasses, all design of processes for monitoring financial transactions, transfers of physical assets, and the detection and notification of unauthorized disclosure of private information. Also includes any expected detective process controls like quality inspections to be promulgated through supply chain, joint venture, and business partner programs. (This number covers establishing process controls whereas GD2.1 covers execution of the processes.) OCEG GD102 |
| G513 | Establish Detective Human Capital Controls | Establish human capital control activities and procedures that detect adverse events, noncompliance and misconduct.Encompasses, all design of human capital controls for reporting observed adverse events, noncompliance and misconduct, including exit interviews. (This number covers establishing human capital controls whereas GD2.1 covers execution of them.) OCEG GD103 |
| G514 | Establish Detective Physical Controls | Install physical controls necessary to provide surveillance of physical preventive controls and areas where noncompliance or unethical conduct can be physically observed.Encompasses all advisory services, recommendations, and legal opinions regarding physical controls (i.e., surveillance equipment, entry/exit monitoring devices, alarm systems, emissions detectors, quality inspections, etc.), related to security of and access to facilities, physical assets, information assets, and the detection of unauthorized disclosure of private information. (This number covers establishing physical controls whereas GD2.1 covers execution of them.) OCEG GD104 |
| G515 | Establish Detective Technology Controls | Implement and monitor automated detective technology controls to promptly identify actual or potential misconduct.Encompasses all advisory services, recommendations, legal opinions and consulting services regarding technological controls (i.e., software, business rules, algorithms, dashboards, electronic alerts, etc.), related to detection of misconduct or noncompliance. (This number covers establishing technology controls whereas GD2.1 covers execution of them.) OCEG GD105 |
| G516 | Consolidate and Analyze Control Findings | Consolidate and analyze all information gathered through various means of detection to identify patterns of misconduct, adverse events and other weaknesses that would otherwise go unnoticed.Encompasses all advisory and consulting services related to the methods to be used to aggregate and analyze detected events as well as execution of the analysis, including discerning patterns, weaknesses and benchmarked comparisons. OCEG GD106 |
| G520 | Notification | OCEG GD200 |
| G521 | Capture Notifications | Implement a notification system that will alert the organization to incidents or suspicions of legal noncompliance, violations of company policies, and concerns or perceptions about perceived unethical conduct, GRC capability weaknesses and performance at all levels.Encompasses all advisory services, recommendations, legal opinions and consulting services regarding methods of notification, including establishing a hotline and restrictions or mandates for anonymous reporting. OCEG GD201 |
| G523 | Filter and Route Notifications | Vet and route notifications for handling, regardless of the pathway through which a given notification is received.Internal legal and management opinion -- external charges should not apply. OCEG GD203 |
| G524 | Adhere to Data Protection Requirements | Ensure that the hotline pathway for notification complies with specific requirements established in the locale where the notice originates and where the organization operates.Encompasses all advisory services, recommendations, legal opinions and consulting services regarding restrictions or mandates for anonymous reporting, cross-border data transfers, and privacy. OCEG GD204 |
| G530 | Inquiry | OCEG GD300 |
| G531 | Establish Multiple Pathways to Obtain Workforce and Stakeholder Views | Define opportunities for obtaining workforce and stakeholder views about risk, the GRC capability, conduct and organizational commitment to its stated values.Encompasses advisory, legal and consulting services related to surveying and interviewing for workforce and stakeholder views, including outsourced surveys and HR processes. OCEG GD301 |
| G532 | Establish an Organization-Wide Integrated Approach to Surveys | Establish a survey approach that reduces the burden on survey subjects and provides a consolidated view of information obtained from the workforce and other stakeholders.Encompasses advisory, legal and consulting services related to an integrated approach to surveying. OCEG GD302 |
| G533 | Establish an Integrated Approach to Self-Assessments | Establish a self-assessment approach that integrates assessment of GRC capability-related responsibilities and outcomes with other self-assessments imposed on management.Encompasses advisory, legal and consulting services related to an integrated approach to self-assessment, including programs expanded to include the extended enterprise. OCEG GD303 |
| G534 | Gather information through observations and conversations | Establish informal methods of gathering views through observations, group meetings, focus groups and individual conversations.Encompasses advisory, legal and consulting services related to observations, group discussions and individual interviews conducted by outside providers, including depositions or other sworn testimony. OCEG GD304 |
| G535 | Report Information and Findings | Provide information and findings from all methods of inquiry to management.Encompasses advisory, legal and consulting services related to reporting aggregated information obtained through surveys, discussions, and self-assessments. OCEG GD305 |
| G600 | Respond | OCEG GR000 |
| G610 | Responsive Actions & Controls | OCEG GR100 |
| G611 | Establish Responsive Actions and Controls | Establish responsive actions and controls that reward desirable conduct; punish undesirable conduct; and correct the identified weaknesses in the capability.Encompasses advisory, legal and consulting services related to establishing responsive actions and controls like media relations, internal conflicts resolution, litigation, litigation holds, and bankruptcy filings. (This number covers establishing the actions and controls as well as execution of actions and controls other than those covered by GR2-GR4.) OCEG GR101 |
| G612 | Establish Corrective Process Controls | Establish corrective process control activities to stop, slow and recover from adverse events, and deter future adverse events.Encompasses advisory, legal and consulting services related to establishing corrective process controls. (This number covers establishing the process controls; execution of corrective controls falls under GR5.1.) OCEG GR102 |
| G613 | Establish Corrective Human Capital Controls | Establish corrective human capital controls that stop, slow and recover from adverse events, and deter future adverse events.Encompasses advisory, legal and consulting services related to establishing corrective human capital controls like suspending authority, overriding reporting structures, and marshalling corrective action teams. (This number covers establishing the human capital controls; execution of corrective controls falls under GR5.1.) OCEG GR103 |
| G614 | Establish Corrective Technology Controls | Establish corrective technology controls that stop, slow and recover from adverse events, and deter future adverse events.Encompasses advisory, legal and consulting services related to establishing corrective technology controls, including access restrictions, suspension of system processes, and retention of documents and records. (This number covers establishing the technology controls; execution of corrective controls falls under GR5.1.) OCEG GR104 |
| G615 | Establish Corrective Physical Controls | Establish corrective physical controls that stop, slow and recover from adverse events, and deter future adverse events.Encompasses advisory, legal and consulting services related to establishing corrective physical controls, including access restrictions, lock-down procedures, hardening infrastructure and fire suppression. (This number covers establishing the physical controls; execution of corrective controls falls under GR5.1.) OCEG GR105 |
| G616 | Monitor and Report Corrective Controls | Monitor and report the progress of corrective control activities.Encompasses advisory, legal and consulting services related to monitoring and reporting corrective controls. (This number covers establishing the monitoring and reporting activities as well as execution monitoring and reporting.) OCEG GR106 |
| G620 | Internal Investigation | OCEG GR200 |
| G621 | Define the Inquiry and Investigation Process | Establish procedures for inquiring further into, and investigating, complaints or reports about compliance or ethical issues, as well as for issues detected during ongoing monitoring or periodic evaluation of the GRC capability.Encompasses advisory, legal and consulting services related to establishing a defensible inquiry and investigation process and analyzing trends and patterns, including a taxonomy for classifying topics and severity of inquiries and issues, escalation process for routing, and procedures for maintaining confidentiality and anonymity. OCEG GR201 |
| G622 | Prepare to Investigate | Prepare to undertake the activities of the investigation phase of the issue resolution process.Encompasses engaging advisors, lawyers, investigators, and consultants to perform inquiries and investigations, including obtaining appropriate disclosures of conflicts and independence and coordinating with various departments and stakeholders to be engaged in the process. OCEG GR202 |
| G623 | Conduct Investigations | Conduct investigations consistent with the plan and communicate with relevant stakeholders while maintaining appropriate privileged status.Encompasses advisory, legal, eDiscovery, and consulting services delivered while conducting inquiries and investigations, including document location and production. OCEG GR203 |
| G624 | Report Results of Investigations | Communicate investigation results to appropriate management, oversight bodies and, as appropriate, to other stakeholders and regulators.Encompasses advisory, legal and consulting services reporting the results of inquiries and investigations. OCEG GR204 |
| G630 | Third-Party Investigations | OCEG GR300 |
| G631 | Prepare for and Address Third Party Inquiries | Identify and respond to questions from third parties.Encompasses engaging advisors, lawyers, investigators, and consultants to respond to third-party inquiries and investigations, including obtaining appropriate disclosures of conflicts and independence. OCEG GR301 |
| G632 | Prepare to Identify Third Party Investigations | Establish methods to ensure the right people know about initiated third party investigations.Internal legal and management opinion -- external charges should not apply. OCEG GR302 |
| G633 | Prepare to Manage Third Party Investigations | Establish policies, procedures, and responsibility for managing various types of third party investigations.Encompasses advisory, legal, eDiscovery, and consulting services to respond to third-party inquiries and investigations, including media relations, disclosure of conflicts and independence, procedures for confidentiality and privilege, and coordinating with various departments and stakeholders to be engaged in the process. OCEG GR303 |
| G634 | Prepare to Select Team for Third-Party Investigation | Establish procedures for selecting the team of individuals that will represent the organization during a specific investigation.Encompasses engaging preferred providers as advisors, lawyers, investigators, eDiscovery providers, and consultants to prepare an appropriate response. OCEG GR304 |
| G635 | Prepare to Respond to Specific Third-Party Investigations | Establish procedures for developing a response to a specific investigation.Encompasses advisory, legal, eDiscovery, and consulting services delivered while responding to specific third-party inquiries and investigations, including document location and production. OCEG GR305 |
| G640 | Crisis Response | OCEG GR400 |
| G641 | Develop Crisis Response and Continuity Plans | Develop the plans for responding to various types of crises and recovering from business disruption.Encompasses advisory, legal, investigative, and consulting services engaged to develop emergency operating procedures, crisis response, business continuity and disaster recovery plans, including providing business impact analysis. OCEG GR401 |
| G642 | Identify Crisis Readiness and Response Teams | Define personnel who will be responsible for crisis preparedness and those who will be deployed as crisis response teams for each type of identified crisis.Encompasses identifying advisors, lawyers, investigators, and consultants to be engaged as part of the response team for various crises and costs associated with having 24x7 contact methods. OCEG GR402 |
| G643 | Test Plans and Procedures | Test and evaluate the various crisis plans and procedures.Encompasses involvement of advisors, lawyers, investigators, and consultants in testing crisis response, business continuity, and disaster recovery plans and procedures. OCEG GR403 |
| G644 | Coordinate Plans | Coordinate the various continuity and response plans in anticipation of business disruption that may span more than one facility.Encompasses involvement of advisors, lawyers, investigators, and consultants in reconciling multiple crisis response, business continuity, and disaster recovery plans and procedures. OCEG GR404 |
| G650 | Remediation | OCEG GR500 |
| G651 | Remediate the GRC capability | Resolve each reported issue/incident, document the outcome, and propose appropriate changes to the GRC capability to avoid similar issues in the future.Encompasses advisory, legal and consulting services related to remediating the GRC capability, including identification of patterns of root causes, recommendations for new or modifications to actions, risks or controls or changes to prioritization of risks or remediation plans. OCEG GR501 |
| G652 | Discipline Individuals | Discipline individuals for misconduct.Internal legal and management action -- external charges should not apply. OCEG GR502 |
| G653 | Disclose Issue Resolution | When required or appropriate, disclose findings and resolution of investigations to stakeholders.Encompasses advisory, legal and consulting services related to communicating with internal and external stakeholders, including regulators, enforcement authorities, and third-party investigators. OCEG GR503 |
| G660 | Rewards | OCEG GR600 |
| G700 | Measure | OCEG GM000 |
| G710 | Context Monitoring | OCEG GM100 |
| G711 | Monitor External Context | Continually monitor changes in the external environment that may have a direct, indirect or cumulative effect on the organization.Internal legal and management activity -- external charges should not apply. (Relevant external monitoring is covered under GC1.2, GA1.9, and GP6.1, time spent here would essentially be business development write-offs providing newsletters, general advisories, etc.) OCEG GM101 |
| G712 | Monitor Internal Context | Continually monitor changes in the internal environment that may have a direct, indirect or cumulative effect on the organization.Internal legal and management opinion -- external charges should not apply (time spent here would essentially be non-chargeable business development activities associated with knowing your client). OCEG GM102 |
| G720 | Unnamed in source | The LOC spreadsheet does not name this phase. OCEG GM200 |
| G721 | Monitor and Evaluate Capability Design | Establish a schedule for periodic re-evaluation of the appropriateness of the capability design in light of objectives, opportunities, threats and requirements.Encompasses advisory, legal, or consulting services (excluding audit services) in evaluating the suitability of the GRC program design and performance for the purpose of making recommendations for improvement to an existing program. OCEG GM201 |
| G722 | Review and Reconsider Risks | Review any previously assessed or newly identified risks and reconsider, or assess for the first time, their priority based on the best information currently available.Internal legal and management activity -- external charges should not apply. (Relevant external risk management assessment is covered under GM4) OCEG GM202 |
| G723 | Identify Relevant Actions and Controls | Review the related actions and controls in place to address high priority objectives, threats, opportunities and requirements.Encompasses advisory, legal, or consulting services (excluding audit services) in evaluating the suitability of the design and performance of existing actions and controls for the purpose of making recommendations for improvement or changes to those actions and controls. OCEG GM203 |
| G724 | Analyze Potential for Failure | Analyze the potential that risk-optimizing activities will fail and the ways in which they might fail.Encompasses advisory, legal, or consulting services (excluding audit services) in evaluating the potential for and methods of failure of risk-optimizing activities for the purpose of making recommendations for improvement or changes to those actions and controls. OCEG GM204 |
| G725 | Identify Monitoring Information | Identify the information to use to support the evaluation of the performance of the risk optimizing activity(s) and/or the overall performance of the GRC capability.Encompasses advisory, legal, or consulting services (excluding audit services) in planning the collection of evidence to support the analysis and recommendations for improvement or changes to actions and controls and the overall GRC capability. OCEG GM205 |
| G726 | Perform Monitoring Activities | Perform monitoring activities to support the evaluation of the performance of the system.Encompasses advisory, legal, or consulting services (excluding audit services) in collecting evidence to support the analysis and recommendations for improvement or changes to actions and controls and the overall GRC capability. OCEG GM206 |
| G727 | Analyze and Report Monitoring Results | Analyze the results of monitoring activities to identify instant weaknesses and opportunities for systemic improvements.Encompasses advisory, legal, or consulting services (excluding audit services) in reporting findings and recommendations for improvement or changes to actions and controls and the overall GRC capability. OCEG GM207 |
| G730 | Systemic Improvement | OCEG GM300 |
| G731 | Develop Improvement Plan | Develop a prioritized plan for implementing improvements to the program.Encompasses advisory, audit, legal or consulting services in developing a portfolio of GRC capability improvement initiatives. OCEG GM301 |
| G732 | Implement Improvement Initiatives | Implement the specific action plans and initiatives intended to improve the program.Encompasses utilizing advisory, audit, legal or consulting services to implement a portfolio of GRC capability improvement action plans and initiatives. OCEG GM302 |
| G740 | Assurance | OCEG GM400 |
| G741 | Plan Assurance Assessment | Determine scope, procedures and criteria required to provide desired level of assurance.Encompasses the planning phase of auditors engaged to provide audit or assurance services. OCEG GM401 |
| G742 | Perform Assurance Assessment | Perform procedures, evaluate results against criteria and deliver report.Encompasses the delivery phase of auditors engaged to provide audit or assurance services. OCEG GM402 |
| G800 | Interact | OCEG GI000 |
| G810 | Information Management | OCEG GI100 |
| G811 | Develop a GRC Information Management Classification Structure | Determine the definitions, classifications and procedures necessary to identify and manage GRC information in the organization and extended enterprise, as part of an Information Management Plan.Encompasses advisory, legal, eDiscovery, and consulting services to develop an information management classification schema and procedures including retention, preservation, confidentiality, knowledge management, and privacy. OCEG GI101 |
| G812 | Develop GRC Information Collection Policies & Procedures | Establish the policies and procedures necessary to collect GRC information from sources within and outside the organization and extended enterprise, as part of an Information Management Plan.Encompasses advisory, legal, eDiscovery, and consulting services to develop information collection policies and procedures. OCEG GI102 |
| G813 | Develop GRC Information Access, Use and Transfer Policies & Procedures | Establish the policies and procedures necessary to access, use and transfer GRC information in the organization and extended enterprise, as part of an Information Management Plan.Encompasses advisory, legal, eDiscovery, and consulting services to develop access, use, and transfer procedures including compliance with data transfer, confidentiality and privilege restrictions and security and breach containment and notification requirements. OCEG GI103 |
| G814 | Develop GRC Information Storage & Disposition Policy & Procedures | Establish the policies and procedures necessary to store GRC information in the organization and extended enterprise in accordance with requirements and recovery objectives, as part of an Information Management Plan.Encompasses advisory, legal, eDiscovery, and consulting services to develop policies and procedures including retention, preservation, restoration, disposition of information, reconciling knowledge management, back-up, archiving and media rotation processes. OCEG GI104 |
| G820 | Communication | OCEG GI200 |
| G821 | Develop Reporting Plan | Establish a plan to ensure compliance with mandatory reporting requirements and provide desired reports to management, the Board, and stakeholders.Encompasses advisory, legal, and consulting services in establishing required reporting practices, including regulatory reporting, and desired reporting to stakeholders, including shareholders. OCEG GI201 |
| G822 | Develop Communication Plan | Define how the organization will manage GRC related communications that are not formal reports.Encompasses advisory, legal, and consulting services in establishing internal communication plans, including change management messaging. OCEG GI202 |
| G830 | Technology | OCEG GI300 |
| G831 | Assess Technology Needs and Gaps | Identify gaps and underperforming systems in existing technology environment.Encompasses advisory consulting services identifying technological requirements, gaps and opportunities whether point solutions or enterprise architecture including designation of systems of record that "own" particular information and the data flow and protocols used for exchanges emanating from those systems. OCEG GI301 |
| G832 | Develop GRC Technology Portion of GRC Strategic Plan | Develop plan for implementing technology to enable GRC processes and information flows.Encompasses advisory consulting services in developing a plan that prioritizes implementation initiatives, and implementing appropriate solutions, architectures, information flows, and protocols to enable GRC processes and information requirements. OCEG GI302 |
Timekeeper classifications2014 (rev. 2023)5-6 letter codes · 51 codes · LOC
Timekeeper classification codes used in the TIMEKEEPER_CLASSIFICATION field of every LEDES format. Six characters each, apart from ASSOC.
| Code | Name | Definition |
|---|---|---|
| ADJSTR | Adjuster | An insurance client-side position responsible for investigating, managing and settling a claim.Used by: client. |
| ADJSMT | Adjustment | Used to designate an adjustment to an invoice when LEDES 98B, LEDES 98BI or LEDES 2000 is used for the submission of ebills. Only to be used if specified by the 3rd party ebilling vendor; many systems do not recognize these codes. Should not be used when LEDES XML Ebilling ver. 2.0 or 2.1 is the submission format.Used by: law firm, eDiscovery vendor, contract/temp provider, other legal vendor. Provides fee support only. |
| ANALST | Analyst | A mid-level position focused on conducting analysis services relevant to a matter, area of law or data. Analyst services associated with eDiscovery should be noted as a Discovery Technician/Analyst (-Junior or -Senior).Used by: client, law firm, other legal vendor. |
| ARBITR | Arbitrator | A unbiased third party designated by parties engaged in a dispute to preside over a hearing at which evidence and testimony is presented, and who renders a decision on the matter with which the parties agree in advance to comply.Used by: other legal vendor. |
| ASSOC | Associate | An associate is a lower-level professionally licensed attorney who does not hold an ownership interest in a law firm.Used by: law firm. Former codes: 98B - AS 2000 - Associate 98BI - AS XML 2.0 - Associate XML 2.1 - Associate. |
| TRANEE | Associate Trainee | An individual who has a law degree and will qualify as an Associate at the completion of his or her required practical experience. Also called Trainee Solicitor or Articling Student. Typically used outside the US.Used by: client, law firm. |
| AUDITR | Auditor | An individual whose job is to carefully check the accuracy of business records, including legal billing records. May be an employee of the client or work under contract to the client; may or may not be an attorney.Used by: client, other legal vendor. |
| CLKSEC | Clerk or Secretary | Lower-level administrative staff within the firm or legal vendor company. Includes, but is not limited to, Assistant, Clerk, Copy Staff, Courier, File Clerk, Scanner, Secretary, Support Staff, etc.Used by: client, law firm, other legal vendor. Former codes: 98B - OT 2000 - Secretary, Clerk 98BI - SE, NP XML 2.0 - Secretary, Clerk XML 2.1 - Secretary, Clerk. |
| CONSLT | Consultant | A person hired to provide professional advice or services for a fee. Not to be confused with a contract/outsourced/temporary resource, who is hired through a temporary or legal process outsourcing company. A Consultant is different than a Retained Expert. who has a specific skill or expertise and provides assistance on a legal matter with the potential to testify in a legal proceeding whereas a Consultant likely will not.Used by: other legal vendor. |
| TEMPAT | Contract Attorney | An attorney-level outsourced timekeeper working on a temporary, contract or consulting basis who is not regular employee of the firm. Contract Attorneys differ from Staff Attorneys in that they are not law firm employees whereas Staff Attorneys are employees of the firm.Used by: client, law firm, eDiscovery vendor, contract/temp provider, other legal vendor. |
| TEMPOS | Contract Other Staff | Any outsourced non-attorney timekeeper working on a temporary, contract or consulting basis who is not regular employee of the firm.Used by: client, law firm, eDiscovery vendor, contract/temp provider, other legal vendor. |
| CSTCNS | Costs Counsel | Specialist lawyer providing services related to costs. In the UK, a Costs Lawyer has a specialized certification and this is recognized as a specialist role.Used by: law firm, other legal vendor. |
| CTRPTR | Court Reporter/Transcriptionist | Any professional responsible for memorializing the oral testimony of a party. Includes: Court Reporter; Deposition Clerk; Transcriptionist. Videographers are classified separatelyUsed by: other legal vendor. |
| DSCATT | Discovery Attorney | Attorney specialist focused solely on discovery with sufficient technical knowledge to advise on electronic discovery strategy and negotiations. It is possible for a law firm attorney to function in multiple capacities on a matter. This classification is specific to timekeepers providing only specialist services associated with discoveryUsed by: client, law firm, eDiscovery vendor, other legal vendor. |
| DSCPMG | Discovery Project Manager | An individual responsible for creation, communication and management of discovery project workflow to meet counsel requirements, deadlines and strategy goals. The project manager must have sufficient technical and legal knowledge to coordinate and translate between attorney and analyst teams. Different from Legal Project Manager because scope of work is limited to discovery.Used by: client, law firm, eDiscovery vendor, other legal vendor. |
| DSCANJ | Discovery Technician/Analyst - Junior | A junior-level technical specialist with experience and training in discovery technology, procedures and practices for collecting, processing and managing ESI collections. The analyst can carry out defined work flow, conduct quality control to preserve evidence integrity and chain of custody. Different from Forensic Analyst because of the nature of the work performed.Used by: client, law firm, eDiscovery vendor, other legal vendor. |
| DSCANS | Discovery Technician/Analyst - Senior | A senior-level technical specialist with the ability to consult with counsel and implement discovery technology, procedures and practices for collecting, processing and managing ESI collections. The senior analyst role includes creation of case specific protocols and communicating technical issues/options to counsel. Sometimes also referred to as a Litigation Support Manager. Different from Forensic Analyst because of the nature of the work performed.Used by: client, law firm, eDiscovery vendor, other legal vendor. |
| DOCCDR | Document Coder | An individual trained to use technology to assess ESI and input objective coding fields to populate review database.Used by: client, law firm, eDiscovery vendor, other legal vendor. |
| DOCRAT | Document Reviewer - Attorney | Attorney capable of using one or more review software systems to make relevance, privilege and other designations based on a matter protocol and issues.Used by: client, law firm, eDiscovery vendor, other legal vendor. |
| DOCRNA | Document Reviewer - Non-Attorney | Non-attorney reviewer or subject matter specialist capable of using one or more review software systems to make relevance, privilege and other designations based on a matter protocol and issues.Used by: client, law firm, eDiscovery vendor, other legal vendor. |
| EVDEVL | Evidentiary Developer | A designer or developer specializing in creating animations or graphics used as evidence in a judicial proceeding and supporting the presentation of the material created at trial. Often also called Graphic Designer or Trial PresenterUsed by: client, law firm, eDiscovery vendor, other legal vendor. |
| EXPERT | Expert | A professional with special knowledge or proficiency in a particular field relevant to a matter who is external to the law firm and whose retention may result in testimony before a courtUsed by: other legal vendor. |
| FLTFEE | Flat/Fixed Fee | Used to designate a flat or fixed fee billing arrangement between the firm and the client when LEDES 98B, LEDES 98BI or LEDES 2000 is used for the submission of ebills. Only to be used if specified by the 3rd party ebilling vendor; many systems do not recognize these codes. Should not be used when LEDES XML Ebilling ver. 2.0 or 2.1 is the submission format.Used by: law firm, eDiscovery vendor, contract/temp provider, other legal vendor. Provides fee support only. |
| FORANL | Forensic Analyst | A technical position focused on forensic collection, analysis and extraction of ESI from computers, servers and mobile devices. Includes the capability of authenticating ESI as evidence and providing Chain of Custody documentation. Different from Discovery Technician because of the nature of the work performed.Used by: client, law firm, eDiscovery vendor, other legal vendor. |
| HLNLPF | High-Level Non-Lawyer Professional | A senior-level non-attorney position within the law firm that may provide testimony in a legal matter. Includes: Accountant; Actuary; CPA; Compliance Professional; Construction Expert; Damages Specialist; Diversity Specialist; Engineer; Forensic Accountant; Government Affairs Specialist; Investigator; IP Specialist; Jury Consultant; Lawyer qualified in a country other than the one where that lawyer's work was performed; Legislative Monitor; Lobbyist; Media Relations Specialist; Medical Doctor; Ph.D.; Political or Grassroots Campaign Advisor; Regulatory Advisor; Scientist; Tax Specialist.Used by: client, law firm, eDiscovery vendor, other legal vendor. |
| INVSTG | Investigator/Private Investigator | A professional external to the law firm tasked with investigating facts or individuals related to a matter. For law firm employees that perform investigations use High-Level Non-Lawyer Professional. For client employees that investigate claims, use Adjuster.Used by: other legal vendor. |
| IPSVPV | IP Service Provider | An external resource that provides Patent or Trademark services on behalf of a client or law firm. An IP Service Provider could be 1) non-attorney specialists with strong technical backgrounds who have not attended law school or who are in the process of attending law school, (2) admitted to practice before the jurisdictional patent or trademark courts but not any other jurisdictional courts, or (3) admitted to practice before the patent, trademark and any other jurisdictional court(s). The important distinction is that an IP Service Provider is external to the client or law firm.Used by: other legal vendor. |
| IPAGNT | IP Agent | An internal resource at the client or law firm that provides Patent or Trademark services. IP Agents could be non-attorney specialists with strong technical backgrounds who have not attended law school or who are in the process of attending law school, or who have been admitted to practice before the jurisdictional patent or trademark courts but not any other jurisdictional court. For the purposes of LEDES Timekeeper Classifications, any IP Agent admitted to practice before the patent or trademark court and any other jurisdictional court would be identified as a Partner, Of Counsel, Associate, Staff Attorney, or Staff Counsel/Attorney, as applicable. The important distinction is that an IP Agent is internal to the client or law firm.Used by: client, law firm. |
| LGLAST | Legal Assistant | A mid-level position within a legal organization, used only when the timekeeper has not been licensed or certified by a jurisdictional authority where required. Paralegal should be used if the timekeeper has a certification or license issued by a jurisdictional authority where required.Used by: client, law firm, other legal vendor. Former codes: 98B - LA 2000 - Legal Assistant 98BI - not supported XML 2.0 - Legal Assistant XML 2.1 - Legal Assistant. |
| LGLINT | Legal Intern | Any law student or non-student clerk working at a law firm in an internship, co-op, or summer associate program.Used by: law firm. Former codes: 98B - not supported 2000 - not supported 98BI - SI XML 2.0 - not supported XML 2.1 - not supported. |
| LGPRMG | Legal Project Manager | A project manager who manages a matter or complex transaction for the client. A Legal Project Manager is a non-practicing attorney designation. If services are provided by an practicing attorney, the attorneys classification should be used in lieu of Legal Project Manager.Used by: client, law firm, eDiscovery vendor, other legal vendor. |
| LIBRRN | Librarian | A law firm librarian, typically providing research services to the client.Used by: law firm. |
| MEDITR | Mediator | A person, usually a lawyer, retired judge, or non-attorney specialist, who tries to bring people and their disputes to early resolution. After discussing the legal issues in a conference, a mediator makes non-binding recommendations to the parties as to how a dispute could be settled.Used by: other legal vendor. |
| MDRCRV | Medical Records Reviewer (Non-Certified Specialist) | A medical records specialist without a professional medical certification (RN or MD), who reviews and provides analysis of medical records in legal matters but who does not testify at court.Used by: client, law firm, eDiscovery vendor, other legal vendor. |
| OFCOUN | Of Counsel | An attorney employed by the law firm who is not an associate or a partner but who is on track to become partner or who was previously a partner and is now retired. Typically Of Counsel timekeepers are: - A status in the firm senior to associate but not yet partner. In this situation counsel receives a salary and may have a measure of compensation based on the profitability of the partnership. - An attorney who has changed careers entirely, i.e., a former judge or government official, or one transitioning from corporate/in-house practice to law firm practice. - A retired partner of the firm who, although not actively practicing law, nonetheless remains associated with the firm and available for occasional consultation. - A lawyer who is, in effect, a probationary partner-to-be, sometimes a lateral hire brought in with the expectation of becoming partner after a relatively short period of time.Used by: law firm. Former codes: OC 98B - OC 2000 - Of Counsel 98BI - OC XML 2.0 - Of Counsel XML 2.1 - Of Counsel. |
| NBOTHR | Other | A status to indicate a system user who does not provide services that are billed to the client.Used by: client, law firm, eDiscovery vendor, other legal vendor. Former codes: 98B - OT 2000 - Other 98BI - OT XML 2.0 - Other XML 2.1 - Not Supported. |
| PARALG | Paralegal | A mid-level position within the firm, used only when the timekeeper has a certification or license issued by a jurisdictional authority where required (as in the State of California). Legal Assistant should be used if the timekeeper has not been licensed or certified by a jurisdictional authority where required.Used by: client, law firm, other legal vendor. Former codes: 98B - not supported 2000 - Paralegal 98BI - PL XML 2.0 - Paralegal XML 2.1 - Paralegal. |
| PARTNR | Partner | A partner owns and directs the business of a law firm and may be either an equity or non-equity shareholder. - Equity partners are considered to have ownership stakes in the firm, and share in the profits and losses of the firm. - Non-equity partners are generally paid a fixed salary, and may be granted certain limited voting rights with respect to firm operations.Used by: law firm. Former codes: 98B - PT 2000 - Partner 98BI - PT XML 2.0 - Partner XML 2.1 - Partner. |
| RSRCHR | Research Specialist/Researcher | A person engaged in scholarly or scientific investigation or inquiry. Common within Europe and Asia. Any researcher who is also a law firm librarian should be coded as Librarian. Different from an Investigator who investigates facts or individuals related to a matter.Used by: law firm, other legal vendor. |
| RSPROF | Responsible Professional | An non-insurance client-side position responsible for managing a matter who is not an attorney.Used by: client. |
| SECNDE | Secondee | Attorney (associate, partner or of counsel) of the firm seconded to the clientUsed by: law firm. |
| SPAGNT | Service of Process Agent | Any professional tasked with delivering or receiving legal notices. Not to be confused with an internal or external messenger functionUsed by: other legal vendor. |
| SOLDSG | Solution Designer | A technical position responsible for building portals, apps or custom legal utilitiesUsed by: client, law firm, eDiscovery vendor, other legal vendor. |
| STFATT | Staff Attorney | A practicing attorney within the law firm with permanent status having the quality of tenure and lacking an expectation of promotion to full partner status. Often these attorneys are specialists in a specific area of expertise like IP. May include part-time practitioners. As opposed to Contract Attorneys who are employees of an Other Legal Service Provider (Column H of this sheet) or Staff Counsel/Attorneys who is an employee of the client.Used by: law firm. |
| STFCNS | Staff Counsel/Attorney | An internal client resource that is a lawyer As opposed to Contract Attorney, who is an employee of an Other Legal Service Provider (Column H of this sheet), or Staff Counsel/Attorney, who is an employee of the client.Used by: client. |
| TPADMN | Third Party Administrator | Any organization or person who handles or manages claims as a third party representative of the client. Client is often an insurance company.Used by: client, other legal vendor. |
| TRAINR | Trainer/Instructor/Educator | An individual who actively provides training, instruction or educational program servicesUsed by: client, law firm, eDiscovery vendor, other legal vendor. |
| TRNDEV | Training/Education Program Developer | An individual who creates training or education programs.Used by: client, law firm, eDiscovery vendor, other legal vendor. |
| TRNFAG | Transfer Agent | A trust company, bank or similar financial institution assigned by a corporation to maintain records of investors and account balances and transactions, to cancel and issue certificates, to process investor mailings and to deal with any associated problems (i.e. lost or stolen certificates).Used by: other legal vendor. |
| TRANSL | Translator | A non-attorney specialist who provides language translation services. If services are provided by an attorney, the attorney's classification should be used in lieu of Translator.Used by: client, law firm, eDiscovery vendor, other legal vendor. |
| VIDOGR | Videographer | Any professional responsible for memorializing the video testimony of a party. Court Reporters/Transcriptionists are classified separately.Used by: other legal vendor. |
LEDES formats
LEDES 1998B24 fields
ASCII, pipe-delimited, 24 fields. The default for US ebilling and frozen by design: the LOC does not intend to modify it.
| # | Field | Type | Required | Description |
|---|---|---|---|---|
| 1 | INVOICE_DATE | Date * 8 YYYYMMDD | Required | The invoice date. A null value ("") would be an error.For each INVOICE_NUMBER, only the first INVOICE_DATE appearing for that INVOICE_NUMBER is valid (i.e., all others after the first can be disregarded). |
| 2 | INVOICE_NUMBER | Character * 20 | Required | The alphanumeric, law firm assigned invoice number or code. Multiple INVOICE_NUMBERs can be billed in the same LEDES file. A null value ("") would be an error. |
| 3 | CLIENT_ID | Character * 20 | Required | The law firm assigned client code. A null value ("") would be an error.For each LAW_FIRM_MATTER_ID, only the first CLIENT_ID appearing for that LAW_FIRM_MATTER_ID is valid (i.e., all others after the first can be disregarded). LAW_FIRM_ID and CLIENT_ID are included as fields in order to enable automatic bill routing, should that be desired. |
| 4 | LAW_FIRM_MATTER_ID | Character * 20 | Required | The law firm assigned matter code. Multiple LAW_FIRM_MATTER_IDs can be billed in the same invoice if acceptable to the receiving system. A null value ("") would be an error.LAW_FIRM_MATTER_ID and CLIENT_MATTER_ID are included in order to provide a key for differentiating between various matters being billed. The LAW_FIRM_MATTER_ID is the law firm's key and the CLIENT_MATTER_ID is the client's key. Both must be included, if available. The only situation where CLIENT_MATTER_ID would not be reported by a law firm is if that client does not have its own independent system for identifying matters. |
| 5 | INVOICE_TOTAL | Currency * 12.4 | Required | The sum of all LINE_ITEM_TOTAL values in this invoice. A null value ("") would be an error.For each INVOICE_NUMBER, only the first INVOICE_TOTAL appearing for that INVOICE_NUMBER is valid (i.e., all others after the first can be disregarded. Because INVOICE_TOTAL is defined as the sum of the LINE_ITEM_TOTALs for that INVOICE_NUMBER, there exists the possibility that the sending application may make an arithmetic mistake when calculating INVOICE_TOTAL. The receiving application is encouraged to verify that INVOICE_TOTAL is equal to the sum of that Invoice's LINE_ITEM_TOTALs, within a reasonable variance to account for rounding errors that may have been made when the sending application calculated the individual LINE_ITEM_TOTALs. If the INVOICE_TOTAL is not within a reasonable variance (e.g., 1%) of the sum of the LINE_ITEM_TOTALs, there is clearly an error that must be resolved by the sending law firm before payment. |
| 6 | BILLING_START_DATE | Date * 8 YYYYMMDD | Required | The starting date for the billing period. A null value ("") would be an error.For each INVOICE_NUMBER, only the first BILLING_START_DATE appearing for that INVOICE_NUMBER is valid (i.e., all others after the first can be disregarded |
| 7 | BILLING_END_DATE | Date * 8 YYYYMMDD | Required | The ending date for the billing period. A null value ("") would be an error.For each INVOICE_NUMBER, only the first BILLING_END_DATE appearing for that INVOICE_NUMBER is valid (i.e., all others after the first can be disregarded). |
| 8 | INVOICE_DESCRIPTION | Character * 15 KB | Optional | A descriptive summary of work performed which is charged on this invoice during the applicable billing period. Limited to 15KB of text.For each INVOICE_NUMBER, only the first INVOICE_DESCRIPTION appearing for that INVOICE_NUMBER is valid (i.e., all others after the first can be disregarded). |
| 9 | LINE_ITEM_NUMBER | Character * 20 | Required | The sequence number of this line item. This number must be unique for each line item in an invoice. Usually, the time entry primary key in the law firm's financial system is used here. LINE_ITEM_NUMBERs must be unique per INVOICE_NUMBER but need not be consecutive. A null value ("") would be an error. |
| 10 | EXP/FEE/INV_ADJ_TYPE | Character * 2 | Required | An identifier indicating whether the line item is an expense ("E"), a fee ("F"), an invoice-level adjustment on fees ("IF"), or an invoice-level adjustment on expenses ("IE"). A null value ("") would be an error. |
| 11 | LINE_ITEM_NUMBER_OF_UNITS | Numeric*10.4 | Required except if an Invoice Level Adjustment | The number of units billed on this line item. For fee items, this is the number of hours being billed. For expense items, this is the number of items being expensed. For invoice-level adjustments, this field is ignored. A value of zero "0" or null ("") would be an error unless the line item is an invoice-level adjustment. |
| 12 | LINE_ITEM_ADJUSTMENT_AMOUNT | Currency * 10.4 | Optional | The numerical value of any adjustment applied to this line item. A positive value indicates a premium, a negative value indicates a discount. A null ("") or zero ("0") value indicates no adjustment. |
| 13 | LINE_ITEM_TOTAL | Currency * 10.4 | Required | The numerical value of this line item. This must be (LINE_ITEM_UNIT_COST * LINE_ITEM_NUMBER_OF_UNITS) + LINE_ITEM_ADJUSTMENT_AMOUNT. A null value ("") would be an error.The LINE_ITEM_TOTAL is defined as the algebraic result of the following formula: (LINE_ITEM_UNIT_COST * LINE_ITEM_NUMBER_OF_UNITS) + LINE_ITEM_ADJUSTMENT_AMOUNT It is sometimes the case that between the sending and receiving system amounts may be rounded differently, or to fewer or more decimal places, than intended by the billing party. The receiving party should make every attempt to round using the same method as the sending party. Realizing that rounding errors will sometimes occur, the sending and receiving parties should mutually agree to an acceptable rounding error below which the sending party will accept payment as complete. There exists the possibility that the sending application may make an arithmetic mistake when calculating LINE_ITEM_TOTAL. The receiving application is encouraged to verify that LINE_ITEM_TOTAL is properly calculated, within a reasonable variance to account for rounding errors that may have been made when the sending application calculated it. If the LINE_ITEM_TOTAL is not within a reasonable variance (e.g., .1%) of the value specified by the formula above, there is clearly an error that must be resolved by the sending law firm before payment. |
| 14 | LINE_ITEM_DATE | Date * 8 YYYYMMDD | Required | The date the fees/expenses were incurred. Typically, this date is between the BILLING_START_DATE and the BILLING_END_DATE. A null value ("") would be an error. |
| 15 | LINE_ITEM_TASK_CODE | Character * 20 | Required for Task Items | The task code (e.g., using the UTBMS code set) for this line item. Most expense items probably do not have a LINE_ITEM_TASK_CODE associated with them (in which case this field would be left null).Task Codes may be used without Activity Codes but Activity Codes should not be used without Task Codes. Requirement for use is set by the receiving client. |
| 16 | LINE_ITEM_EXPENSE_CODE | Character * 20 | Required for Expense Items | The expense code (e.g., using the UTBMS code set) for this expense line item. Most fee items probably do not have a LINE_ITEM_EXPENSE_CODE associated with them (in which case this field would be left null). |
| 17 | LINE_ITEM_ACTIVITY_CODE | Character * 20 | Required for Task Items | The activity code (e.g., using the UTBMS code set) for this fee line item. Most expense items probably do not have a LINE_ITEM_ACTIVITY_CODE associated with them (in which case this field would be left null).Task Codes may be used without Activity Codes but Activity Codes should not be used without Task Codes. Requirement for use is set by the receiving client. |
| 18 | TIMEKEEPER_ID | Character * 20 | Required for Task Items | A unique identifier for the timekeeper for this line entry. Typically, the identifier used here is the primary key for a timekeeper used in a law firm's financial system (e.g., an employee number, initials, or anything else so long as it uniquely identifies a particular timekeeper). For fee line items, a null value ("") would be an error. Most expense items probably do not have a TIMEKEEPER_ID associated with them (in which case this field would be left null). |
| 19 | LINE_ITEM_DESCRIPTION | Character * 15 KB | Required for Task Items | Free form description of this line item. May be up to 15KB of text. If an expense item uses a LINE_ITEM_EXPENSE_CODE, this field may be left null. |
| 20 | LAW_FIRM_ID | Character * 20 | Required | An identifier uniquely identifying the sending law firm. The law firm's Federal Taxpayer ID must be used if the law firm has one (i.e., at the very least, all law firms operating in the US). A null value ("") would be an error.LAW_FIRM_ID and CLIENT_ID are included as fields in order to enable automatic bill routing, should that be desired. |
| 21 | LINE_ITEM_UNIT_COST | Currency * 10.4 | Required except if an Invoice Level Adjustment | The standard (i.e., undiscounted) unit cost of the line item. For fees, this would be the hourly rate. For expenses, this would be the cost per unit. For invoice-level adjustments, this field is ignored. A value of zero ("0") or null ("") would be an error unless the line item is an invoice-level adjustment. |
| 22 | TIMEKEEPER_NAME | Character * 30 | Required for Task Items | The name of a timekeeper. Names must be entered Last name first, then a comma, followed by First name (e.g., "Arnsley, Robert"). THIS FIELD IS PROVIDED FOR INFORMATION ONLY AND MUST NOT BE USED BY THE RECEIVING APPLICATION AS A PRIMARY KEY FOR TIMEKEEPER. This field is mandatory. Most expense items probably do not have a TIMEKEEPER_NAME associated with them (in which case this field would be left null).The TIMEKEEPER_NAME and TIMEKEEPER_CLASSIFICATION fields are provided for information only. The receiving application must not use these fields as a primary key for timekeeper. Use of these fields is mandatory for fee line items in order to preclude the need for a separate look-up table of timekeeper names and classifications in the receiving application. |
| 23 | TIMEKEEPER_CLASSIFICATION | Character * 10 | Required for Task Items | The staff classification of a timekeeper. A full list of the codes to use can be found in the LEDES Revised Timekeeper Classifications Reference Document available on LEDES.org. Most expense items probably do not have a TIMEKEEPER_CLASSIFICATION associated with them (in which case this field would be left null).The TIMEKEEPER_NAME and TIMEKEEPER_CLASSIFICATION fields are provided for information only. The receiving application must not use these fields as a primary key for timekeeper. Use of these fields is mandatory for fee line items in order to preclude the need for a separate look-up table of timekeeper names and classifications in the receiving application. |
| 24 | CLIENT_MATTER_ID | Character * 20 | Required except if Client does not assign Matter Identifiers | The client assigned matter code. Multiple CLIENT_MATTER_IDs can be billed in the same invoice. A null value ("") would be an error, unless the client does not assign matter identifiers.LAW_FIRM_MATTER_ID and CLIENT_MATTER_ID are included in order to provide a key for differentiating between various matters being billed. The LAW_FIRM_MATTER_ID is the law firm's key and the CLIENT_MATTER_ID is the client's key. Both must be included, if available. The only situation where CLIENT_MATTER_ID would not be reported by a law firm is if that client does not have its own independent system for identifying matters. |
LEDES 98BI V552 fields
The international sibling of 1998B: same pipe-delimited shape, 52 fields, adding tax, currency, and jurisdiction data.
| # | Field | Type | Required | Description |
|---|---|---|---|---|
| 1 | INVOICE_DATE | Date * 8 YYYYMMDD | Required | The invoice date. A null value ("") would be an error.For each INVOICE_NUMBER, only the first INVOICE_DATE appearing for that INVOICE_NUMBER is valid (i.e., all others after the first can be disregarded). |
| 2 | INVOICE_NUMBER | Character * 50 | Required | The alphanumeric, law firm assigned invoice number or code. Multiple INVOICE_NUMBERs can be billed in the same LEDES file. A null value ("") would be an error. |
| 3 | CLIENT_ID | Character * 20 | Required | The law firm assigned client code. A null value ("") would be an error.For each LAW_FIRM_MATTER_ID, only the first CLIENT_ID appearing for that LAW_FIRM_MATTER_ID is valid (i.e., all others after the first can be disregarded). LAW_FIRM_ID and CLIENT_ID are included as fields in order to enable automatic bill routing, should that be desired. |
| 4 | LAW_FIRM_MATTER_ID | Character * 20 | Required | The law firm assigned matter code. Multiple LAW_FIRM_MATTER_IDs can be billed in the same invoice if acceptable to the receiving system. A null value ("") would be an error.LAW_FIRM_MATTER_ID and CLIENT_MATTER_ID are included in order to provide a key for differentiating between various matters being billed. The LAW_FIRM_MATTER_ID is the law firm's key and the CLIENT_MATTER_ID is the client's key. Both must be included, if available. The only situation where CLIENT_MATTER_ID would not be reported by a law firm is if that client does not have its own independent system for identifying matters. |
| 5 | INVOICE_TOTAL | Currency * 12.4 | Required | The sum of all LINE_ITEM_TOTAL values in this invoice. A null value ("") would be an error.For each INVOICE_NUMBER, only the first INVOICE_TOTAL appearing for that INVOICE_NUMBER is valid (i.e., all others after the first can be disregarded. Because INVOICE_TOTAL is defined as the sum of the LINE_ITEM_TOTALs for that INVOICE_NUMBER, there exists the possibility that the sending application may make an arithmetic mistake when calculating INVOICE_TOTAL. The receiving application is encouraged to verify that INVOICE_TOTAL is equal to the sum of that Invoice's LINE_ITEM_TOTALs, within a reasonable variance to account for rounding errors that may have been made when the sending application calculated the individual LINE_ITEM_TOTALs. If the INVOICE_TOTAL is not within a reasonable variance (e.g., 1%) of the sum of the LINE_ITEM_TOTALs, there is clearly an error that must be resolved by the sending law firm before payment. |
| 6 | BILLING_START_DATE | Date * 8 YYYYMMDD | Required | The starting date for the billing period. A null value ("") would be an error.For each INVOICE_NUMBER, only the first BILLING_START_DATE appearing for that INVOICE_NUMBER is valid (i.e., all others after the first can be disregarded. |
| 7 | BILLING_END_DATE | Date * 8 YYYYMMDD | Required | The ending date for the billing period. A null value ("") would be an error.For each INVOICE_NUMBER, only the first BILLING_END_DATE appearing for that INVOICE_NUMBER is valid (i.e., all others after the first can be disregarded). |
| 8 | INVOICE_DESCRIPTION | Character * 15 KB | Optional | A descriptive summary of work performed which is charged on this invoice during the applicable billing period. Limited to 15KB of text.For each INVOICE_NUMBER, only the first INVOICE_DESCRIPTION appearing for that INVOICE_NUMBER is valid (i.e., all others after the first can be disregarded). |
| 9 | LINE_ITEM_NUMBER | Character * 20 | Required | The sequence number of this line item. This number must be unique for each line item in an invoice. Usually, the time entry primary key in the law firm's financial system is used here. LINE_ITEM_NUMBERs must be unique per INVOICE_NUMBER but need not be consecutive. A null value ("") would be an error. |
| 10 | EXP/FEE/INV_ADJ_TYPE | Character * 2 | Required | An identifier indicating whether the line item is an expense ("E"), a fee ("F"), an invoice-level adjustment on fees ("IF"), or an invoice-level adjustment on expenses ("IE"). A null value ("") would be an error.Line item adjustment types "T" and "IT" are eliminated from the beta version as the taxable amount of the line item is separately stated and calculated. |
| 11 | LINE_ITEM_NUMBER_OF_UNITS | Numeric * 10.4 | Required except if an Invoice Level Adjustment | The number of units billed on this line item. For fee items, this is the number of hours being billed. For expense items, this is the number of items being expensed. For invoice-level adjustments, this field is ignored. A value of zero "0" or null ("") would be an error unless the line item is an invoice-level adjustment.Tax rate now a separate calculation. This differs from the beta version. |
| 12 | LINE_ITEM_ADJUSTMENT_AMOUNT | Currency * 10.4 | Optional | The numerical value of any adjustment applied to this line item. A positive value indicates a premium, a negative value indicates a discount. A null ("") or zero ("0") value indicates no adjustment. |
| 13 | LINE_ITEM_TOTAL | Currency * 10.4 | Required | The numerical value of this line item. This must be (LINE_ITEM_UNIT_COST * LINE_ITEM_NUMBER_OF_UNITS) + LINE_ITEM_ADJUSTMENT_AMOUNT + LINE_ITEM_TAX_TOTAL. A null value ("") would be an error. |
| 14 | LINE_ITEM_DATE | Date * 8 YYYYMMDD | Required | The date the fees/expenses were incurred. Typically, this date is between the BILLING_START_DATE and the BILLING_END_DATE. A null value ("") would be an error. |
| 15 | LINE_ITEM_TASK_CODE | Character * 20 | Required for Task Items | The task code (e.g., using the UTBMS code set) for this line item. Most expense items probably do not have a LINE_ITEM_TASK_CODE associated with them (in which case this field would be left null).Task Codes may be used without Activity Codes but Activity Codes should not be used without Task Codes. Requirement for use is set by the receiving client. |
| 16 | LINE_ITEM_EXPENSE_CODE | Character * 20 | Required for Expense Items | The expense code (e.g., using the UTBMS code set) for this expense line item. Most fee items probably do not have a LINE_ITEM_EXPENSE_CODE associated with them (in which case this field would be left null). |
| 17 | LINE_ITEM_ACTIVITY_CODE | Character * 20 | Required for Task Items | The activity code (e.g., using the UTBMS code set) for this fee line item. Most expense items probably do not have a LINE_ITEM_ACTIVITY_CODE associated with them (in which case this field would be left null).Task Codes may be used without Activity Codes but Activity Codes should not be used without Task Codes. Requirement for use is set by the receiving client. |
| 18 | TIMEKEEPER_ID | Character * 20 | Required for Task Items | A unique identifier for the timekeeper for this line entry. Typically, the identifier used here is the primary key for a timekeeper used in a law firm's financial system (e.g., an employee number, initials, or anything else so long as it uniquely identifies a particular timekeeper). For fee line items, a null value ("") would be an error. Most expense items probably do not have a TIMEKEEPER_ID associated with them (in which case this field would be left null). Actual timekeeper names should be avoided. |
| 19 | LINE_ITEM_DESCRIPTION | Character * 15 KB | Required for Task Items | Free form description of this line item. May be up to 15KB of text. If an expense item uses a LINE_ITEM_EXPENSE_CODE, this field may be left null. |
| 20 | LAW_FIRM_ID | Character * 50 | Required | Identifier(s) uniquely identifying the sending law firm. The law firm's Federal Taxpayer ID if operating in the U.S. or a tax identifier for non-U.S. firms. The field will accommodate up to three identification numbers through the use of a sub-delimiter (~). A null value ("") would be an error.Multiple tax identifiers will need to be interpreted by the receiving application. LAW_FIRM_ID and CLIENT_ID are included as fields in order to enable automatic bill routing, should that be desired. |
| 21 | LINE_ITEM_UNIT_COST | Currency * 10.4 | Required except if an Invoice Level Adjustment | The standard (i.e., undiscounted) unit cost, before taxes, of the line item. For fees, this would be the hourly rate. For expenses, this would be the cost per unit. For invoice-level adjustments, this field is ignored. A value of zero ("0") or null ("") would be an error unless the line item is an invoice-level adjustment. |
| 22 | TIMEKEEPER_NAME | Character * 30 | Required for Task Items | The name of a timekeeper. Names must be entered Last name first, then a comma, followed by First name (e.g., "Arnsley, Robert"). THIS FIELD IS PROVIDED FOR INFORMATION ONLY AND MUST NOT BE USED BY THE RECEIVING APPLICATION AS A PRIMARY KEY FOR TIMEKEEPER. This field is mandatory. Most expense items probably do not have a TIMEKEEPER_NAME associated with them (in which case this field would be left null).The TIMEKEEPER_NAME, TIMEKEEPER_LAST_NAME, TIMEKEEPER_FIRST_NAME and TIMEKEEPER_CLASSIFICATION fields are provided for information only. The receiving application must not use these fields as a primary key for timekeeper. Use of these fields is mandatory for fee line items in order to preclude the need for a separate look-up table of timekeeper names and classifications in the receiving application. |
| 23 | TIMEKEEPER_CLASSIFICATION | Character * 10 | Required for Task Items | The staff classification of a timekeeper. A full list of the codes to use can be found in the LEDES Revised Timekeeper Classifications Reference Document available on LEDES.org. Most expense items probably do not have a TIMEKEEPER_CLASSIFICATION associated with them (in which case this field would be left null).The TIMEKEEPER_NAME, TIMEKEEPER_LAST_NAME, TIMEKEEPER_FIRST_NAME and TIMEKEEPER_CLASSIFICATION fields are provided for information only. The receiving application must not use these fields as a primary key for timekeeper. Use of these fields is mandatory for fee line items in order to preclude the need for a separate look-up table of timekeeper names and classifications in the receiving application. |
| 24 | CLIENT_MATTER_ID | Character * 20 | Required except if Client does not assign Matter Identifiers | The client assigned matter code. Multiple CLIENT_MATTER_IDs can be billed in the same invoice. A null value ("") would be an error, unless the client does not assign matter identifiers.LAW_FIRM_MATTER_ID and CLIENT_MATTER_ID are included in order to provide a key for differentiating between various matters being billed. The LAW_FIRM_MATTER_ID is the law firm's key and the CLIENT_MATTER_ID is the client's key. Both must be included, if available. The only situation where CLIENT_MATTER_ID would not be reported by a law firm is if that client does not have its own independent system for identifying matters. |
| 25 | PO_NUMBER | Character * 100 | Optional | The alphanumeric, client assigned purchase order number or code. Multiple Purchase Orders can be billed in the same file. |
| 26 | CLIENT_TAX_ID | Character * 20 | Required | The client's identification for tax purposes. In the UK this would be the VAT number. |
| 27 | MATTER_NAME | Character * 255 | Required | The name of the matter to which this invoice relates. THIS FIELD IS PROVIDED FOR INFORMATION ONLY AND MUST NOT BE USED BY THE RECEIVING APPLICATION AS A PRIMARY KEY FOR A MATTER. |
| 28 | INVOICE_TAX_TOTAL | Currency * 12.4 | Optional | The sum of all LINE_ITEM_TAX_TOTAL items in this invoice. A null value would denote a tax exempt invoice. The client may request that the tax amount be only the reimbursable tax amount, such as VAT, which they often must track separately for accounting purposes. The receiving application is encouraged to allow for a reasonable variance to account for rounding errors when the sending application calculated the INVOICE_TAX_TOTAL. |
| 29 | INVOICE_NET_TOTAL | Currency * 12.4 | Required | The sum of all LINE_ITEM_TOTAL values in this invoice minus the INVOICE_TAX_TOTAL. A null value ("") would be an error. |
| 30 | INVOICE_CURRENCY | Character * 3 | Required | The submission currency by the law firm or vendor denoted by the 3 character ISO currency code (ISO 4217). The payment currency by the client is not driven from this field. A null value ("") would be an error. |
| 31 | TIMEKEEPER_LAST_NAME | Character * 30 | Required if TIMEKEEPER_NAME field is filled in | The last name of a timekeeper. THIS FIELD IS PROVIDED FOR INFORMATION ONLY AND MUST NOT BE USED BY THE RECEIVING APPLICATION AS A PRIMARY KEY FOR A MATTER. A null value ("") would be an error for F and IF EXP/FEE/TAX/INV_ADJ_TYPE (most expense and tax line-items probably do not have a TIMEKEEPER_NAME associated with them, in which case this field would be left null ("")). This data is duplicative of the TIMEKEEPER_NAME field. |
| 32 | TIMEKEEPER_FIRST_NAME | Character * 30 | Required if TIMEKEEPER_NAME field is filled in | The first name of a timekeeper. THIS FIELD IS PROVIDED FOR INFORMATION ONLY AND MUST NOT BE USED BY THE RECEIVING APPLICATION AS A PRIMARY KEY FOR A MATTER. A null value ("") would be an error for F and IF EXP/FEE/TAX/INV_ADJ_TYPE (most expense and tax line-items probably do not have a TIMEKEEPER_NAME associated with them, in which case this field would be left null ("")). This data is duplicative of the TIMEKEEPER_NAME field. |
| 33 | ACCOUNT_TYPE | Character * 1 | Required | An identifier indicating whether an invoice is "own account" ("O"), or "third party" ("T"). |
| 34 | LAW_FIRM_NAME | Character * 60 | Optional | Law firm name.Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable. |
| 35 | LAW_FIRM_ADDRESS_1 | Character * 60 | Optional | The street address of the law firm. Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable.Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable. |
| 36 | LAW_FIRM_ADDRESS_2 | Character * 60 | Optional | Optional second street address of the law firm. Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable.Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable. |
| 37 | LAW_FIRM_CITY | Character * 40 | Optional | The city of the law firm.Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable. |
| 38 | LAW_FIRM_STATEorREGION | Character * 40 | Optional | The state or region of the law firm.Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable. |
| 39 | LAW_FIRM_POSTCODE | Character * 20 | Optional | The postal code of the law firm.Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable. |
| 40 | LAW_FIRM_COUNTRY | Character * 3 | Optional | The country code of the law firm. This can be the 2- or 3-character ISO code or the full unabbreviated name of the country.Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable. |
| 41 | CLIENT_NAME | Character * 60 | Optional | Client name.Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable. |
| 42 | CLIENT_ADDRESS_1 | Character * 60 | Optional | The street address of the client.Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable. |
| 43 | CLIENT_ADDRESS_2 | Character * 60 | Optional | Optional second street address of the client.Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable. |
| 44 | CLIENT_CITY | Character * 40 | Optional | The city of the client.Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable. |
| 45 | CLIENT_STATEorREGION | Character * 40 | Optional | The state or region of the client. Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable.Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable. |
| 46 | CLIENT_POSTCODE | Character * 20 | Optional | The postal code of the client.Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable. |
| 47 | CLIENT_COUNTRY | Character * 3 | Optional | The country code of the client. This can be the 2- or 3-character ISO code or the full unabbreviated name of the country.Given these display fields can be supplemented by intermediate vendor applications, a null value ("") would be acceptable. |
| 48 | LINE_ITEM_TAX_RATE | Decimal * 0.10 | Optional | Percentage tax rate against charge. A decimal number between 0 and 1 indicating the rate of taxation on the line item. A null ("") or 0 would indicate no taxes apply to the line item. Example: the value 0.061245 denotes a tax rate of 6.1245%. |
| 49 | LINE_ITEM_TAX_TOTAL | Currency * 10.4 | Required | Total amount of tax for the line item. This must be ((LINE_ITEM_UNIT_COST * LINE_ITEM_NUMBER_OF_UNITS) + LINE_ITEM_ADJUSTMENT_AMOUNT) * LINE_ITEM_TAX_RATE. |
| 50 | LINE_ITEM_TAX_TYPE | Character * 20 | Optional | Tax type indicator (e.g. VAT, GST, PST, Other). Information purposes only and not used in the invoice calculation. A null value ("") would be acceptable.Information purposes only and not used in the invoice calculation. A null value ("") would be acceptable. |
| 51 | INVOICE_REPORTED_TAX_TOTAL | Currency * 12.4 | Optional | The amount of tax in the national currency as reported to the tax authorities. Information purposes only and not used in the invoice calculation. A null value ("") would be acceptable. |
| 52 | INVOICE_TAX_CURRENCY | Character * 3 | Optional | The currency of INVOICE_REPORTED_TAX_TOTAL denoted by the 3 character ISO currency code (ISO 4217). A null value ("") would mean that the total tax on an invoice is in the same currency as the INVOICE_CURRENCY. |
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Questions
What is UTBMS?
UTBMS stands for Uniform Task-Based Management System: a set of standard codes for describing legal work on an invoice. The American Bar Association published the first sets in 1997 (litigation, bankruptcy, counseling, project, activity and expense codes) and the LEDES Oversight Committee has maintained and extended the standard since, adding eDiscovery, patent, trademark, M&A, GRC and patent prosecution sets. Clients require the codes so that spend can be compared across firms and matters.
What is the difference between a task code and an activity code?
A task code says what the work was about (L330 Depositions). An activity code says what you actually did (A103 Draft/Revise). Both go on the same fee line: the task code answers where in the matter the time belongs, and the activity code answers what kind of effort it was. Task codes may be used without activity codes, but activity codes should not be used without task codes.
Which activity and expense code lists should I use?
Check the client's billing guidelines first. Most US ebilling programs still mandate the original 1997 ABA lists (A101 to A111 for activities, E101 to E124 for expenses). The LEDES Oversight Committee published revised lists in 2013 that add discovery, technology and travel detail and renumber expenses into the X range, but adoption is uneven and two activity codes changed meaning, so submitting the wrong list is a common rejection reason.
What is LEDES?
LEDES is the Legal Electronic Data Exchange Standard: the file format an invoice travels in, maintained by the LEDES Oversight Committee. UTBMS codes are the vocabulary; LEDES is the envelope. LEDES 1998B is an ASCII, pipe-delimited format with 24 fields and is the most widely used ebilling standard in the US. LEDES 98BI is the international version with 52 fields, adding tax, currency and address data. There are also XML formats (2.0, 2.1 and 2.2) for more complex tax and alternative fee arrangements.
Which LEDES fields carry UTBMS codes?
Four of them. LINE_ITEM_TASK_CODE holds the task code, LINE_ITEM_ACTIVITY_CODE the activity code, LINE_ITEM_EXPENSE_CODE the expense code, and TIMEKEEPER_CLASSIFICATION the timekeeper classification. Fee lines carry a task code, an activity code and a timekeeper classification; expense lines carry an expense code instead.
What are the timekeeper classification codes?
Six-character codes such as PARTNR, ASSOC and PARALG that describe the person billing the time. The LEDES Oversight Committee ratified the current list in 2014 (revised 2023) and it replaced the older per-format two-letter codes such as PT and AS. It covers client-side, law firm, eDiscovery vendor and other legal vendor roles.
Why is my invoice rejected when the codes look right?
The most common causes are structural rather than semantic: the wrong number of fields for the declared format, a task code from a set the client has not adopted, an activity code without a task code, a date that is not YYYYMMDD, or a LINE_ITEM_TOTAL that does not equal units times rate plus adjustment. The paste-a-line tool on this page checks all of those.
Are these the official code sets?
The codes and definitions on this page are reproduced from the spreadsheets and PDFs published at utbms.com and ledes.org, and every set links back to its source document so you can confirm the current version. UTBMS code text is the intellectual property of the American Bar Association (the 1997 sets) and the LEDES Oversight Committee (everything since). Where a source document is ambiguous or incomplete, this page says so rather than filling the gap.
Who maintains this page
Caddi automates the business of law
Caddi builds and runs automations for law firms: new matter intake, filing to the DMS, docket updates, time capture, and AR follow-up. It works inside the systems your firm already runs, from iManage and NetDocuments to Clio, Aderant, and Elite 3E.
On the billing side that means time captured from email, calendar, and document activity while the work is still fresh, missed entries surfaced before the pre-bill, and partners reviewing narratives instead of reconstructing them. Coding to the set your client mandates is the easy half. Remembering the work is the hard one.
Code text belongs to the American Bar Association (1997 sets) and the LEDES Oversight Committee (everything since), reproduced here with a link to each source.