USPTO Trademark Case Files Dataset

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

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

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

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

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

6. Organizational Structure

7. Data Coverage: Registrations

8. Data Coverage: Applications

9. Data Files

10. Case_file • 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

12. Case_file: Use vs. Intended Use

13. Case_file: Live Registrations

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

15. Event • 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

17. Owner • 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

19. Classification • 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.

21. Classification: Filing lag

22. Statement • 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 • 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 • 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

26. Foreign_app • 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 • 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 • USPTO Trademark Case Files Dataset • http://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.pdf • Trademark Applications Documentation (TAD) • www.uspto.gov/products/tmdailyapp-documentation.pdf • Trademark Manual of Examining Procedure (TMEP) and other manuals and guides • http://www.uspto.gov/trademarks/resources/index.jsp • Trademark Status and Document Retrieval (TSDR) • http://tsdr.uspto.gov/ • Office of the Chief Economist: EconomicsData@uspto.gov • Amanda.Fila@uspto.gov [Amanda.Myers] 28

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