1. USPTO Trademark Case Files Dataset USPTO Office of Chief Economist World Intellectual Property Organization 31 January 2013 1

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

3. 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

4. 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

5. 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

6. Organizational Structure 6

7. Data Coverage: Registrations 7

8. Data Coverage: Applications 8

9. Data Files case_file serial number count mean Mark registration4,007,9430.598 Live registration1,763,3640.263 Mark application2,699,7650.402 Pending application417,7490.062 Trademark3,988,0720.595 Service mark2,102,5870.313 Use2,837,3580.423 Intent to use2,782,2730.415 Observations6,707,708 9 per serial number secondary data file countmeansd event 79,226,38513.4759.075 owner 13,813,3832.3631.109 classification 7,238,3511.2370.833 statement 11,779,4032.0241.272 design_search 3,721,3782.9492.016 prior_mark 1,627,9022.1012.260 foreign_app 316,7021.0800.480 madrid_intl_file 33,7041.0910.343

10. 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

11. Case_file: Filing & Registration Trends 11

12. Case_file: Use vs. Intended Use 12

13. Case_file: Live Registrations 13

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

15. 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)

16. Event:1995 filing year based on use 16

17. 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

18. Owner: Legal Status 18

19. 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)

20. Classification: Classes per serial no. 20

21. Classification: Filing lag 21

22. 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

23. Design_search 23 Design search code(s) for each serial no. –Code Category.Division.Section Example: –19.09.06 Category 19 – Baggage, containers, bottles Division 9 – Bottles, jars, flasks Section 6 – Bottles, jars or flasks with ribbing or other surface relief

24. 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)

25. Prior_mark: Citation lag 25

26. 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

27. 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

28. User Resources 28 USPTO Trademark Case Files Dataset –http://www.uspto.gov/ip/officechiefecon/tm_casefiles.jsphttp://www.uspto.gov/ip/officechiefecon/tm_casefiles.jsp Working Paper –http://www.uspto.gov/ip/officechiefecon/USPTO_Trademark_Case_ Files_Dataset_Descriptions_Lessons_Insights_January2013.pdfhttp://www.uspto.gov/ip/officechiefecon/USPTO_Trademark_Case_ Files_Dataset_Descriptions_Lessons_Insights_January2013.pdf Trademark Applications Documentation (TAD) –www.uspto.gov/products/tmdailyapp-documentation.pdfwww.uspto.gov/products/tmdailyapp-documentation.pdf Trademark Manual of Examining Procedure (TMEP) and other manuals and guides –http://www.uspto.gov/trademarks/resources/index.jsphttp://www.uspto.gov/trademarks/resources/index.jsp Trademark Status and Document Retrieval (TSDR) –http://tsdr.uspto.gov/http://tsdr.uspto.gov/ Office of the Chief Economist: EconomicsData@uspto.govEconomicsData@uspto.gov –Amanda.Fila@uspto.gov [Amanda.Myers]Amanda.Fila@uspto.gov

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