USPTO Trademark Case Files Dataset

USPTO Office of Chief Economist

World Intellectual Property Organization31 January 2013

1

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_fileserial

number count

mean

Mark registration 4,007,943 0.598

Live registration 1,763,364 0.263

Mark application 2,699,765 0.402

Pending application 417,749 0.062

Trademark 3,988,072 0.595

Service mark 2,102,587 0.313

Use 2,837,358 0.423

Intent to use 2,782,273 0.415

Observations 6,707,708  

9

    per serial number

secondary data file count mean sd

event 79,226,385 13.475 9.075

owner 13,813,383 2.363 1.109

classification 7,238,351 1.237 0.833

statement 11,779,403 2.024 1.272

design_search 3,721,378 2.949 2.016

prior_mark 1,627,902 2.101 2.260

foreign_app 316,702 1.080 0.480

madrid_intl_file 33,704 1.091 0.343

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:

– 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

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– 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]

Planned Data Releases

29

• Trademark Case Files 2012 Update• Trademark Assignments Database• Patent Assignments Database