USPTO Trademark Case Files Dataset USPTO Office of Chief Economist World Intellectual Property Organization 31 January

Agenda U.S. Trademark System Background Trademark Case Files Dataset –Organizational Structure –Data Coverage –Data Files User Resources Planned Data Releases 2

U.S. Trademark System Background Common law trademark system Federal registration affords additional rights Eligibility requirements (absolute grounds) –Use in commerce (or bona fide intent to use) –Inherent or acquired distinctiveness Relative grounds for refusal Nice classification (since 01Sept1973) Inter partes opposition and cancellation proceedings Principal & Supplemental Register 3

U.S. Trademark System Background Registration maintenance and renewal –Sixth-year maintenance – establish continued use on good/services listed prior to the end of the sixth- year of registration –Renewal – establish continued use and file renewal application prior to the end of each successive renewal term: Issued on or after 16Nov1989 – 10-year terms Issued/Renewed prior to 16Nov1989 – 20-year term until first renewal event after 16Nov1989; 10-year terms thereafter 4

Trademark Case Files Dataset Derived from USPTO main database for administering trademark applications and registrations 6.7 million serial no. observations Filing or registrations dates between Mar1823-Jan2012 5

Organizational Structure 6

Data Coverage: Registrations 7

Data Coverage: Applications 8

Data Files case_file serial number count mean Mark registration4,007, Live registration1,763, Mark application2,699, Pending application417, Trademark3,988, Service mark2,102, Use2,837, Intent to use2,782, Observations6,707,708 9 per serial number secondary data file countmeansd event 79,226, owner 13,813, classification 7,238, statement 11,779, design_search 3,721, prior_mark 1,627, foreign_app 316, madrid_intl_file 33,

Case_file 10 Primary data file – bibliographic or “front page” data –Identifiers – serial no., registration no., international registration no. –Dates – filing, publication, abandonment, registration, renewal, cancellation –Status code/date Pending or abandoned application Live or dead registration –Mark text & drawing code –Indicators Legal bases at filing and current Mark type – trade, service, collective, certification Design elements – 3D, color Acquired distinctiveness Various prosecution events – amendments, pending proceedings

Case_file: Filing & Registration Trends 11

Case_file: Use vs. Intended Use 12

Case_file: Live Registrations 13

Correspondent_domrep_attorney 14 Extract from case_file source XML –Correspondent –Attorney –Domestic representative

Event 15 Event(s) recorded during prosecution for each serial no. Docketing, office actions, abandonment, publication for opposition, TTAB proceedings, maintenance, renewal, cancellation/expiration –Code –Sequence –Category type –Date (recordation) Event description (Appendix II)

Event:1995 filing year based on use 16

Owner 17 Owner record(s) for each serial no. –Owner type –Within type sequence –Name –Address (street, city, state, country, postal code) –Nationality (state or country of origin) –Legal entity code –Alternative names/Composed of Name_change (owner_id) –Assignment name change description

Owner: Legal Status 18

Classification 19 Primary class(es) for each serial no. –Class –Status code/date –Date of first use anywhere –Date of first use in commerce –Nice class count –U.S. class count Intl_class (class_id) US_class (class_id)

Classification: Classes per serial no. 20

Classification: Filing lag 21

Statement 22 Text statement(s) appearing on application or registration for each serial no. –Code –Text Goods and services Mark descriptions Disclaimers Certification mark statement Concurrent use statement

Design_search 23 Design search code(s) for each serial no. –Code Category.Division.Section Example: – Category 19 – Baggage, containers, bottles Division 9 – Bottles, jars, flasks Section 6 – Bottles, jars or flasks with ribbing or other surface relief

Prior_mark 24 Prior registration(s) and/or application(s) for which applicant claims ownership: –Prior no. (serial no. or registration no.) –Type –Potential error indicator (constructed)

Prior_mark: Citation lag 25

Foreign_app 26 Foreign application(s) for which applicant claims priority: –Application country of origin –Foreign application no., filing date, and sequence of record entry –Foreign registration no., registration date, and expiration date –Foreign renewal no., renewal date, and expiration date

Madrid_intl_file 27 Madrid international filing record(s) for each serial no. –International registration no., registration date, and renewal date –Sequence –Status code/date –Response to irregularity date –Date USPTO received international filing request –USPTO reference no. Madrid_event (mir_id) – Event(s) recorded during Madrid processing –Code, date, and sequence

User Resources 28 USPTO Trademark Case Files Dataset – Working Paper – Files_Dataset_Descriptions_Lessons_Insights_January2013.pdfhttp:// Files_Dataset_Descriptions_Lessons_Insights_January2013.pdf Trademark Applications Documentation (TAD) – Trademark Manual of Examining Procedure (TMEP) and other manuals and guides – Trademark Status and Document Retrieval (TSDR) – Office of the Chief Economist:

Planned Data Releases 29 Trademark Case Files 2012 Update Trademark Assignments Database Patent Assignments Database